Final Report ON Project For Capacity Enhancement in Construction Quality Assurance IN The Socialist Republic of Vietnam

THE SOCIALIST REPUBLIC OF VIETNAM
MINISTRY OF CONSTRUCTION
FINAL REPORT
ON
PROJECT FOR CAPACITY ENHANCEMENT
IN CONSTRUCTION QUALITY
ASSURANCE
IN
THE SOCIALIST REPUBLIC OF VIETNAM
December 2013
JAPAN INTERNATIONAL COOPERATION AGENCY (JICA)

Katahira and Engineers International
Central Nippon Expressway Company Limited EI
JR
13-255
Project for Capacity Enhancement in Construction Quality Assurance
CONTENTS
CHAPTER 1 INTRODUCTION ............................................................................................................................. 1-1
1.1 Project Background .............................................................................................................................................. 1-1

1.2 Project Objectives ................................................................................................................................................. 1-2
1.3 Project Management............................................................................................................................................. 1-2
1.4 JICA Project Team ............................................................................................................................................... 1-3
1.5 MOC Counterpart Team...................................................................................................................................... 1-7
1.6 Project Schedule.................................................................................................................................................... 1-9
1.7 Reporting ............................................................................................................................................................. 1-10
CHAPTER 2 SCOPE OF PROJECT AND METHODOLOGIES................................................................ 2-1
2.1 Scope of Project .................................................................................................................................................... 2-1

2.2 Particular Note....................................................................................................................................................... 2-1
CHAPTER 3 CURRENT STATUS OF INFRASTRUCTURE DEVELOPMENT IN VIETNAM ..... 3-1
3.1 Overview of Infrastructure Investment .............................................................................................................. 3-1

3.2 Decentralization Policy ........................................................................................................................................ 3-4
3.3 Project Categories ................................................................................................................................................. 3-4
3.4 Project Planning .................................................................................................................................................... 3-5
3.5 Legal Framework of Construction Project Management................................................................................. 3-6
3.6 Stakeholders of Construction Projects.............................................................................................................. 3-11
3.7 Decision Maker and Project Owner ................................................................................................................. 3-15
3.8 Construction Quality Inspection........................................................................................................................ 3-16
3.8.1 Quality Inspection by Project Owner and Contractor ..................................................................... 3-18
3.8.2 Quality Inspection as State Management and Organizations in Charge....................................... 3-18
3.9 Contractor Selection ........................................................................................................................................... 3-20
3.10 Construction Contractor Performance Evaluation .......................................................................................... 3-24
3.11 Construction Supervisor Qualification System ............................................................................................... 3-24
3.12 Violation Report.................................................................................................................................................. 3-27
3.13 Construction Project Information Management.............................................................................................. 3-28
3.14 Specifications and Technical Standards ........................................................................................................... 3-28
CHAPTER 4 MAJOR FINDINGS.......................................................................................................................... 4-1
4.1 General 4-1

4.2 Responsibility assignments between stakeholders............................................................................................ 4-1
4.3 Construction Work Management ....................................................................................................................... 4-2
i
4.4 Facility Maintenance ............................................................................................................................................ 4-2

4.5 State Management ................................................................................................................................................ 4-2
4.6 Contractor Selection System ............................................................................................................................... 4-3
4.7 Engineer Qualification System ........................................................................................................................... 4-3
4.8 Technical Specification and Standards in construction quality assurance ..................................................... 4-4
4.9 Labor Safety and Sanitation during Construction Works ................................................................................ 4-4
4.10 Capacity Building (Training Programs)............................................................................................................. 4-4
CHAPTER 5 IMPROVE PROJECT MANAGEMENT METHODS AND CLARIFY

RESPONSIBILITIES BETWEEN STAKEHOLDERS (PROJECT OWNERS,
EMPLOYERS, CONSTRUCTION CONSULTANTS AND CONTRACTORS)
FOCUSING ON CONSTRUCTION QUALITY ASSURANCE (ACTIVITY-1)............ 5-1
5.1 Framework of Improvement ............................................................................................................................... 5-1

5.1.1 Enhance Responsibility Assignments between Project Owners and PMUs.................................. 5-1
5.1.2 Improve Contract Management to Speed up Procedures................................................................. 5-3
5.1.3 Strength Institutions for Constructed Facility Maintenance ............................................................. 5-4
5.1.4 Support Revising Regulations in Infrastructure Construction.......................................................... 5-5
5.2 Clarification of Responsibility Assignments between Stakeholders .............................................................. 5-6
5.2.1 Current Status in Vietnam .................................................................................................................... 5-6
5.2.2 Overseas Practices – Practices in Japan............................................................................................ 5-12
5.2.3 Capacity Enhancement Plans for Construction Work Implementation........................................ 5-17
5.3 Improve Construction Work Management ..................................................................................................... 5-29
5.3.1 Enhancement of Design Classification............................................................................................. 5-29
5.4 Enhancement of Design Change ...................................................................................................................... 5-35
5.5 Enhancement of Construction Permits............................................................................................................. 5-35
5.6 Enhancement of Inspection before Putting Facilities into Operation............................................................ 5-39
5.7 Encouragement to Sate Authorities to Standardize Quality Management Technologies for Their
Specialized Sectors............................................................................................................................................. 5-40
5.8 Improvement of Construction Work Contract Management ........................................................................ 5-42
5.8.1 Enhancement of Acceptance ............................................................................................................. 5-42
5.8.2 Change As-built Drawing Requirement Policy............................................................................... 5-45
5.9 Enhancement of Interim Payment .................................................................................................................... 5-46
5.9.1 Rationale of Improvement ................................................................................................................. 5-46
5.9.2 Capacity Enhancement Plans ............................................................................................................ 5-46
5.10 Enhancement of Construction Contracts ......................................................................................................... 5-49
5.10.1 Rationale............................................................................................................................................... 5-49
5.11 Reinforcement of Institutions for Construction Facility Maintenance ......................................................... 5-49
5.11.1 Background and Basic Concept of Facility Maintenance .............................................................. 5-49
ii
5.11.2 Building Facility Maintenance .......................................................................................................... 5-51

5.12 Public Facility Maintenance .............................................................................................................................. 5-53
5.12.1 Definitions of Public Facility Maintenance...................................................................................... 5-53
5.12.2 General Framework of Public Facility Maintenance ...................................................................... 5-55
5.12.3 Functional Requirement for Public Facility Maintenance.............................................................. 5-55
5.12.4 Current Status of Public Facility Maintenance in Vietnam ............................................................ 5-60
5.12.5 Recommendations .............................................................................................................................. 5-68
5.13 Development of Project Owners’ Manual....................................................................................................... 5-72
5.13.1 Current status ....................................................................................................................................... 5-72
5.13.2 Oversea practice (Japanese practice)................................................................................................. 5-73
5.13.3 Guidelines for Developing Project Owners’ Manual ..................................................................... 5-74
CHAPTER 6 IMPROVEMENT OF STATE AGENCIES INSPECTION SYSTEM FOR

CONSTRUCTION QUALITY ASSURANCE (ACTIVITY-2) ............................................ 6-1

6.1.1 Strengthen State Management Audit System to Project Owners .................................................... 6-1
6.1.2 Enhance Inspection capacity for CICs................................................................................................ 6-3
6.1.3 Strengthen Sanctions against Improper Construction Quality Management ................................. 6-4
6.2 Strengthen State Management Audit System to Project Owners.................................................................... 6-4
6.2.1 Rationale................................................................................................................................................. 6-4
6.2.2 Foreign Practices (Practices in Japan)................................................................................................. 6-5
6.2.3 Practices in Vietnam ............................................................................................................................. 6-7
6.2.4 Basic Concept........................................................................................................................................ 6-8
6.2.5 Capacity Enhancement Plans .............................................................................................................. 6-9
6.2.6 Long-term Plan.................................................................................................................................... 6-15
6.3 Construction Inspection Centers (CICs) .......................................................................................................... 6-15
6.3.1 Rationale............................................................................................................................................... 6-15
6.3.2 Current Status of CICs........................................................................................................................ 6-15
6.3.3 Overseas Practices (Practices in Japan) ............................................................................................ 6-18
6.4 Improvement of Sanctions................................................................................................................................. 6-23
6.4.1 Background.......................................................................................................................................... 6-23
6.4.2 Objectives............................................................................................................................................. 6-23
6.4.3 Current status of sanctions in Vietnam ............................................................................................. 6-23
6.4.4 Overseas practices – MLIT practices in Japan................................................................................. 6-33
6.4.5 Comparison of law penalty and sanctions between two countries ................................................ 6-51
6.4.6 Recommendations .............................................................................................................................. 6-54
iii
CHAPTER 7 DEVELOPMENT OF CONSTRUCTION COMPANY REGISTRATION SYSTEM

AND CONTRACTOR WORK PERFORMANCE EVALUATION SYSTEM
(ACTIVITY - 3) .................................................................................................................................. 7-1

7.1.1 Development of Construction Company Registration System and Construction Package
Database System ................................................................................................................................... 7-1
7.1.2 Development of Contractor Work Performance Evaluation System.............................................. 7-5
7.2 Development of Construction CONTRACTOR Registration System.......................................................... 7-7
7.2.1 Objectives............................................................................................................................................... 7-7
7.2.2 Overseas Practices................................................................................................................................. 7-7
7.2.3 Current Status in Vietnam .................................................................................................................. 7-14
7.2.4 Comparison of Contractor Registration Systems between Three Countries................................ 7-15
7.2.5 Improvement of Existing Registration System in Vietnam ........................................................... 7-17
7.2.6 MOC Proposal for Registration System in Vietnam ...................................................................... 7-22
7.3 Development of Construction Consultant Registration System.................................................................... 7-30
7.3.1 Objectives............................................................................................................................................. 7-30
7.3.2 Overseas Practices............................................................................................................................... 7-30
7.3.4 Comparison between Three Systems ............................................................................................... 7-38
7.3.5 Improvement of Registration System ............................................................................................... 7-39
7.3.6 MOC Proposal for Registration System in Vietnam ...................................................................... 7-41
7.4 Development of Construction Package Database System............................................................................. 7-43
7.4.1 Objectives............................................................................................................................................. 7-43
7.4.2 Overseas Practices............................................................................................................................... 7-43
7.4.4 System Development for Construction Package Database............................................................ 7-45
7.5 Operation and Roadmaps for Construction Company Registration System and Construction Package
Database System ................................................................................................................................................ 7-46
7.6 Development of Contractor Work Performance Evaluation System ........................................................... 7-47
7.6.1 Overseas Practice ................................................................................................................................ 7-47
7.6.2 System Development for Contractor Work Performance Evaluation in Vietnam...................... 7-57
7.7 Software System Development.......................................................................................................................7-109
7.7.1 Construction Company and Consultant Company Registration System and Contractor Work
Performance Evaluation System .....................................................................................................7-109
7.7.2 Construction Company and Consultant Company Registration System Update......................7-113
7.8 Ranking System................................................................................................................................................7-115
CHAPTER 8 IMPROVEMENT OF ENGINEER QUALIFICATION SYSTEM (ACTIVITY-4) ...... 8-1
8.1 Framework of Improvement of Engineer Qualifications in Vietnam ............................................................ 8-1
iv
8.1.1 Development of Comprehensive Improvement Plans for Engineer Qualifications in Vietnam . 8-1
8.1.2 Improvement of Construction Supervisor Qualifications................................................................. 8-2
8.1.3 Improvement of Site Manager Qualifications ................................................................................... 8-3
8.2 Development of Comprehensive Improvement Plan for Engineer Qualifications in Vietnam................... 8-4
8.2.1 Background............................................................................................................................................ 8-4
8.2.2 Objective ................................................................................................................................................ 8-4
8.2.3 Current Status of Engineer Qualifications in Vietnam...................................................................... 8-4
8.2.4 Overseas Practice – Practice in Japan ................................................................................................. 8-7
8.2.5 Comparison of Engineer Qualifications between Vietnam and Japan ......................................... 8-12
8.2.6 Recommendations for Developing Engineering Qualification Systems in Vietnam.................. 8-16
8.3 Improvement of Supervision Qualification System ....................................................................................... 8-18
8.3.1 Improve Examination and Training System .................................................................................... 8-18
8.3.2 Continuous Professional Development (CPD)................................................................................ 8-25
8.3.3 Road Map............................................................................................................................................. 8-30
8.4 Improvement of Site Manager Qualification System..................................................................................... 8-31
8.4.1 Background and Rational................................................................................................................... 8-31
8.4.2 Current Practices in Vietnam ............................................................................................................. 8-31
8.4.3 Overseas Practices (Practices in Japan) ............................................................................................ 8-34
8.4.4 Capacity Requirements for Contractors ........................................................................................... 8-43
8.4.5 Recommendation on Capacity Enhancement Plans of Site Manager .......................................... 8-43
8.4.6 Roadmap .............................................................................................................................................. 8-51
8.5 introduction of new examination system ......................................................................................................... 8-52
8.5.1 Background.......................................................................................................................................... 8-52
8.5.2 Objectives............................................................................................................................................. 8-52
8.5.3 Engineer Qualifications in Vietnam.................................................................................................. 8-52
8.5.4 Framework of Improvement of Qualification System with Examination.................................... 8-55
8.5.5 Application of new Examination System......................................................................................... 8-74
CHAPTER 9 DEVELOP THE FRAMEWORK FOR CONSTRUCTION QUALITY MANUAL

AND STANDARD CONSTRUCTION WORK SPECIFICATION (ACTIVITY-5) ..... 9-1

9.1.1 Development of Framework for Standard Technical Specifications .............................................. 9-1
9.1.2 Development of Framework of Construction Quality Manual ....................................................... 9-2
9.2 Development of Framework for Standard Technical Specification ............................................................... 9-4
9.2.1 Rationale................................................................................................................................................. 9-4
9.2.2 Overseas Practice (Practices in Japan) ................................................................................................ 9-4
9.2.3 Current Status of Technical Specifications in Vietnam .................................................................... 9-6
9.2.4 Guidelines for Developing Standard Technical Specifications ....................................................... 9-7
9.2.5 Reference-1; Contents List of Technical Specifications in Japan.................................................. 9-16
v
9.2.6 Reference-2; Guidelines for Editing Technical Specifications in Vietnam.................................. 9-26

9.2.7 Refrence-3; Items and Contents for General Provisions................................................................. 9-28
9.3 Framework of Quality Management Manual ................................................................................................. 9-32
9.3.1 Rationale............................................................................................................................................... 9-32
9.3.2 Overseas Practices (MLIT in Japan)................................................................................................. 9-32
9.3.3 Practices in Vietnam ........................................................................................................................... 9-38
9.3.4 Frameworks of Quality Management Manual ................................................................................ 9-38
9.3.5 Guidelines for Developing Quality Management Manual............................................................. 9-40
CHAPTER 10 GUIDELINE FOR THE FORMULATION OF BUILDING FACILITY

MAINTENANCE PROCEDURES (ACTIVITY - 5).............................................................10-1
10.1 Background ......................................................................................................................................................... 10-1

10.2 Objective.............................................................................................................................................................. 10-1
10.3 Current Status of Building Facility Maintenance in Vietnam ....................................................................... 10-1
10.4 Introduction of Foreign Practices (Practices in japan) .................................................................................... 10-2
10.5 Functional requirements of the guideline......................................................................................................... 10-2
10.6 Development of the draft guideline on the preparation of maintenance procedure manual for building
works ............................................................................................................................................................... 10-2
10.6.1 Structure of the guideline.................................................................................................................... 10-2
10.6.2 Draft guideline ..................................................................................................................................... 10-4
10.6.3 Actions to be taken hereafter.............................................................................................................. 10-4
CHAPTER 11 DEVELOPMENT OF CONSTRUCTION WORK SAFETY MANUAL (ACTIVITY 6)11-1
11.1 Framework of Development ............................................................................................................................. 11-1

11.1.1 Concept of Development ................................................................................................................... 11-1
11.1.2 Methodology ....................................................................................................................................... 11-2
11.1.3 Rationale............................................................................................................................................... 11-3
11.2 Overseas Practices (Practices in Japan)............................................................................................................ 11-3
11.2.1 MLIT Practices in Japan..................................................................................................................... 11-3
11.2.2 Semi-public Organization Practices.................................................................................................. 11-3
11.2.3 Contractor’s Practices ......................................................................................................................... 11-4
11.3 Practice in Vietnam ............................................................................................................................................ 11-4
11.4 Findings ............................................................................................................................................................... 11-8
11.5 Actions to be Taken............................................................................................................................................ 11-9
11.5.2 Basic Concept of Labor Accidents..................................................................................................11-10
11.5.3 Design Concept .................................................................................................................................11-11
11.6 Safety and Health Manual in Construction....................................................................................................11-13
11.7 Case Study Handbook on Labor Accidents and Near-Miss Incidents .......................................................11-19
11.8 Management of Manual and Handbook ........................................................................................................11-19
vi
CHAPTER 12 DEVELOPMENT OF TRAINING SYSTEM AND TRAINING PLANS (ACTIVITY-7)12-1
12.1 DEVELOPMENT AND IMPLEMENTING TRAING PROGRAMS.................................................... 12-1

12.2 Current Status of School Education and Training in the Construction Sector............................................. 12-3
12.2.1 School Education Involved in the Construction Sector .................................................................. 12-3
12.2.2 Short-term Training Courses in the Construction Sector................................................................ 12-8
12.2.3 Legal Documents on Education and Training Systems in the Construction Sector..................12-14
12.2.4 Planning, monitoring and evaluation of education and training in the construction sector ......12-16
12.2.5 Major Findings in the Study.............................................................................................................12-18
12.3 Development of Capacity Enhancement Plans for MOC Training Programs ..........................................12-20
12.3.1 Demand Analysis..............................................................................................................................12-20
12.3.2 Principle of Development ................................................................................................................12-23
12.3.3 Enhancement of Training of Academy for Managers of Construction and Cities (AMC)......12-24
12.4 Development of During-Project Training Programs and Implementation of the Training Programs ....12-25
12.4.1 MOC-JICA Joint Coordination Workshop....................................................................................12-26
12.4.2 CQM Training Courses to Spread-out Project’s Outputs.............................................................12-28
12.5 Development of Post-Project Training Programs for the Dissemination of project Outputs...................12-37
12.5.1 Identification of Planning Conditions .............................................................................................12-37
12.5.2 Development of Training Programs ...............................................................................................12-42
12.6 Recommendation on Human Capacity Development on Construction Project Management for Regional
Government ......................................................................................................................................................12-50
12.6.1 Human Capacity Development on Construction Project Management for regional government in
Japan ...................................................................................................................................................12-50
12.6.2 Recommendations for Human Capacity Development on Construction Project Management for
Regional Government ......................................................................................................................12-54
CHAPTER 13 COUNTERPART TRAINING IN JAPAN, VIETNAM-JAPAN SEMINAR AND

EQUIPMENT & MACHINERY SUPPLY ..............................................................................13-1
13.1 C/P Training in Japan ......................................................................................................................................... 13-1

13.2 Seminars .............................................................................................................................................................. 13-9
13.3 Exchange Program for the MOC’s Senior Officers and Construction Industries’ Senior Executives in
Japan .............................................................................................................................................................13-15
13.4 Equipment and Machinery Provision.............................................................................................................13-17
CHAPTER 14 SUMMARY.......................................................................................................................................14-1
14.1 Project Outcomes................................................................................................................................................ 14-1

14.2 Seminars and Workshops .................................................................................................................................. 14-3
14.3 TRAINING in japan .......................................................................................................................................... 14-4
14.4 CQM training (Training in Viet nam) .............................................................................................................. 14-4
vii
14.5 Vehicles and Equipment supply ....................................................................................................................... 14-5

14.6 Legalization of project outcomes ...................................................................................................................... 14-6
14.7 Recommendations on the revision of construction law.................................................................................. 14-9
14.7.1 Enhancement of Construction Investment Management for Private-sector and Public-sector
Projects ................................................................................................................................................. 14-9
14.7.2 Enhancement of Private-Sector Construction Project Management - Building Facility Project14-11
14.7.3 Enhancement of Contractor Selection for Public-sector Projects................................................14-13
14.7.4 Enhancement of Public Project Construction Project Management ...........................................14-14
14.7.5 Enhancement of Construction Contracts........................................................................................14-15
14.7.6 Enhancement of Construction Work Supervision, Testing and Inspection................................14-16
14.8 Recommendation and development of guidelines and manuals.................................................................14-17
viii
List of Figure
Figure 1.3.1 Project Management Structure ............................................................................................................ 1-2
Figure 1.4.1 Project Team Organization Structure.................................................................................................. 1-5
Figure 1.4.2 Advisor and Expert Work Assignment .............................................................................................. 1-6
Figure 1.7.1 General Flow of the Project................................................................................................................ 1-11
Figure 3.1.1 Investment Rates (Samples)................................................................................................................. 3-3
Figure 3.5.1 Construction Project Planning and Implementation Procedures ..................................................... 3-7
Figure 3.6.1 SACQI Organization .......................................................................................................................... 3-12
Figure 3.6.2 MOC Organization ............................................................................................................................. 3-13
Figure 3.11.1 Sample Qualification Card for Supervisor (GS1)............................................................................ 3-24
Figure 3.11.2 Current Qualification Issuance Process (GS1 and GS2) ................................................................ 3-25
Figure 3.11.3 Distribution of Exam Locations in Vietnam and Japan .................................................................. 3-26
Figure 5.1.1 Inspection and Supervision to the Stakeholders................................................................................. 5-2
Figure 5.2.1 Competence in Work Management .................................................................................................... 5-7
Figure 5.2.2 Central Government.............................................................................................................................. 5-8
Figure 5.2.3 Provincial People’s Committee ........................................................................................................... 5-8
Figure 5.2.4 Construction Management Structure (MLIT Case in Japan)......................................................... 5-13
Figure 5.2.5 Integration of PO Functions (Example)............................................................................................ 5-23
Figure 5.2.6 Central Government Project Implementation Formation ............................................................... 5-27
Figure 5.2.7 Provincial DOC Project Implementation Formation ...................................................................... 5-27
Figure 5.3.1 Flow of Building Work Implementation .......................................................................................... 5-32
Figure 5.5.1 Flow of Certifying Building Projects ................................................................................................ 5-37
Figure 5.7.1 Current Regulations ............................................................................................................................ 5-41
Figure 5.7.2 Change of Regulations........................................................................................................................ 5-41
Figure 5.8.1 Job Acceptance and Parts/Stage Acceptance (1) ............................................................................. 5-45
Figure 5.8.2 Job Acceptance and Parts/Stage Acceptance (2) ............................................................................. 5-45
Figure 5.9.1 Documents Requirements for Job and Parts/Stage Acceptance .................................................... 5-47
Figure 6.1.1 Construction Audit ................................................................................................................................ 6-2
Figure 6.2.1 Comparison of Audit Systems............................................................................................................. 6-7
Figure 6.2.2 Construction Audit to Central-level Project Owners....................................................................... 6-12
Figure 6.2.3 Construction Audit to Provincial-level Project Owners.................................................................. 6-13
Figure 6.3.1 Classification of CIC’s Tasks............................................................................................................. 6-17
Figure 6.3.2 Balance of Revenues........................................................................................................................... 6-20
Figure 6.4.1 Framework of Legal Penalties (Practices in Japan)......................................................................... 6-33
Figure 6.4.2 MLIT Sanction Guidelines (S-1 & S-2) ........................................................................................... 6-47
Figure 7.1.1 Step-by-Step Approach for Enhancing Contractor/Consultant Selection System......................... 7-2
Figure 7.1.2 Synergy between Three Systems ........................................................................................................ 7-3
Figure 7.4.1 Construction and Technical Consulting Records Information System......................................... 7-44
ix
Figure 7.6.1 Interrelation between Bidding Process and Systems....................................................................... 7-50

Figure 7.6.2 Flow of Evaluation.............................................................................................................................. 7-60
Figure 7.6.3 Contractors to be Evaluated ............................................................................................................... 7-99
Figure 7.6.4 Comparison of Trial Evaluation Results.........................................................................................7-104
Figure 7.6.5 Roadmap ............................................................................................................................................7-108
Figure 7.7.1 System Relationship..........................................................................................................................7-110
Figure 7.7.2 Schedule of System Development ..................................................................................................7-110
Figure 7.7.3 Sample Screen Shot of the Updated System User Interface ........................................................7-114
Figure 8.2.1 Comparison of Engineer Qualifications between Vietnam and Japan.......................................... 8-15
Figure 8.3.1 QE Center in CAMD.......................................................................................................................... 8-20
Figure 8.3.2 Current Process Unified Examination ......................................................................................... 8-20
Figure 8.3.3 Ratio of Technical Questions and Regulation + Ethic Questions in Japan................................... 8-23
Figure 8.3.4 Unified Examination Optional Training...................................................................................... 8-25
Figure 8.3.5 Plan A ................................................................................................................................................... 8-27
Figure 8.3.6 Plan B.................................................................................................................................................... 8-27
Figure 8.3.7 Plan C.................................................................................................................................................... 8-28
Figure 8.3.8 Three Levels of the Supervisor Qualifications................................................................................. 8-29
Figure 8.3.9 Project Implementation Structure (Example)................................................................................... 8-29
Figure 8.4.1 Project Organization............................................................................................................................ 8-34
Figure 8.4.2 Eligibility Requirement for Application for Academic Examination of Civil Engineering
Operation and Management............................................................................................................... 8-42
Figure 8.4.3 Flowchart of Eligibility Requirement for Site Manager ................................................................. 8-48
Figure 8.4.4 Conditions to be required for Application of Construction Supervisor and Site Manage........... 8-49
Figure 8.4.5 Qualification System Diagram (example)........................................................................................ 8-50
Figure 8.4.6 Recommended System in a Transition Period................................................................................. 8-51
Figure 8.4.7 Roadmap .............................................................................................................................................. 8-51
Figure 8.5.1 QE Center in MOC ............................................................................................................................. 8-57
Figure 8.5.2 Structure of QE Center ....................................................................................................................... 8-59
Figure 8.5.3 Function of each department of QE center....................................................................................... 8-60
Figure 8.5.4 Location map of exam venue in Vietnam ........................................................................................ 8-62
Figure 8.5.5 Configuration of special committee for examination...................................................................... 8-63
Figure 8.5.6 Certification procedure of qualification ............................................................................................ 8-68
Figure 8.5.7 Procedures for selection of qualified engineers................................................................................ 8-69
Figure 8.5.8 Training and Examination in new system ........................................................................................ 8-70
Figure 8.5.9 Mechanism of CPD system ............................................................................................................... 8-72
Figure 8.5.10 Grading class of qualification............................................................................................................. 8-74
Figure 8.5.11 Procedures of certificate for construction supervisor ...................................................................... 8-79
Figure 8.5.12 Procedures of certificate for site manager......................................................................................... 8-87
Figure 8.5.13 Roadmap for improving Site Manager Qualification system ........................................................ 8-89
Figure 9.2.1 Technical Specifications Developed by MLIT.................................................................................. 9-5
x
Figure 9.2.2 Structure of Technical Specifications (Before Standardization) ...................................................... 9-8

Figure 9.2.3 Structure of Technical Specifications (After Standardization)......................................................... 9-8
Figure 9.2.4 Institutional Arrangement................................................................................................................... 9-14
Figure 9.3.1 Manual Structure ................................................................................................................................. 9-40
Figure 11.1.1 Labor Accidents in 2012 .................................................................................................................... 11-1
Figure 11.3.1 Law System of Safety and Health in Vietnam................................................................................. 11-5
Figure 11.3.2 Situation of Occupational Accidents on Construction and Mining ............................................... 11-7
Figure 11.5.1 Heinrich Theory and Bird. Jr Theory..............................................................................................11-11
Figure 11.6.1 Prevention of Falling (Manual, Chapter III, Sample)....................................................................11-16
Figure 11.6.2 Prevention of Danger Caused by Collapse/Rolling (Manual, Chapter III, Sample) .................11-17
Figure 11.6.3 Prevention of Danger Caused Construction Vehicles (Manual, Chapter III, Sample)..............11-18
Figure 11.8.1 Case Study (Sample-1) .....................................................................................................................11-20
Figure 12.2.1 Structure of Formal Education and the State Management in the Construction Sector.............. 12-4
Figure 12.2.2 Responsibilities of the MOC Organizations for Planning, Implementation, Monitoring and
Evaluation of Training and Retraining Courses by the Academy ...............................................12-18
Figure 12.5.1 Study Flow ..........................................................................................................................................12-37
Figure 12.5.2 Phased Training Programs ................................................................................................................12-43
Figure 14.7.1 Construction Law Legal Framework ................................................................................................. 14-9
Figure 14.7.2 Building Facility Construction Permit .............................................................................................14-12
Figure 14.7.3 MLIT Project Management in Japan ...............................................................................................14-14
Figure 14.7.4 Demarcation between regulations and Contracts ...........................................................................14-16
xi
List of Table
Table 1.5.1 Counterpart Member List ..................................................................................................................... 1-7
Table 1.7.1 Reports.................................................................................................................................................. 1-10
Table 3.1.1 Infrastructure investment by economic sectors.................................................................................. 3-1
Table 3.5.1 Laws and Regulations for Construction Project Planning and Implementation ............................ 3-8
Table 3.7.1 Key Players in Construction Projects................................................................................................ 3-15
Table 3.8.1 List of Inspections Conducted by Various Institutions ................................................................... 3-17
Table 3.8.2 Outline of Inspection by SACQI ....................................................................................................... 3-18
Table 3.8.3 Inspection by CAMD ......................................................................................................................... 3-19
Table 3.9.1 List of Data Requirement for CAMD System................................................................................. 3-23
Table 3.12.1 Violation Cases.................................................................................................................................... 3-27
Table 3.12.2 Sample Violation Reports on the Website........................................................................................ 3-28
Table 3.14.1 Codes .................................................................................................................................................... 3-30
Table 3.14.2 Technical Standards ............................................................................................................................ 3-30
Table 5.2.1 Responsibility Assignments to Project Owners................................................................................. 5-6
Table 5.2.2 Responsibility assignment in Construction Project Management (Vietnam Practice)................ 5-10
Table 5.2.3 Responsibility assignment in Construction Project Management (MLIT and Ministerial
Agencies).............................................................................................................................................. 5-15
Table 5.2.4 Evaluation of Current Project Formations in Vietnam ................................................................... 5-21
Table 5.2.5 Current Project Formations by Project Types .................................................................................. 5-22
Table 5.2.6 Investment Criteria .............................................................................................................................. 5-25
Table 5.2.7 Eligible POs ......................................................................................................................................... 5-25
Table 5.2.8 Comparison between PMU and PMC.............................................................................................. 5-28
Table 5.2.9 Advantage and Disadvantages........................................................................................................... 5-28
Table 5.3.1 Survey Outline in Japan (MLIT Road Infrastructure Case) ........................................................... 5-31
Table 5.3.2 Building Work Types and Building Design Certificates in Japan................................................. 5-33
Table 5.5.1 Details of Design Check ..................................................................................................................... 5-37
Table 5.5.2 Details of Structure Calculation Check............................................................................................. 5-37
Table 5.5.3 Demarcation of Responsibility .......................................................................................................... 5-39
Table 5.8.1 Comparison of Checking and Acceptance between Japan and Vietnam ..................................... 5-43
Table 5.9.1 Ground for Acceptance....................................................................................................................... 5-48
Table 5.11.1 Facility Owner by Facility Type........................................................................................................ 5-50
Table 5.11.2 Obligations for Facility Owners ........................................................................................................ 5-52
Table 5.12.1 Maintenance Works and Their Objectives ....................................................................................... 5-53
Table 5.12.2 General Framework of Public Facility Maintenance ...................................................................... 5-56
Table 5.12.3 Functional Requirements for Public Facility Maintenance ............................................................ 5-57
Table 5.12.4 Legal Framework Concerning Road Maintenance ......................................................................... 5-61
Table 5.12.5 Work Plan & Budget Proposal by Work Type................................................................................ 5-64
xii
Table 5.12.6 Summary of Functional Requirements for Public Facility Maintenance ..................................... 5-70
Table 5.13.1 Outline of Management manual for civil engineering works ........................................................ 5-73
Table 6.2.1 Construction Audit (PLAN-1 & PLAN-2) ...................................................................................... 6-10
Table 6.2.2 Technical Audit (PLAN-3) ................................................................................................................ 6-14
Table 6.3.1 Short-term / Middle-term Capacity Enhancement Plans................................................................ 6-22
Table 6.4.1 Legal Framework of Sanctions.......................................................................................................... 6-23
Table 6.4.2 Violation Category on Web Information.......................................................................................... 6-26
Table 6.4.3 Violation Information (Sample cases) .............................................................................................. 6-27
Table 6.4.4 Administrative Sanctions in Vietnam based on Decree 23/2009/ND-CP.................................... 6-28
Table 6.4.5 Framework of Anti-monopoly Law (Practices in Japan) ............................................................... 6-34
Table 6.4.6 Penalties prescribed in Anti-monopoly Law (Practices in Japan) ................................................. 6-35
Table 6.4.7 Framework of Law on Construction Businesses (Practices in Japan) .......................................... 6-36
Table 6.4.8 Penalties prescribed in Construction Business Law (Practices in Japan)...................................... 6-36
Table 6.4.9 Framework of Building Standards Law (Practices in Japan) ......................................................... 6-37
Table 6.4.10 Penalties prescribed in Building Standards Law (Practices in Japan) ........................................... 6-38
Table 6.4.11 Framework of Labor safety and Health Law (Practices in Japan)................................................. 6-40
Table 6.4.12 Penalties prescribed in Labor Safety and Health Law (Practices in Japan) .................................. 6-40
Table 6.4.13 Framework of Waste Management Law (Practices in Japan) ....................................................... 6-41
Table 6.4.14 Penalties Prescribed in Waste Management Law (Practices in Japan) ......................................... 6-41
Table 6.4.15 Framework of Professional Engineer Law (Practices in Japan) .................................................... 6-43
Table 6.4.16 Penalties prescribed in Professional Engineer Law (Practices in Japan) ...................................... 6-43
Table 6.4.17 Framework of Law on Architects (Practices in Japan) ................................................................... 6-44
Table 6.4.18 Penalties stipulated in Architects Law (Practices in Japan) ............................................................ 6-44
Table 6.4.19 Framework of Government Official’s Law (Practices in Japan) ................................................... 6-45
Table 6.4.20 Penalties prescribed in Government Official’s Law (Practices in Japan) ..................................... 6-45
Table 6.4.21 Summary of Penalties and Sanctions (MLIT Practices in Japan).................................................. 6-49
Table 6.4.22 Administration Sanctions Against Construction Violations and Accidents (MLIT Practices in
Japan) .................................................................................................................................................... 6-50
Table 6.4.23 Comparison of Law Penalty and Sanction Rules between Two Countries.................................. 6-52
Table 6.4.24 Delegation of Audit and Inspection Functions................................................................................. 6-54
Table 7.1.1 Road Map............................................................................................................................................... 7-2
Table 7.1.2 Focuses of the Project ........................................................................................................................... 7-4
Table 7.1.3 Project Outputs ...................................................................................................................................... 7-4
Table 7.1.4 Evaluation Indexes ................................................................................................................................ 7-5
Table 7.1.5 Project Outputs ...................................................................................................................................... 7-7
Table 7.2.1 Fields of Construction Business (28 fields) ........................................................................................ 7-8
Table 7.2.2 Registration Requirements for CW................................................................................................... 7-13
Table 7.2.3 Tendering Limit for CW01 and CW02 ............................................................................................ 7-14
Table 7.2.4 Comparison of Contractor Registration System .............................................................................. 7-16
Table 7.2.5 Recommendations of Registration System ...................................................................................... 7-17
xiii
Table 7.2.6 Format of Professional Staff List and List of Completed Works for Contractor Registration
System .................................................................................................................................................. 7-21
Table 7.3.1 Listing Requirements for PSPC (1)................................................................................................... 7-34
Table 7.3.2 Tendering Limit................................................................................................................................... 7-35
Table 7.3.3 Comparison of Data Requirements in CAMD and SACQI System ............................................ 7-36
Table 7.3.4 Comparison of Consultant Registration System.............................................................................. 7-38
Table 7.3.5 Recommendations of Registration System ...................................................................................... 7-39
Table 7.3.6 Format of Professional Manager List and List of Completed Works for Consultant Registration
System .................................................................................................................................................. 7-42
Table 7.5.1 Operation Issues .................................................................................................................................. 7-46
Table 7.5.2 Roadmap for Registration System and Construction Package Database System........................ 7-47
Table 7.6.1 Example of Evaluation Index and Score in Japan ........................................................................... 7-49
Table 7.6.2 Outline of Evaluators in Japan ........................................................................................................... 7-49
Table 7.6.3 Evaluation Indexes in Hong Kong .................................................................................................... 7-52
Table 7.6.4 Grade and Score .................................................................................................................................. 7-53
Table 7.6.5 Comparison List of Evaluation Indexes ........................................................................................... 7-56
Table 7.6.6 Comparison among Three Countries, Japan, Hong Kong, and Singapore .................................. 7-57
Table 7.6.7 List of Supporting Items and Standards............................................................................................ 7-62
Table 7.6.8 Comparison List of Weighing Factor ............................................................................................... 7-64
Table 7.6.9 Deployment of Evaluator ................................................................................................................... 7-66
Table 7.6.10 Work Performance Evaluation Sheet................................................................................................ 7-70
Table 7.6.11 Appendix 1 of Work Performance Evaluation Sheet for Quality Section of Road Project........ 7-74
Table 7.6.12 Appendix 2 of Work Performance Evaluation Sheet for Quality Section of Bridge Project ..... 7-81
Table 7.6.13 Appendix 3 of Work Performance Evaluation Sheet for Quality Section of Hydropower
Project ................................................................................................................................................... 7-88
Table 7.6.14 Appendix 4 of Work Performance Evaluation Sheet for Quality Section of Building Project .. 7-93
Table 7.6.15 Projects and Packages Selected for Trials ......................................................................................7-103
Table 7.7.1 System Outlines.................................................................................................................................7-111
Table 7.7.2 Responsibility Assignments for System Development ................................................................7-111
Table 7.7.3 User Classes and Roles.....................................................................................................................7-112
Table 7.7.4 Comparison between the System Outlines of Former Registration Systems and Updated
Systems...............................................................................................................................................7-114
Table 7.8.1 Example of Contractor Grading Method in Japan ........................................................................7-115
Table 7.8.2 Example of Construction Company Grading Method..................................................................7-116
Table 8.2.1 National Qualifications by Enforcing Ministry Level....................................................................... 8-7
Table 8.2.2 National Qualifications in Japan .......................................................................................................... 8-8
Table 8.2.3 National Qualifications for State Agencies (Building Standard Expert)....................................... 8-11
Table 8.2.4 National Qualifications for Inspecting Building Facilities.............................................................. 8-11
Table 8.2.5 Qualification Grade Classification and Capacity Evaluation ......................................................... 8-12
Table 8.2.6 Comparison of Engineer Qualifications ........................................................................................... 8-14
xiv
Table 8.3.1 Comparison of Authorities Implementing Examination ................................................................ 8-19

Table 8.3.2 Comparative Table to Decide the Details of Vietnamese New Examination .............................. 8-21
Table 8.3.3 Three Methods to Select Successful Examinees ............................................................................. 8-24
Table 8.3.4 Short Training Course Comparative Table of Plan A, B, C........................................................... 8-27
Table 8.3.5 Requirements of Supervisor Qualification ....................................................................................... 8-29
Table 8.3.6 Examination (Example)...................................................................................................................... 8-30
Table 8.3.7 Roadmap .............................................................................................................................................. 8-30
Table 8.4.1 Roles of Site Agent and Managing Engineer in Japan.................................................................... 8-36
Table 8.4.2 Number of Questions and Number of Required Answers on Academic Examination in
Japan ..................................................................................................................................................... 8-38
Table 8.4.3 Number of Questions and Number of Required Answers on Practical Writing Examination in
Japan ..................................................................................................................................................... 8-40
Table 8.4.4 Guideline of Training Course for Managing Engineer in Japan.................................................... 8-40
Table 8.4.5 Application Requirement for Academic Examination of 1st Class CEOM in Japan ................. 8-41
Table 8.4.6 Application Requirement for Academic Examination of 2nd Class CEOM in Japan................ 8-41
Table 8.4.7 Eligibility Requirement for Application for Construction Supervisor (CS) Examination.......... 8-46
Table 8.4.8 Eligibility Requirement for Construction Supervisor and Site Manager ...................................... 8-47
Table 8.5.1 Exam locations possible in Vietnam ................................................................................................. 8-61
Table 8.5.2 Features of multiple and writing type questions .............................................................................. 8-64
Table 8.5.3 Training plan at time of renewal ........................................................................................................ 8-71
Table 8.5.4 Implementation of examination......................................................................................................... 8-77
Table 8.5.5 Examination question component ..................................................................................................... 8-80
Table 8.5.6 Certificate condition on Construction Supervisor............................................................................ 8-81
Table 8.5.7 Roadmap for improving construction supervisor qualification system ........................................ 8-82
Table 8.5.8 Exam implementation......................................................................................................................... 8-85
Table 8.5.9 Certificate condition on Site Manager .............................................................................................. 8-88
Table 9.2.1 Sample of Construction Methods...................................................................................................... 9-13
Table 9.2.2 Construction Work Method Statements Dependent on Construction Work Types.................... 9-15
Table 9.2.3 Contents List of Specifications .......................................................................................................... 9-16
Table 9.2.4 Standard Technical Specifications for Roads/Bridge Construction .............................................. 9-16
Table 9.2.5 Standard Technical Specifications for Port Construction ............................................................... 9-18
Table 9.2.6 Standard Technical Specifications for Dam Construction.............................................................. 9-19
Table 9.2.7 Standard Technical Specifications for Public Building Construction
(Building Works)................................................................................................................................. 9-19
(Electric Works Edition)..................................................................................................................... 9-23
(Machinery Works Edition) ............................................................................................................... 9-24
Table 9.2.10 Standard Technical Specifications for Sewer Facility Construction............................................... 9-25
Table 9.2.11 Standard Technical Specifications for Fishing Port Construction................................................... 9-26
xv
Table 9.2.12 Manuals for Editing Technical Specifications in Vietnam............................................................. 9-26

Table 9.2.13 Contents List of MOT Manual .......................................................................................................... 9-26
Table 9.2.14 Draft Contents List of VASECT Manual......................................................................................... 9-27
Table 9.2.15 Contents List of General Provisions.................................................................................................. 9-28
Table 9.2.16 General Provisions for Public Works (JICA Project Team) .......................................................... 9-29
Table 9.2.17 General Provisions for Building Works (MLIT Specifications).................................................... 9-31
Table 9.3.1 Contents List ........................................................................................................................................ 9-33
Table 9.3.2 Major Contents of Standards for Civil Work Supervision ............................................................. 9-34
Table 9.3.3 Standards for Final Measurement (MLIT Case) ............................................................................. 9-36
Table 9.3.4 Standards for Quality Management (Tests, MLIT Case) ............................................................... 9-37
Table 9.3.5 Common Construction Works........................................................................................................... 9-46
Table 9.3.6 General Construction Works ............................................................................................................. 9-46
Table 9.3.7 Compiled Table Format of Information on Measurements ........................................................... 9-47
Table 9.3.8 Classification by Construction Work Methods for Testing............................................................ 9-48
Table 9.3.9 Compilation of Information on Testing ............................................................................................ 9-49
Table 10.5.1 Comparison of Vietnamese and Japanese system ........................................................................... 10-5
Table 10.5.2 Japanese application instances by local governments ...................................................................10-11
Table 11.3.1 Causes of Work Accidents................................................................................................................. 11-8
Table 11.5.1 Labor Accident Statistics in Vietnam..............................................................................................11-10
Table 11.5.2 The Timeline of Preparing “Safety/Health Manual” and “Case Studies on Accident and Near
Misses” ...............................................................................................................................................11-12
Table 11.6.1 Labor Safety Related Regulations ...................................................................................................11-14
Table 12.2.1 Number of Schools under MOC ....................................................................................................... 12-5
Table 12.2.2 Number of Trainees through School Education under MOC ........................................................ 12-6
Table 12.2.3 Number of Trainees through School Education outside of the MOC State Management ......... 12-7
Table 12.2.4 Organizations Working for Short-term Training under the MOC’s State Management ............ 12-8
Table 12.2.5 Short-term Training Courses Authorized by MOC and their Implementers................................ 12-8
Table 12.2.6 Number of Qualification Training Implementers Authorized by MOC....................................... 12-9
Table 12.2.7 Targets of Short -term Training Courses .......................................................................................... 12-9
Table 12.2.8 Short-term Training Courses by CQM in 2010.............................................................................12-10
Table 12.2.9 Short-term training courses by CQM from 11/2012 to 8/2013....................................................12-10
Table 12.2.10 Example of Short-term Training Implementation in 2010 ...........................................................12-11
Table 12.2.11 Example of Training Courses that CIC Staff Members Attended in 2010.................................12-12
Table 12.2.12 Organizations Working for Short-term Training for Public Servants .........................................12-13
Table 12.2.13 List of Training Courses Implemented by AMC in 2010.............................................................12-14
Table 12.2.14 Categorization of Professional Education (Article 32 of the Education Law)...........................12-15
Table 12.3.1 Stakeholder Analysis ........................................................................................................................12-21
Table 12.3.2 Training Program Analysis ..............................................................................................................12-22
Table 12.3.3 Implementation Bodies for On-the-Job-Training Programs ........................................................12-23
Table 12.3.4 Training Programs by Implementation Body ................................................................................12-23
xvi
Table 12.3.5 Recommended AMC Training Programs......................................................................................12-25

Table 12.4.1 Workshop on Construction Quality Assurance and Safety Management ..................................12-26
Table 12.4.2 Workshop on Quality Assurance and Safety Management in Construction..............................12-27
Table 12.4.3 CQM Training Courses ....................................................................................................................12-28
Table 12.4.4 Program of the 1st Training Course to Spread-out the Project’s Outputs ....................................12-30
Table 12.4.5 Program of the 2nd Training Course to Spread-out the Project’s Outputs ...................................12-31
Table 12.4.6 Program of the 3rd Training Course to Spread-out the Project’s Outputs ...................................12-32
Table 12.4.7 Program of the 4th Training Course to Spread-out the Project’s Outputs....................................12-33
Table 12.4.8 Program of the 5th training course to Spread-out the Project’s Outputs ......................................12-34
Table 12.4.9 Program of the 6th Training Course to Spread-out the Project’s Outputs ..................................12-34
Table 12.4.10 Program of the 7th Training Course to Spread-out the Project’s Outputs....................................12-35
Table 12.4.11 Program of the 8 th Training Course to Spread-out the Project’s Outputs..................................12-36
Table 12.4.12 Program of the 9 th Training Course to Spread-out the Project’s Outputs..................................12-36
Table 12.5.1 Analysis on Stakeholders and Their Information Requirements .................................................12-39
Table 12.5.2 Training Programs for the Project Output Dissemination ............................................................12-44
Table 12.5.3 Requirements of Technical Training...............................................................................................12-50
Table 12.6.1 Training courses in 2013 ..................................................................................................................12-52
Table 12.6.2 Planning of Training Programs for Provincial-level People’s Committees ...............................12-56
Table 12.6.3 Training Center Approved by MOC (As of March 2013) ...........................................................12-57
Table 13.1.1 Program of C/P Training for Construction Quality Assurance...................................................... 13-1
Table 13.1.4 Program of C/P Training for Non-destructive testing for construction work............................... 13-6
Table 13.1.5 Program of C/P Training for Quality Assurance on Construction and Building Works
Projects ................................................................................................................................................. 13-7
Table 13.2.1 Japan-Vietnam Senior Officials’ Seminar on Construction Quality Assurance .......................... 13-9
Table 13.2.2 Program for Quality Assurance Seminar for Senior Officials in Ho Chi Minh City ................13-11
Table 13.2.3 Enhancement of Maintenance in Construction Quality Management System in Vietnam......13-14
Table 13.3.1 Agenda for Exchange Program for the MOC’s Senior Officials and Construction Industries’
Senior Executives ..............................................................................................................................13-15
Table 13.4.1 List of Delivered Vehicles................................................................................................................13-18
Table 13.4.2 List of Delivered Equipment............................................................................................................13-18
Table 13.4.3 List of Delivered Servers and Computers.......................................................................................13-19
Table 14.1.1 Final Product and Reporting Formats ............................................................................................... 14-2
Table 14.2.1 Japan-Vietnam Senior Official’s Seminar........................................................................................ 14-3
Table 14.2.2 Japan-Vietnam Exchange Program................................................................................................... 14-4
Table 14.2.3 MOC-JICA Joint Coordination Workshop...................................................................................... 14-4
Table 14.3.1 Training Courses in Japan .................................................................................................................. 14-4
Table 14.4.1 CQM Training Courses ...................................................................................................................... 14-4
Table 14.5.1 Vehicle Supply .................................................................................................................................... 14-5
xvii
Table 14.5.2 Computer Hardware Supply .............................................................................................................. 14-5

Table 14.5.3 Inspection Equipment Supply............................................................................................................ 14-5
Table 14.6.1 Regulations Promulgated during Project Term ............................................................................... 14-6
xviii
ABBREVIATIONS
AMC : Academy for Mangers of Construction and Cities
CAMD : Construction Activity Management Department
CIC : Construction Inspection Center
CIP : Construction Investment Project
CME : Construction Management Engineer
CPD : Continuous Professional Development
CONINCO : Consultant and Inspection Join Stock Company of Construction Technology and Equipment
C/P : Counterpart
CQM : Viet Nam Center for Technology of Construction Quality Management
CS : Construction Supervise
DOC : Department of Construction
DOT : Department of Transportation
DPI : Department of Planning and Investment
FIDIC : International Federation of Consulting Engineers
IBST : Institute of Building Science and Technology
GS1 : Qualification for Supervisor Who Graduated University
GS2 : Qualification for Supervisor Who Graduated Junior College or High School
HDOC : Hanoi Department of Construction
HDOT : Hanoi Department of Transportation
IT / R : Interim Repot
ITST : Institute of Transport Science & Technology
JCC : Joint Coordinating Committee
JICA : Japan International Cooperation Agency (Japan)
KS : Qualification for Engineer
KTS : Qualification for Architect
MLIT : Ministry of Land, Infrastructure, Transportation and Tourism(Japan)
M/M : Minutes of Meeting
MOA : Ministry of Agriculture and Rural Development
MOC : Ministry of Construction
MOET : Ministry of Education and Training
MOHA : Ministry of Home Affairs
MOI : Ministry of Industry and Trade
xix
MOLISA : Ministry of Labor, Invalids and Social Affairs

MOT : Ministry of Transport
MPI : Ministry of Planning and Investment
OCAJI : Overseas Construction Association of Japan, Inc.
ODA : Official Development Assistance
PDM : Project Design Matrix
PMC : Project Management Consultant
PMU : Project Management Unit
PPC : Provincial-level People’s Committee
PQ : Pre-Qualification
P/R : Progress Report
QE Center : MOC Qualification Examination Center
R/D : Record of Discussion
R&D : Research and Development
SACQI : State Authority of Construction Quality Inspection
TC : Training Center
TCQM : Transport Construction Quality Control and Management Bureau
VECAS : Vietnam Engineering Consultant Association
VFCEA : Vietnam Federation of Civil Engineering Associations
VNBAC : Vietnam Network of Bodies for Assessing Construction Quality Conformity
W/P : Work Plan
WTO : World Trade Organization
xx
CHAPTER 1 INTRODUCTION
1.1 PROJECT BACKGROUND
The Government of the Socialist Republic of Vietnam (the Government of Vietnam) has been
pushing forward its open economy policy and enjoyed favorable economic growth in recent
years, benefitting from foreign investment as a lever, although there are some concerns about
inflation. the Government of Vietnam has successfully realized its participation in World Trade
Organization (WTO) in 2007. In order to keep maintaining sustainable economic growth
imperative to support the National Development Plan, the Government of Vietnam manages a
large number of infrastructure development projects and put them into realization successfully.
However, a rapid increase in infrastructure construction projects has also brought negative
aspects of development, i.e. inadequate quality of construction works and labor accidents during
construction works which is emerged to be a social concern recently.
The Government of Vietnam has tackled the development of institutions for infrastructure
construction projects over a decade. This includes regulations of construction quality assurance,
quality management technologies, human capacity development programs and so forth.
However, a study on the current status of institutions identified the following issues;
 Lack of understanding of rules and regulations particularly for the site engineers;
 Increase in violations of regulations and contract conditions;
 Increase in local project owners without sufficient management capacity who are emerged
as a result of the government decentralization policy;
 Lack of capacity in the field of work quality inspection and technical guidelines and
manuals is imperative to support field activities of construction works;
 Current engineer qualification system is not caught up with rapid increase of infrastructure
construction projects.
As the system, technologies and human capacity development in construction quality assurance
should work together and create synergy in order to improve construction work quality and
labor safety, the Ministry of Construction (MOC) of the Government of Vietnam proposed
technical assistance to the Government of Japan for the purpose of improving and enhancing
capacity of construction quality assurance as well as labor safety during construction works.
Upon receiving this request, the Japan International Cooperation Agency (JICA) sent the first
mission in June 2009 and the second mission in September 2009 for assessing the proposal and
formulating technical assistance programs to this proposal. the Government of Vietnam and
JICA have reached agreement on the technical assistance programs which leads to the
implementation of this project. The Minutes of Meeting (M/M) was agreed upon between both
parties on October 9th, 2009 and the Record of Discussions (R/D) on March 26th, 2010.
1-1
1.2 PROJECT OBJECTIVES
Efficient administration functions which provide general rules over the implementation of
various construction investment projects are prepared aiming to;
 Enhance construction quality assurance system.
 Develop project management technologies for construction quality assurance.
 Provide training opportunities to spread out project outcomes to persons related to

1.3 PROJECT MANAGEMENT
In accordance with R/D dated on October 9th, 2009, a Joint Coordinating Committee (JCC) and
a MOC counterpart team (PMU) will be established. Figure 1.3.1 shows the inter-relation
between these organizations. The latter will include full-time counterpart personnel who will
work regularly with the JICA experts assigned for this project.
Joint Coordinating Committee (JCC)
JICA project team MOC Counterpart Team (PMU)
Figure 1.3.1 Project Management Structure
(1) Joint Coordinating Committee (JCC)
1) Function
JCC is to meet at least once a year and whenever the necessity arises, in order to fulfill the
following functions;
 To discuss and approve the annual work plans of the Project based on the approved annual
budget;
 To review the overall progress and annual expenditure of the Project as well as the
achievement of the annual work plans mentioned above; and
 To review and exchange views on major issues arising from or in connection with the
Project and feedback to annual work plans.
1-2
2) Members
Chairperson: Vice Minister, Ministry of Construction
Member of Vietnamese side: Project Director, Project Manager, Representatives

from Vietnamese side
Member of the Japanese side: Japanese experts, Chief Representative of JICA

Vietnam Office
3) Project Management Unit (PMU)
Chair Person: Dr. Le Quang Hung - Head of SACQI, MOC
1.4 JICA PROJECT TEAM
The member list of the JICA Project Team is shown below. Also, the organization structure of
the JICA Project Team is shown in Figure 1.4.1 and the advisor and expert work assignments in
Figure 1.4.2.
(1) Long-term Experts
(1) NAKASUKA, Satoshi; Advisor for Construction Quality Assurance

(2) INOUE, Sadafumi; JICA Expert / Construction Management
(3) KAMIGATAKUCHI, Tokujiro; Project Coordinator
(2) Consultant Experts
(1) KATO, Tsuneo; Team Leader / Administration System / Quality

Management System
(2) KUSANO, Seiichi; Deputy Team Leader / Quality Management
Technology / Specifications / Examination System
for Engineer Qualification
(3) SAKURAI, Tatsuyuki; Expert / Quality Inspection System
(4) YAMAUCHI, Masafumi; Expert / Contractor Selection and Registration
System
(5) KURAJI, Kentaro; Expert / Construction Supervisor Qualification
System
(6) IWASHITA, Akira; Expert / Site Manager Qualification System
(7) TAKEUCHI, Jun; Expert / Contractor Evaluation System
(8) USAMI, Makoto; Expert / Construction Safety Management
(9) AKABANE, Etsuko (Ms.) / Expert / Human Capacity Development

MIYAKAWA, Akiko (Ms.);
1-3
(10) NAKAJIMA, Iwao/ Expert / Architecture Technology

TANOGUCHI, Taiji;
(11) ABE, Shuji; Expert / Building Work Maintenance Technologies

(12) KUNIMASA, Yoshiro; Expert / Registration and Evaluation System
Development
(13) TANAKA, Takuya; Expert / Administration System / Quality
Management System
1-4
KATO, Tsuneo NAKASUKA, Satoshi KAMIGATAKUCHI, Tokujiro
Team Leader Advisor Project Coordinator
Administration System/ Quality for Construction Quality Assurance
Management System
INOUE, Sadafumi
JICA Expert
Construction Management
KUSANO, Seiichi
Deputy Team Leader
Quality Management Technology /
Specifications / Examination System
for Engineer Qualification

SAKURAI, Tatsuyuki YAMAUCHI, Masafumi KURAJI, Kentaro KAWAJIRI Tatsuo IWASHITA, Akira
1-5
Expert Expert Expert Expert Expert

Quality Inspection System Contractor Selection and Construction Supervisor Site Manager Qualification Site Manager Qualification
Registration System Qualification System System System
TAKEUCHI, Jun USAMI, Makoto AKABANE, Etsuko (Ms) MIYAKAWA, AKiko (Ms)
Expert Expert Expert Expert
Contractor Evaluation System Construction Safety Human Capacity Development Human Capacity Development
Management
NAKAJIMA, Iwao/ ABE, Shuji ABE, Shuji KUNIMASA, Yoshiro TANAKA, Takuya
TANOGUCHI, Taiji Expert Expert Expert Expert
Expert Building Work Maintenance Building Work Maintenance Registration and Evaluation Administration System /
Architecture Technology Technologies Technologies System Development Quality Management System
Figure 1.4.1 Project Team Organization Structure

Year 2010 Year 2011 Year 2012 Year 2013
Position & Responsibility Name
5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12
Advisor for Construction Quality NAKASUKA,

Assurance Satoshi (33.6 Months)
JICA Expert /
INOUE, Sadafumi
Construction Management
(36.5 Months)
KAMIGATAKUCHI
Project Coordinator
, Tokujiro
(41.1 Months)
Team Leader
Administration System/ Quality KATO, Tsuneo
Management System (30) (30) (22) (23) (38) (42) (36) (4) (20) (25) (39) (21) (21) (14) (24) (30) (21) (39)
Deputy Team Leader
Quality Management Technology /
KUSANO, Seiichi
Specifications / Examination (45) (52) (21) (43) (52) (42) (30) (30) (15) (30) (15) (30) (30) (30)
System for Engineer Qualification
SAKURAI,
Quality Inspection System
Tatsuyuki (40) (30) (22) (30) (39) (14)
Contractor Selection and YAMAUCHI,

Registration System Masafumi (30) (30) (37) (23) (30) (21) (8) (31) (30) (39) (20) (16) (25) (7)
Construction Supervisor
KURAJI, Kentaro
Qualification System (30) (45) (45) (30)
(5)
KAWAJIRI, Tatsuo (5)

(8)
1-6
Site Manager Qualification System
IWASHITA, Akira
(45) (48)
Contractor Evaluation System TAKEUCHI, Jun

(23) (24) (33) (25) (30) (28) (42) (20) (20) (30)
Construction Safety Management USAMI, Makoto

(31) (33) (41) (30)
AKABANE, Etsuko
(Ms.)
(30) (52) (29) (24) (28) (32)
Human Capacity Development
MIYAKAWA,
Akiko(Ms.) (30) (30) (30) (30)
NAKAJIMA, Iwao
(30)
Architecture Technology
TANOGUCHI, Taiji
(30)
Building Work Maintenance

ABE, Shuji
Technologies (30) (30) (30) (30)
Registration and Evaluation KUNIMASA,

System Development Yoshiro (20) (41) (14) (48) (21) (36) (30) (27) (15)
Administration System /
TANAKA, Takuya
Quality Management System (24) (24) (36) (30)
Figure 1.4.2 Advisor and Expert Work Assignment

1.5 MOC COUNTERPART TEAM
The member list of the MOC counterpart Team is listed in Table 1.5.1.
Table 1.5.1 Counterpart Member List

Activity Expert Supporting Staff
Activity Improve project 1.1 Enhance Mr. Hoang Tho Vinh Mr. Do Quoc Khanh
1 management methods responsibility Deputy General Director- Construction Techical
and clarify assignment Construction Activities Infrastructure field-(MOC)
responsibilities between between Management (CAMD)-
stakeholders (Project stakeholders (MOC)
owners, employers, CS
consultants and 1.2 Improve contract Mr. Le Van Thinh Mr. Phan Quang Hien
contractors) focusing on management to Head of Inspection Division Transport Engineering
construction quality accelerate No.1 (SACQI)- (MOC) Construction and Quality
assurance. procedures Management Bureau
(Transport Sector)- (MOT)
1.3 Strengthen Mr. Pham Duc Toan Mr. Nguyen Huy Quang
institutions for Lecturer-Hanoi Transport Engineering
construction Construction University Construction and Quality
facility Management Bureau
maintenance. (Transport Sector)- (MOT)
1.4 Support revising Mr. Le Dinh Tuan

regulations Quality Assurance
including (Irrigation Sector)-
Construction Law, (MOARD)
Decree No.12 and
Circulars relevant
to Decree No.15
Activity Improve state agencies' 2.1 Strengthen state Mr. Tran Chung Mr. Do Ba Dai
2 (especially MOC) management audit Senior expert; Legal affair-(MOC)
inspection system for system to project Head of Construction
construction quality owners Quality Division- Vietnam
assurance Federation of Civil
Engineering Association
2.2 Strengthen CQM Mr. Le Van Thinh Mr. Phan Quang Hien
training functions. Head of Inspection Division Quality Assurance
No.1 (SACQI) -(MOC) (Transport Sector)- (MOT)
2.3 Strengthen Mr. Nguyen Gia Chinh Mr. Nguyen Huy Quang
sanctions against Deputy General Director- Transport Engineering
contractor’s Legal Affair Department- Construction and Quality
improper (MOC) Management Bureau
construction (Transport Sector)- (MOT)
project Mr. Ngo Lam
management Deputy General Director of
SACQI-(MOC)
Activity Develop and Apply 3.1 Develop and apply Mr. Nguyen Viet Hung Mr. Le Quoc Anh
3 Contractor Registration company Senior expert, former SACQI- (MOC)
and Evaluation registration general director of Bidding (Data integration & IT)
systems for Management Department -
1-7

construction (MPI)
companies and
consultants.
3.2 Develop and apply Mr. Hoang Tho Vinh Mr. Nguyen Ngoc Minh
contractor work Deputy General Director- CAMD-(MOC)
performance Construction Activities (Data integration & IT)
evaluation system Management (CAMD)-
and conduct trial (MOC)
studies registration
system. Mr. Ngo Lam Mr. Tran Minh Phu
Deputy General Director of CAMD-(MOC)
SACQI-(MOC) (Official)
Mr. Duong Minh Nghia

Deputy Head of Office of
National Acceptance
Council (SACQI)- (MOC)
Mr. Nguyen Kim Duc

Deputy Head of Inspection
Division No.2 (SACQI)-
(MOC)
Activity Improve Existing 4.1 Enhance existing Mr. Hoang Tho Vinh Mr. Pham Duc Ky
4 Engineer Qualification construction Deputy General Director- Office of National
System supervisor Construction Activities Acceptance Council -
qualifications Management (CAMD)- SACQI-(MOC)
(MOC)
4.2 Enhance site Mr Nguyen Gia Chinh

manager Deputy General Director-
qualifications Legal Affair Department-
(MOC)
4.3 Develop Ms. Nguyen Thi Thu Ha

examination Head of General Affair-
system for the CAMD-(MOC)
evaluation of
engineer Mr. Phan Vu Anh
qualifications Vice Head of Inspection No.
1- SACQI-(MOC)
Activity Develop project 5.1 Develop the Mr. Tran Chung Mr. Nguyen Huy Quang
5 management framework for a Senior expert; Transport Engineering
technologgies in construction Head of Construction Construction and Quality
construction quality quality manual Quality Division- Vietnam Management Bureau
assurance Federation of Civil (Transpor Sector)- (MOT)
Engineering Association
5.2 Develop the Mr. Nguyen Dai Minh Mr. Le Dinh Tuan
framework for a Director of Industrial and Quality Assurance
standard Infrastructure Engineering - (Irrigation Sector)-
construction work Vietnam Institute for Department of Facilities
specification Building Science and Construction Management-
Technology-(IBST) (MOARD)
1-8

Mr. Tran Huu Ha
Deputy General Director-
Science, Technology and
Environment - (MOC)
Mr. Nguyen Ngoc Long

Permanent Vice Chairman
of Vietnam Bridge and
Road Association (VBRA)-
(MOT)
5.3 Develop a Mr. Le Dac Dinh

consultant user’s Official - SACQI-(MOC)
guideline for
preparing building Mr. Nguyen Tuan Ngoc Tu
facility Official of Inspection No. 3-
maintenance SACQI-(MOC)
procedure manuals
Activity Develop construction 6.1 Develop a Mr. Phan Dang Tho
6 work safety manual. construction work Deputy Chief of Inspector-
safety manual (MOLISA)
6.2 Develop case Mr. Pham Duc Toan

studies for Lecturer-Hanoi
construction work Construction University
near-miss incidents
Mr. Pham Duc Hinh
Head of Division-
Construction Safety Works
(CAMD)- (MOC)
Activity Provide training Mr. Nguyen Van Tien

7 opportunities to spread Organization & Personnel
out project Department -( MOC)
outcomes/equipment
Mr. Nguyen Xuan Phuong
Vice Head of
Admin Office - SACQI-
(MOC)
Mr. Nguyen Anh Tuan

Head of Divison-CQM
(Training course
development)- (MOC)
1.6 PROJECT SCHEDULE
The Project commenced in May, 2010 and finish in December 2013. The general time schedule
of the Project is shown in Figure 1.7.1.
1-9
1.7 REPORTING
Table 1.7.1 shows types of reports and date of issue. The report will be submitted to MOC and
JICA through JCC meeting to be held each year.
Table 1.7.1 Reports
Name Date of Issue Language
WORK PLAN (W/P) October, 2010 English
PROGRESS REPORT (P/R) March, 2011 English
INTERIM REPORT (IT/R) March, 2012 English
INTERIM REPORT II (IT/R II) February, 2013 English
FINAL REPORT December, 2013 English
1-10
Year YEAR 2010 YEAR 2011 YEAR 2012 YEAR 2013
5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12 1 2 3 4 5 6 7 8 9 10 11 12
Report ＩＣ／ＲＰ／ＲＩＴ／ＲＩＴ／Ｒ- 2 FINAL REPORT
JCC
Improve Project Management Methods and Clarify Re sponsibilities Among Stakeholders
Exchange opinions with

Survey & Formulate Draft revision
concerned stakeholders of regulations
analysis improvement policy on responsibilities among stakeholders
on the revised plan
Support revising Decree 209 (formulating new Decree 15) Support revising regulations
Improve State Agency's Inspection System for Construction Quality Assurance
Exchange opinions with

Survey & Formulate Improvement policy on construction Draft revision of
analysis concerned stakeholders regulations
quality assurance system
on the revised plan
Monitoring
of progress
Support revising Decree 209 (formulating new Decree 15)
Develop and Apply Contractor ,Consultant Selection/Registration and Evaluation System
Formulate improvement Select information

Develop construction contractor registration Develop computer system of construction
policy on c onstruction items for the registration Develop construction contractor registration system
system contractor registration system
registration system sys tem

Formulate improvement policy on consultant Develop computer system of consultant registration Revise specifications of systems;
registration system Develop consultant registration system
system
(1) Construction contractor registration system,
Survey & (2) consultant registration system,
analysis
(3) construction package database system, and
Disc uss and coordinate on construction
Develop construction package database system and computer system of construction database system
package database system (4) contractor work performance system
Develop contractor work

1-11
Formulate policy on Select evaluation performance evaluation system Prepare guidelines for Trial of contractor work evaluation system/ Develop Discuss and coordinate on contractor work
contractor work performance
evaluation system indexes and coordinate among system trial computer system performance evaluation system
stakeholders
Activities
Improve existing engineer qualification s ystem for construction supervisor
Formulate
Survey &
improvement Draft improvement plan Discuss and coordinate on revised plan
analysis
po licy
Develop examination system for engineer qualification system and

Improve site manager qualification system site manager qualification system
Stud y and discuss Draft site manager qualification s ystem and Monitoring and
on basic policy discuss with stakeholders Amend draft site management system
modifications
De velop Project management Technologies

Develop Construction Work Quality
Exchange opinions with concerned
management framework and
stakeholders on framework
sample manual
Manuals and guidelines for construction maintenance
Select
Survey & Planning & discussion on Develop framework of construction specifications for civil works and Exchange opinions with concerned
construction analysis improvement policy sample of specifications stakeholders on framework
work categories
Construction Work Safety Manage ment Manual
Survey & formulate Planning & discuss ion on Develop construction work
Study on diss eminating the manual
improvement policy improvement policy safety management manual
Improve Training Systems and Conduct Pilot Trainings
Draft training programs and Conduct pilot Planning & discuss on t

Survey & analysis raining plan after the project
Seminar for dissemination
plans training
Figure 1.7.1 General Flow of the Project

CHAPTER 2 SCOPE OF PROJECT AND METHODOLOGIES
2.1 SCOPE OF PROJECT
The Project Team has implemented the following activities. The details of the activities are
elaborated on in CHAPTER 4.
Activity 1: Improve project management methods and clarify responsibilities between

stakeholders (Project owners, employers, Construction Supervise (CS)
consultants and contractors) focusing on construction quality assurance.
Activity 2: Improve state agencies' (especially MOC) inspection system for construction
quality assurance
Activity 3: Develop and apply company registration for construction company and
consultant. Develop and apply contractor work performance evaluation system
and conduct trial studies.
Activity 4: Improve existing engineer qualification system
Activity 5: Develop the framework for Construction quality manual and Standard
construction work specification
Develop a manual guiding maintenance for facilities
Activity 6: Develop construction work safety manuals.
Activity 7: Develop training system, draft training plans and implement training programs
2.2 PARTICULAR NOTE
(1) In implementing the project, there are two policies set in advance of making agreement
on M/M.
- Policy (1): Improve existing construction quality assurance systems which include
inspection systems, contractor selection and registration systems, and engineer
qualification systems
- Policy (2): Improve existing technologies for construction work quality assurance
which include standardization of technical specifications and work quality
management manuals
(2) State Authority of Construction Quality Inspection (SACQI), is the main counterpart of
the project. As the authority, delegated by MOC, needs to direct the various infrastructure
construction projects implemented by other ministries and by provincial people’s
committee, Administration function of construction quality assurance by MOC becomes
to require wider perspective and becomes more important than initially expected. In this
2-1
project, taking this situation into consideration, more focuses are placed on the Policy (1),
the capacity enhancement in construction quality assurance, rather than on the Policy (2).
(3) As this project aims to enhance the capacity of the government administration functions
of infrastructure quality assurance, the Project Team introduces overseas advanced
programs including the practices of Japan and other advanced countries.
(4) Recommendations of improvement plans should not contradict or infringe on the existing
regulations concerning construction quality assurance. Also, much attention should be
directed to the improvement of existing regulations rather than introducing new
regulations. Thus, the project team develop recommendations with clear apprehension of
the existing regulations, and confer with concerned parties.
(5) Under this technical assistance project, technical transfer to counterparts is an integral
part of the project. Thus the Project implements technical transfer to the MOC
counterparts.
2-2
CHAPTER 3 CURRENT STATUS OF INFRASTRUCTURE

DEVELOPMENT IN VIETNAM
3.1 OVERVIEW OF INFRASTRUCTURE INVESTMENT
In Vietnam, infrastructure development by economic sector falls into the following five
categories;
(1) Civil work infrastructure
(2) Industrial infrastructure
(3) Transportation infrastructure
(4) Agriculture infrastructure
(5) Urban technical infrastructure
Table 3.1.1 shows magnitudes of investment over the past five years from 2008 to 2012.
Likewise,
Figure 3.1.1 shows the growth of infrastructure investment. As seen in the tables, non-state
budget projects show rapid growth in investment and surpassed investment in the state-budget
projects, except in 2010. Of all infrastructure investment, those in the industry sector occupy
38% and the civil work sector occupy 42%, followed by the investment in the transport sector
(12%), the urban technical infrastructure (3%) and the agriculture (5%), although analysis was
based on estimated total investment in 2012. Looking at breakdowns in the civil work
investment, the housing investment is dominant, occupying 85% of all investment and
surpassing school (9%) and hospital investment (6%). Likewise, road, bridge and port
investment occupy a large proportion of 72% among all transport sector investment.
Table 3.1.1 Infrastructure investment by economic sectors

Unit: Billion VND
Year
No Economic Sector 2012
2008 2009 2010 2011
(Estimated)
Total Investment 488,701 533,369 830,278 924,495 989,300
State Budget 128,367 150,754 316,285 341,555 374,300
Non State Budget 196,248 260,755 299,487 356,049 385,025
Foreign Investment 164,086 121,860 214,506 226,891 229,975
Wherein: Investment in some sectors 315,478 366,546 624,633 719,613 780,669

1. Transport 67,966 70,540 89,174 90,372 91,553
1.1 Roads, bridges and Ports 66,776 69,236 65,222 66,111 66,054
3-1
Year
No Economic Sector 2012
2008 2009 2010 2011
(Estimated)
1.2 Airports 510 324 13,752 13,911 14,362
1.3 Railways 680 980 10,200 10,350 11,137
2. Agricultures 9,524 11,531 36,500 40,484 40,896

2.1 Irrigations 7,424 9,231 25,150 28,321 28,563
Channels, pumping stations, internal
2.3 2,100 2,300 11,350 12,163 12,333
irrigation gates, etc.
3. Industry 133,723 145,114 232,395 261,355 295,603

3.1 Energies (hydro-power, thermal-power, etc.) 43,981 52,689 70,491 75,347 77,660
3.2 Processing industry 89,742 92,425 161,904 186,008 217,943
4. Civil works 84,083 92,246 245,060 304,105 329,171

4.1 Housing 58,630 64,590 209,441 261,577 279,805
4.2 Schools 16,521 17,426 23,580 27,273 30,767
4.3 Hospitals 8,932 10,230 12,039 15,255 18,599
5. Urban Technical Infrastructure 20,182 21,527 21,504 23,297 23,446

Water supply and drainage. Sewage
5.1 20,182 21,527 21,504 23,297 23,446
treatment (cleanup works, etc.)
Billion VND
1,200,000
1,000,000
800,000 Total
Investment
600,000 State Budget
400,000 Non State

Budget
Foreign
200,000 Investment
0
2008 2009 2010 2011 2012
(Estimated)
(a) Growth by Budget
3-2
Billion VND
350,000
300,000
Transport
250,000
Agricultures
200,000
Industry
150,000
Civil works
100,000
Urban Technical
50,000 Infrastructure
0
2008 2009 2010 2011 2012
(Estimated)
(b) Growth by Type
Civil Works
42% Urban Technical
Infrastructure
3%
Transport
12%
Agricultures
5%
Industry
38%
(c) Breakdown of Investment (2012)
Airports
16%
Schools Railways
9% 12%
Housing
85% Hospitals Roads,
6% bridges
and Ports
72%
(d) Civil Work (2012) (e) Transport (2012)
Figure 3.1.1 Investment Rates (Samples)
3-3
3.2 DECENTRALIZATION POLICY
On June 30th 2004, the government issued Resolution No. 08/2004/NQ-CP 1 aiming to
decentralize management from the central government to the provinces and centrally-
administered cities. Stepping up the State management decentralization between the
Government and the provincial-level administrations and among local administrations of all
levels, enable to bring the dynamism, creativeness, autonomy and self-responsibility of local
administrations on the basis of clearly defined tasks, powers and responsibilities of each level
apparatuses of the state. This is achieved through ensuring the concentrated, uniformed and
smooth management of the Government with enhanced administrative disciplines. Thus it
expects to raise the state management effectiveness and efficiency in service of the people's
demands and interests and encourage the socio-economic development in each locality in the
transition to a socialist-oriented market economy.
In line with this policy, authority on the infrastructure construction has also been delegated to
the provincial-level administrations and among local administrations of all levels from the
central Government.
3.3 PROJECT CATEGORIES
(1) Project Category by Capital
Decree No.12/2009/NĐ-CP 2 stipulates the categories of construction investment projects

(CIPs). Appendix_ 3-1-1 explains further details of this category.
(a) Projects financed by the state budget;
(b) Projects financed with credit guaranteed by the State and credit for investment and
development by the state;
(c) Projects financed by capital for investment and development of the State;
(d) Projects financed from other sources, inclusive of private capital or joint venture capital.
(2) Project Category by Scale
Decree No.12/2009/NĐ-CP also provides further categories of Construction Investment

Projects (CIPs) as shown below, which are based on the magnitude of investment and
particularity of the project. Of these, the important projects whose investment decisions are
made by the National Assembly.
1
Resolution No. 08/2004/NQ-CP of June 30, 2004 on further stepping up the State management decentralization between
the Government and the provincial/municipal administrations
2
Decree No.12/2009/NĐ-CP of February 10, 2009, on Management of Construction Investment Projects (CIPs)
3-4
(a) Important national project;
(b) Group A project;
(c) Group B project;
(d) Group C project
(3) Project Category by Technical Function
In addition, Decree 15/2013/NĐ-CP 1 stipulates project grades by technical function. The

project grade falls into five categories as shown below, based on the functional criteria such
as height and total area for architecture and building cases. Appendix_ 3-1-2 explains the
classification and grading of civil works.
3.4 PROJECT PLANNING
(1) Planning Procedures
The Government unifies the management on planning in the nationwide. The Ministries
coordinate with MPI to formulate the sector development plan and submit to the Prime
Minister for approval. The Prime Minister directly makes the decision on the national plans
including the socio-economic development plans; the infrastructure development plans with
important strategic significance; the master plans for developing sectors and economic
regions, the master plan of urban development (grade II or higher); the development plans of
industrial and high-tech zones. Upon approvals, the Ministers decide the detail development
planning of the sectors as the assignment of the Government.
Based on the overall planning of country, industry, and economic region, the presidents of the
PPC will formulate the local-level planning, including: planning of economic-social
development of the province, of the sub-regions of the provinces the affiliated units and;
sector development planning in the area; planning of urban development (grade III or below),
the province's rural projects and submit to the People's Council at the same level for approval
before making decision.
(2) Construction Plans
Following the procedures stated above, each Minister drafts a sector development plan. In
particular, the Minister of Construction takes responsibility for drafting the following national
plans in accordance with the Construction law, while the chairmen of the People’s
1
Decree No.15/2013/NĐ-CP, February 6th, 2013, on quality management of construction facilities
3-5
Committees take responsibility for planning regional-level plans in line with the national
plans.
(a) Regional construction plans;
(b) Urban construction plans;
(c) Rural population quarter construction plans.
3.5 LEGAL FRAMEWORK OF CONSTRUCTION PROJECT MANAGEMENT
Table 3.5.1 shows regulations stipulating detailed processes shown in Figure 3.5.1. In
principle, all these regulations have been widely applied to various infrastructure construction
projects. However, focuses have been placed more on the infrastructure construction, there
have been quite a few maintenance regulations prepared in the past.
3-6
(Note)
DM: Decision Maker
PO: Project Owner N; Procedures N-1; Approval N-2; Appraisal N-3; Review N-4; Commenting N-5; Drafting
(Note)
There three types of plans; To be drafted by MOC,
Plan is to be commented by
(1) Regional Construction Planning; A. Planning To be approved by DM PPCs
relevant organizations
(2) Urban Construction planning;
(3) Planning of Rural Population Quarter
Construction Planning. State Projects Plan is to be commented by; Plan is to be drafted by;
Comprehen A: by Prime Minister State Projects State Projects
sive B/C; Ministry A: Relevant Ministries A: MOC
Planning B/C: Depat of Relevant B/C: Depts of MOC
Regional Projects
(Note) Ministries Regional Projects
B/C; People's Council
Planning does not include cost element. B/C; Relevant Depts of PPCs
(Note) To be appraises by organizations To be drafted by PO/ F/S

Basic design is equivalent to F/S which To be approved by DM
related to DM Consultant
includes basic design, list of standards
Project and project cost estimate
Planning B. Basic Design State Projects State Projects
A: by Prime Minister A: Ministry
B/C; Ministry B/C: Depat of Ministries
Regional Projects Regional Projects
B/C; People's Council B/C; Relevant Depts of PPCs
C. Construction Permit
(Note)

D. Technical Design To be appraised by To be reviewed by design To be drafted by PO/ Design
-Technical design includes project cost & Cos t Es timate To be approved by PO
organizations related to PO review consultant Consultant
estimate
-Design will differ depending upon
project type
To be appraised by To be reviewed by design To be drafted by PO/ Design
E. Detail Design To be approved by PO
organizations related to PO review consultant Consultant
(Note) (1) Tender plan: To be appraises by organizations To be drafted by PO/

3-7
F. Tendering
(1) Tendering plan include; To be approved by DM related to DM Tendering Consultant
# of packages, tender type, type contract
(Lump sum or unit price, cost , schedule) E(1) Tendering plan
E(2) Tendering document
(2) Tender document: To be appraised by To be drafted by PO/
E(3) Appraisal of applicants
To be approved by PO organizations related to PO Tendering Consultant
E(4) Tender results
(3) Appraisal: To be done by To be appraised by To be drafted by PO/

(Note) PO/Consultant organizations related to PO Tendering Consultant
Appraisal is on Invitation,
applicant evaluation, e tc.
(4) Tender results: To be appraised by To be drafted by PO/
To be approved by PO organizations related to PO Tendering Consultant
(Note) G. Construction Supervision

Project owner hires two consultants; (1)
for Inspection and (2) for Quality
conformity
H. Construction Work
I. Cons truction Quality

(Note) Conformity Certificate
Consultants to be hired;
(1) Technical Design consultant
(2) Detail design consultant
(3) Tendering consultant To be appraised by
J. Balance Sheet To be approved by DM organizations related to DM To be drafted by DM
Figure 3.5.1 Construction Project Planning and Implementation Procedures

Table 3.5.1 Laws and Regulations for Construction Project Planning and Implementation
Procedure Category & Description Approval Appraisal
Planning
1. Regional construction planning Tasks Law on Construction Art 15 Law on Construction Art 15
Law on Construction Art 11-Item4 Law on Construction Art 11 – Item 4
Decree 08/2005/ND-CP Art 11 Decree 08/2005/ND-CP Art 11
Design Law on Construction Art 17 Law on Construction Art 17
2. Urban construction planning Tasks Law on Urban Planning Art 44 to 45 Law on Urban Planning Art 41 to 43
Decree 37/2010/ND-CP Art 31 to 34 Decree 37/2010/ND-CP Art 31 to 34
Design Law on Urban Planning Art 44 to 45 Law on Urban Planning Art 41 to 43
Decree 37/2010/ND-CP Art 31 to 34 Decree 37/2010/ND-CP Art 31 to 34
Organization and management Law on Urban Planning Art 53 to 73

Decree 37/2010/ND-CP Art 35 to 47
3. Rural population Quarter construction Planning Tasks Law on Construction Art 30 Law on Construction Art 30
Design Law on Construction Art 30
Decree 08/2005/ND-CP Art 36
3-8
Basic Design
1. Tasks and survey methods Law on Construction Art 50, 51
Decree 209/2004/ND-CP Chap. III Art 6,9,12
Circular 06/2006/TT-BXD Part III
2. Basic design and project explanatory documents Law on Construction Chap III Art 39, 40a, 41, 44 Law on Construction Chap III Art 39, 44
Decree 12/2009/ND-CP Chap II Art 5, 12 Decree 12/2009/ND-CP Chap II Art 9, 10, 11
Circular 03/2009/TT-BXD Art 2, 3 Circular 03/2009/TT-BXD Art 2, 3
3. Total investment capital Decree 112/2009/ND-CP Art 6, 7 Decree 112/2009/ND-CP Art 6
Circular 04/2010/TT-BXD Art 12, 13 Circular 04/2010/TT-BXD Art 12
Construction Permit Decree 64/2012/ND-CP
Design
1. Design Law on Construction Chap IV Art 57, 59, 60 Law on Construction Chap IV Art 57, 59
2. Technical Design Decree 12/2009/ND-CP Art 18 Decree 12/2009/ND-CP Art 18
3. Detail Design Decree 209/2004/ND-CP Chap. IV Art 16 Decree 209/2004/ND-CP Chap IV, Art 16
Circular 27/2009/TT-BXD Chap III Art 9 Circular 27/2009/TT-BXD Chap III, Art 9
Circular 02/2006/TT-BXD
1. Cost estimate Dec.112/2009/ND-CP: Art 10, 11, 24, 25, 26, 27 Decree 112/2009/ND-CP Art 10, 24, 25, 26, 27
Circular 04/2010/TT-BXD Art 14, 15 Circular 04/2010/TT-BXD Art 14 Appendix 7
Tendering Law on Construction Chap IV Art 95 to 106
2. Tendering Plan Law on Tendering Art 6 Law on Tendering Art 4 Item 39
Decree 85/2009/ND-CP Art 11, 12 Law on Tendering Art 6, 59
Law on Tendering Art 6 Decree 85/2009/ND-CP Art 11,12
3. Tendering Document Decree 85/2009/ND-CP Art 72
Law on Tendering Art 6, 59
4. Evaluation of Applicants Decree 85/2009/ND-CP Art 20, 31, 39
Decree 85/2009/ND-CP Art 72, 73
Law on Tendering Art 6, 59
5. Tendering Results Law on Tendering Art 40, 41 Law on Tendering Art 6, 59
Decree 85/2009/ND-CP Art 20, 31, 39, 71
Construction
1.Construction Work Law on Construction Art 72 to 80, 84

Decree 209/2004/ND-CP Art18, 19, 20
Circular 27/2009/TT-BXD Art 12 to 19
2. Construction Supervision Law on Construction Art 75 to 90
3-9

Decree 209/2004/ND-CP Art 3
Decree 209/2004/ND-CP Art18, 20, 21
Circular 27/2009/TT-BXD Art 14
3. Inspection Circular 27/2009/TT-BXD Art.14, 19
4. Acceptance Law on Construction Art 80
Circular 27/2009/TT-BXD Art 13, 17, 18
5. Authority Inspection Law on Construction Art 111 to 118
Circular 27/2009/TT-BXD Art.19
6. Quality conformity Decree 209/2004/ND-CP Art 28
7. Warranty Law on Construction Art.76, 82
Decree 209/2004/ND-CP Art 29, 30
Decree 48/2010/ND-CP Art.10,16, 42, 45
Construction Quality Conformity Certificate Circular 16/2008/TT-BXD
Balance Sheet Law on Construction Art 81 Decision 56/2008/QD-BXD
Decree 112/2009/ND-CP Art 28, 29, 30 Circular 86/2011/TT-BTC
Decree 48/2010/NĐ-CP Art.17 to .22. Circular 209/2009/TT-BTC
Decree 297/QĐ-KBNN
Decree 1243/QĐ-KBNN
Decree 1539/QĐ-KBNN
Decree 25/QĐ-KBNN
Maintenance Law on Construction Art 83
Decree 114/2010/ND-CP
(Source) JICA Project Team - as of October/2012

3-10
3.6 STAKEHOLDERS OF CONSTRUCTION PROJECTS
(1) MOC
1
Decree No.17/2008/ND-CP defines that the Ministry of Construction (MOC) is a
governmental agency which performs the function of state management of construction;
construction planning; technical infrastructure in urban centers, industrial parks, economic
zones and hi-tech parks; urban development; dwelling houses and office buildings; real estate
business; and construction materials and performs the state management of public services in
the domains falling under its state management in accordance with law. Decree
No.27/2009/TT-BXD2 stipulates MOC responsibilities for construction quality management.
Some of major responsibilities are stated below;
 Issue and guide legal documents on quality management of construction works.
 Inspect the state management of quality of construction works by ministries, branches and
local administrations; inspect the observance of legal provisions on quality management
of construction works by organizations and individuals when necessary; propose the
handling of, and handle, violations of quality regulations under law.
 Guide, organize or designate consultancy organizations which are capable of assessing

the quality or incidents of construction works at the request of the Prime Minister,
localities, ministries, ministerial-level agencies or branches.
 Annually or irregularly review and report on the actual quality and quality management of
construction works nationwide to the Prime Minister upon request. The State Authority
for Construction Quality Inspection shall assist the Minister of Construction in
performing the above responsibilities.
Figure 3.6.2 explains the MOC organization structure. In order to perform its duties, MOC
established SACQI for the state management of construction quality and CAMD for the state
management on construction projects in the organization. The following outlines the major
responsibilities of these organizations.
1) SACQI
State Authority of Construction Quality Inspection (SACQI) has the assistance function to
support the Minister in state management on construction quality and to organize the state
inspection of construction quality according to the assignment from the Government and the
1
Decree No.17/2008/ND-CP, February 4th 2008, Defining the functions, tasks, powers and organizational structure of the
Ministry of Construction
2
Decree No.27/2009/TT-BXD, July 31, 2009 on GUIDING A NUMBER OF PROVISIONS ON QUALITY
MANAGEMENT OF CONSTRUCTION WORKS
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Prime Minister. SACQI is the class-II Department, with the juridical capacity, with the stamp
for operation, and can open the account at State Treasury and bank under the provision of law.
The tasks and authorities are stipulated in detail under Decision No. 988/QD-BXD1.
Major responsibilities of SACQI include; to study and propose policies, programs, projects,
regulations and guidelines on construction quality management and inspection; to guide and
supervise the quality management in construction survey, design, execution, acceptance, and
handing-over and guide and supervise state construction inspection; to organize the
implementation of state inspection of construction quality for constructions under the
responsibilities of MOC; and to organize or nominate the inspection organization which has
eligibilities to do the quality inspection, state inspection for the construction incident
according to the request of the Prime Minister, the MOC Minister or the competent state
authorities; to implement the tasks of standing agency of the State Committee of Construction
Acceptance, and so forth.
General Deputy Director
Admin Inspection Inspection Inspection Repres.

CQM
Office Div. 1 Div. 2 Div. 3 Office in
HCM City
Figure 3.6.1 SACQI Organization
2) CAMD
Construction Activity Management Department (CAMD) is a counselor agency that supports

the Minister to perform the state management on construction activities including:
formulating the feasibility study and project management, construction survey, design,
construction implementation, and state management on enterprises, co-operatives of all
economic types operating in fields that under the state management of MOC. The tasks and
authorities are stipulated in detail in DecisionNo: 463 /QD-BXD2.
Major tasks and responsibilities of CAMD include; to study and propose policies, strategies,
planning, plan, regulations, and guidelines on formulating the feasibility study (F/S), project
management, construction survey, design, and construction implementation; to guide and
supervise the implementation of regulations in construction activities; to coordinate with other
agencies and organizations, localities to implement the state management in construction
activities; to guide and control the issuance and revocation of construction permits; to guide
and control the implementation of regulations on eligibilities of individuals and organizations
1
Decision No. 988/QD-BXD, 29th October, 2010 Regulating the functions, tasks, authorities and organizational structure of
the State Authority of Construction Quality Inspection (SACQI).
2
DecisionNo: 463 /QD-BXD, 2nd April, 2008, on the establishment and regulation on the function, tasks, authority,
organizational structure of CAMD
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in construction activities, including: F/S formulations; construction survey; design;

construction implementation; construction supervision; project management; to guide and
control the issuance and management of practice qualifications in construction, to guide and
control the job of selection contractors and consultants in construction activities.
(Source) http://www.moc.gov.vn
Figure 3.6.2 MOC Organization
(2) MPI
The Ministry of Planning and Investment (MPI) is a government agency and functions to
perform the state management of planning, development investment and statistics, covering
the provision of advice on national socio-economic development strategies and plans;
development planning on and mechanisms and policies for general economic management
and some specific domains; domestic investment, foreign investment in Vietnam and
Vietnam's offshore investment; economic zones (including industrial parks, border economic
zones, hi-tech parks and other forms of economic zones); management of official
development assistance (ODA) and foreign non-governmental aid; bidding; establishment and
development of enterprises, collective economies and cooperatives; statistics; state
management of public services in branches and domain under the Ministry's management
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according to law. MPI’s tasks and responsibilities are stipulated in detail under Decree
No.116/2008/ND-CP1.
(3) MOF
The Ministry of Finance (MOF) is a government agency and functions to perform the state
management of finance (including state budget, taxes, fees, charges and other state budget
revenues, state reserves, state assets, state financial funds, financial investment, corporate
finance, cooperative finance and collective economy); customs; accounting; independent
audit; pricing; securities; insurance; financial and other services under its state management;
and represents the owner of state capital portions in enterprises according to law. Tasks and
responsibilities of MOF are stipulated in detail in Decree No. 118/2008/ND-CP2.
(4) PPCs/Cities/Districts
Decree No.27/2009/TT-BXD also stipulates the responsibilities of Department of

Construction (DOCs), provincial-level People’s Committee (PPCs) on construction quality
management as follows;
 To guide the implementation of legal documents on quality management of construction

works in their localities;
 To guide and inspect the state management of the quality of construction works by
provincial-level Departments and district- and commune-level People's Committees. To
inspect the observance of legal provisions on quality management of construction works
by organizations and individuals when necessary. To handle violations of quality
regulations under law.
 To guide and organize or designate consultancy organizations which are capable of

assessing the quality or incidents of construction works in their localities.
 To review and send biannual and annual reports (before June 15th and December 15th ) to
MOC on the quality and quality management of construction works in their localities, and
irregular reports, made according to the form provided in Appendix 2 of this Circular (not
printed herein).
 To assign or decentralize the responsibility for state management of the quality of

construction works to provincial-level Departments and district- and commune-level
People's Committees under MOC and MOHA Joint Circular No. 20/2008/TTLT-BXD-
BNV of December 16th 2008, guiding functions, tasks, powers and organizational
1
Decree No.116/2008/ND-CP, November 14, 2008
2
Decree No. 118/2008/ND-CP, November 27, 2008, on Defining the Functions, Tasks, Powers and Organization Structure
of the Ministry of Finance
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structure of specialized agencies of provincial- and district-level People's Committees,

and tasks and powers of commune-level People's Committees in the state management of
the construction sector.
3.7 DECISION MAKER AND PROJECT OWNER
There are three stakeholders as shown in Table 3.7.1.
Table 3.7.1 Key Players in Construction Projects

Others
Provincial District- PPP/
Ministry-level Projects Private
Projects Projects BOT
Responsibility Project
Important Project Important Project Project
Private Financing
Projects A, B, C Projects A, B, C B, C
Decision Prime Minister Ministers Prime Chairman of Head of Government Private
Maker Minister PPC District company
Project Owner Ministers Ministry PPC PPC Dept. District Private Private
Dept. Dept. company company
Employer Ministry Dept./ PMU PPC Dept./ PMU PMU Private Private
PMU PMU company company
(1) Decision Maker
Decision maker’s responsibilities for the state budget construction projects are stipulated in
Decree 12/2009/ND-CP. The following states the outline their responsibilities;
 Prime Minister decides to invest important national projects pursuant to Resolution of

National Assembly and other important projects;
 Ministers, Heads of Ministerial bodies decide investment of projects in group A, B, C.

They are also entitled to authorize their direct under-ministerial bodies to decide the
investment;
 Chairmen of People’s Committees decide the investment of group A, B, C project within

their scope and local budget, and district people’s committee are entitled to make decision
on the investment of group B and C project. Chairman of provincial people’s committee
regulates in details for district-level and commune-level investment projects.
 For the projects financed by other sources, the owner decides the investment and takes
responsibility for them.
(2) Project Owner
Project owner’s responsibilities are also stipulated in Decree 12/2009/ND-CP. In the Decree,
the project owner is defined as a capital owner or a person who is authorized to manage and to
utilize the CIP capital.
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 For state budget projects, the project owner is decided by the decision-maker before
setting up CIP projects.
 For projects that Prime Minister is the decision-maker on investment, the project owner is
one of the following organizations:
- Ministries;
- Ministerial bodies;
- Provincial people’s committees;
- State enterprises.
 For projects that Ministers, Heads of ministerial bodies, Chairmen of people’s committees
are the decision-makers on investment, the project owner is the body who manages and
develops the project. When the body is not appointed or is not qualified for the
appointment, the decision-maker can appoint other bodies who are more capable.
 For projects financed by credit source, the borrower is the project owner.
 For projects financed by other sources, the project owner is the capital owner or the
representative complied with regulations of the law.
3.8 CONSTRUCTION QUALITY INSPECTION
Inspections conducted in accordance with relevant regulations are summarized in Table 3.8.1.
Among these various inspections, the following topics are excluded from the discussions of
this paper considering its relevancy.
 Inspection conducted by the National Auditor: The main focus is proper use of budget
and not quality inspection.
 Inspections conducted by the Inspectorate of MOC: It focuses on the violation of

construction-related legislations, and not on construction quality.
 Inspection by the facility user of the facility: This is considered to be supplementary or

additional to the inspection by project owner and discussion on the inspection by project
owner can cover the problems associated with this inspection.
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Table 3.8.1 List of Inspections Conducted by Various Institutions
No. Inspection Organization Purpose of Inspection Legal Frame Remarks
Quality Inspection by Project Owner and Contactor (as stipulated in Construction Law and Decree 209)
1  Project Owner  To assure the quality specified in technical specification  Arts. 75, 80 & 87, Const. Law  Primary responsibility of quality
/contract is achieved.  Art. 21 & 30, Decree 209 inspection rests with PO.
2  Contractor  To assure the required quality as specified in technical  Art. 23, Decree 209
specification /contract
State Management of Construction
3  MOC, SACQI  To survey actual situation of construction quality  Art. 37, Decree 209
 Inspection Div.  To check actual construction quality and advise improvement to  Art. 2, Decree 17/2008/ND-CP
the project owner and contractor if any problems is found.  Decision 988/QD-BXD (2010)
 MOC, SACQI, CQM  To examine the quality of construction works in detail when  Decision 249/2006/QD-BXD
necessity arises  Decision 1071/2009/QD-BXD

4  MOC, CAMD  To survey the actual situation of compliance to the various  Art. 2, Decree 17/2008/ND-CP
regulations on construction and feedback the information for  Decision 463/QD-BXD (2008)
necessary revision of regulations etc.
5  MOC, Inspectorate  To find out illegal construction procedure and take penal action,  Art. 113, Const. Law  Main focus is not quality
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if necessary.  Decision 25/2005/QD-BXD inspection

6  PPC (DOC)  To survey actual situation of construction quality in the  Item 1 & 2: Art. 37 Decree 209;  Major objective is not quality.
province and report to MOC Art. 3, Circular 27/2009/TT-BXD
 To check the quality of construction projects implemented by
the province
 To assure the facility in the said province is in accordance with
the construction plan of the Province
7  State Council of Acceptance  To monitor implementation of ‘Projects of National  Decision 68/2006 & Resolution  SACQI acts as the secretariat of
Importance’, including quality of construction 66/2006 the Council.
Other Inspection Related to Construction Quality
8  Inspection and Certification of Full  To assure that the facility is structurally safe and can be used.  Circular 16/2008/TT-BXD
Satisfaction of Force- Bearing
Safety Conditions
9  Checking for Certification of  To quality of the constructed facility is in conformity with the  Circular 16/2008/TT-BXD
Construction Quality relevant standards.
Other Inspection
10  National Auditor  To assure proper use of public fund
11  Use Manger of Facility  To assure that the quality of the facility is satisfactory  Art. 30, Decree 209  Together with project owner?
(Source) JICA Project Team
3.8.1 Quality Inspection by Project Owner and Contractor
Project owner and contractor are primarily responsible for quality management and inspection.
This is clear from the stipulations of Construction Law, Decree 209 and other relevant
legislations. The project owner needs to conduct quality inspection so that the quality of the
constructed facility (or a part of it) is in well compliance with the specification for his
payment amount. On the side of contractor, quality inspection is a part of his tasks in order to
assure that the quality of the facility that he is constructing satisfies the specifications or other
conditions stipulated in the contract. This principle is same in many countries.
3.8.2 Quality Inspection as State Management and Organizations in Charge
(1) Quality Inspection by MOC
SACQI is the authority in charge of construction quality inspection. Three Inspection

Divisions of SACQI are tasked with the state management of quality inspection of
construction works. The outline of the quality inspection carried out by SACQI is summarized
as table based on the discussion between the officials of SACQI and JICA Team.
Table 3.8.2 Outline of Inspection by SACQI
Outline Contents
Types & Nos. of projects  About 70 Projects of National Importance: SACQI joins the National
inspected Acceptance Committee (as secretariat or task force).
 Projects implemented by Ministries: About 20 projects/year
 Projects implemented by PPC: About 100 projects/year (1 to 2 projects per 1
province: About 30 provinces are inspected every year.)
Purposes of Inspection  Projects of National Importance: To confirm the safety of the facility when
used; Check conformity to design, standards etc before hand over
 Projects of Ministries and PPCs: To get overview on the situation of
construction quality; as state management activity
Method of selecting the projects  The province to be inspected is selected considering the following factors.
to be inspected  Geographical location: north, central and south,
 Topographical region: mountain or plain,
 Degree of urbanization: urban or rural.
 The project actually inspected is recommended by the DOC of the selected
province.
Items checked  Quality management system at the site
 Capacity/qualification of engineer/technician involved in quality
management
 Eye-examination of the facility under construction
 Document of quality control/management
(Note: The inspection is usually done during construction.)
Action taken when defects are Unofficially advise the contractor or the project owner, depending on the contract.
found
Report of inspection is sent to: Project Owner and DOC
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1) Function of CQM
CQM is a division of SACQI. Among the duties of CQM, stipulated in Decision

249/2006/QD-BXD, two tasks are noted; (i) operation of VNBAC and (ii) quality inspection
in special cases. Especially, VNBAC can play important roles in upgrading the capacities of
CICs, consultants and other stakeholders of quality inspection. This will be discussed later.
2) Function of VNBAC
VNBAC (Vietnam Network of Bodies for Assessing Construction Quality Conformity) is an

association of organizations, including consultants, and public authorities which has been
established to enhance the capacity of the members in assessment of construction quality.
Operation of VNBAC is one of the official tasks of CQM. As discussed later, enhancement of
capacity of consultants and Construction Inspection Centers (CICs) is one of the major issues
in this Project. There is a strong possibility that VNBAC can play very important and
effective role in this aspect. This subject is discussed in the future in the course of discussing
improvement measures for quality inspection.
3) Inspection by CAMD
CAMD also conduct inspections of construction works to survey the situation of regulation
and find out any necessity of revision of regulations. The outline of such inspections done by
CAMD is summarized in table below based on the discussion between the officials of SACQI
and JICA Team.
Table 3.8.3 Inspection by CAMD

Contents
Objective  To check and survey the situation of regulation and find out any necessity of
revision of regulations etc. (as state management)
No. of projects inspected  20 – 30 projects per year (Cannot be increased because of manpower and
other constraints.)
Criteria for selecting projects to be  Type of facility (Architecture, Transport, etc.)
inspected  Locality: Select provinces where big projects are implemented
Items checked  Implementation procedure of the project
 Selection of contractor, eligibility of the selected contractor with regard to the
grade of the project
 Management system of quality and safety
 Organization and report
Action taken if problem is found  Serious problem is handled by the inspectorate of DOC, who has an authority
to take penal action.
Reports are sent to:  DOC, project owner & contractor
As shown on the table above, the main objective of inspection by CAMD is to survey the
actual situation of regulations and not to inspect the quality of construction works.
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(2) Quality Inspection by DOC and CIC
Basically, Department of Construction (DOC), with assistance of CICs, conducts quality

inspection on the projects implemented in each province. The main features of inspections
conducted by DOC are as listed below:
Inspections are conducted as the state management of construction in accordance with the
stipulation of Art. 3, Circular 27/2009/TT-BXD.
 The objectives, contents and methods of inspections are similar to those of MOC.
 The inspected projects are those implemented in the province of each DOC/PPC.
 DOC is often assisted by CIC in technical matters.
 DOC and CIC cooperate with MOC in performing inspections conducted in its province.
(3) Inspection and Certification of Full Satisfaction of Force-Bearing Safety Conditions and
Certification of Quality Standard Conformity of Constructions
Circular No. 16/2008/TT-BXD gives guidelines on the inspection and certification of force-
bearing safety and quality standard conformity. These certifications are important step before
the facility is put into use. However, the methodology or procedure used in the examinations
for checking force-bearing capacity and compliance to quality standards are similar to those
used in quality inspection. Therefore, this subject will be discussed as a part of quality
inspection.
(4) Inspection of the Projects of National Importance
A document titled ‘Appraisal of Activity Situation in Year 2010; Some main Solutions to
Intensify Management and Improve Construction Quality in Year 2011’ dated 8th January
2011 was prepared by SACQI.
The document states that the quality management and quality inspection of the Projects of
National Importance has fewer problems than ordinary projects, and does not focus on
inspections of these projects.
3.9 CONTRACTOR SELECTION
Contractor selection in Vietnam for infrastructure construction is carried out in accordance

with the Tender Law and other legal regulations including the Construction Law, decrees,
circulars and decisions etc. The Government of Vietnam participated in the World Trade
Organization (WTO) in January 2007 and since then MPI and MOC have made efforts to
improve tendering systems aiming to ensure transparency and fairness of tendering
procedures.
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In order to study on the current practices of contractor selection in the tendering process in
Vietnam, the meetings and discussions with various organizations were arranged and carried
out. From the meetings and the literature survey including legal regulations, the current
practices in Vietnam in regard to construction contractor selection and registration are
summarized hereinafter.
In addition, during the JCC Meeting held in March 2011, Vietnamese counterparts requested
the Project to incorporate construction consultant registration system. Since then, the request
was discussed between the counterparts and the Project team and eventually JICA agreed in
September 2011 to include construction consultant registration system into the TOR. In this
regard, the Project team commenced to search the current situation of construction consultant
registration system in Vietnam as well as in Japan and Singapore and compiled them together.
(1) Company Registration
To begin with, the followings are the outlines of company registration in Vietnam;
 Construction companies intending to participate in construction business in Vietnam shall

register to the Department of Planning and Investment (DPIs) which belongs to PPCs;
 Foreign construction companies intending to participate by a project basis are not

required to register to DPIs of PPCs;
 Prequalification (PQ) is applied to major projects and to those which require advanced
technologies;
 At PQ and at tender stage, bidders are required to submit documents on their past
experiences, technical capabilities (number of engineers and equipment etc.) and a
financial report of the company in each package;
 When foreign construction company is awarded the package, the company shall apply for
a contracting license to MOC and subsequently shall submit construction reports to MOC
or to DOCs of PPCs every six months until completion;
 Construction companies having registered to DPIs of PPCs are not required to apply for
the contracting license and to submit the reports to MOC or DOCs of PPCs;
 Project Management Unit (PMUs) shall regularly submit monthly project reports to top
management in its organization and the top management shall deliver those to MOC
every six months in regard to quality.
(2) CAMD Construction Company Registration
Besides the above company registration system, CAMD of MOC collects construction
company data based on Decision No.02/2008/QD-BXD, intending to systematize construction
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company registration. However, the system has not been in operation as planned due to
various reasons. The followings are the outline of the system;
 CAMD is responsible for the operation of this system and in charge of collecting and
inputting data;
 CAMD system is intended to classify construction companies and to provide ranking to

each company on the basis of the registered data. Thus selection of contractors will be
made by referring to their rankings;
 Currently, registration is not compulsory and companies now voluntarily register the data
following the guidance. Application of sanction regulations is also under consideration
for those who do not properly register information to the system;
 Information Center of MOC has been involved in developing its computer system on its
own without any technical support. Two operators from CAMD are stationed at the
Information Center to input data.
 Besides the MOC system, MPI is developing a contractor information system for proper
bidder selection for all types of state-funded projects, while the purpose of MOC is to use
contractor information for planning, bidding and implementation.
The followings are configurations for the system;
 The software has been customized since several years ago;
 SQL server is applied to the system and ASP is used for program language. With this
SQL server, registered contractor data is convertible to the excel form;
 The construction contractors and consultants can directly fill in entry form on the website
and after completion the data are sent to CAMD. In addition, they can also send hard-
copy information directly to CAMD by post. Upon receiving data, CAMD confirms the
data and request the Information Center to upload the data on the website;
 Currently, the system does not have any serious operational problems;
 The number of registered construction contractor is 73 and consultant is 57 as of October

2010;
 The data consists of two categories; basic data (1 to 6) and additional data (7 to 15). The
data items for registration are as follows.
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Table 3.9.1 List of Data Requirement for CAMD System

No. Items No. Items No. Items
Quality Management
1 Name of contractor 6 Activity Fields 10
System
Typical Works in Recent
2 Address of Head Office Financial Figures 11
7 Three Years
Province Charter Capital 12 Implementing Works
st
Telephone 1 Year Turnover 13 Strong Fields
Fax 2nd Year Turnover 14 Prize-won Works
Name of Information
Website 3rd Year Turnover
Sender
3 Representative Office 1st Year Revenue after Tax 15 Title
nd
Decision of Establishment 2 Year Revenue after Tax Telephone
No. 3rd Year Revenue after Tax Email
4
Date of Issue Total Number of Staff
Issued by Site Manger
Business Registration University Graduate
8
College Intermediate
No.
Graduate
5
Date of Issue Skilled Technician
Owned Machinery and
Issued by 9
Equipment
*Item 9 is excluded for construction consultant registration system, as unnecessary
(3) SACQI Consultant Company Registration
SACQI of MOC has commenced collection of consultant company data for fields of
inspection, assessment and certification of force-bearing safety conditions and quality
standard conformity of construction works based on Circular No. 03/2011/TT-BXD. The
followings are the outline of the system.
 SACQI is responsible for the operation of this system and in charge of collecting and
inputting data.
 Currently, the system is not compulsory and as of November 2011, 40 companies

voluntarily submit applications, which are under review by SACQI.
The data to be provided for the system are quite similar to the CAMD system shown in the
Table 3.9.1.
(4) Construction Package Data
Construction package data are kept in MPI / DPI at the time of tender and award. As-built
data are kept in each project owner and top management in its organization (decision maker).
There is not nation-wide system or consistent / comparative data.
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3.10 CONSTRUCTION CONTRACTOR PERFORMANCE EVALUATION
Unlike the construction company registration system stated above, MOC yet equips
contractor’s work performance evaluation system, but makes judgment on whether
constructed work is acceptable or not in accordance with relevant decrees and circulars.
3.11 CONSTRUCTION SUPERVISOR QUALIFICATION SYSTEM
(1) Vietnamese Four Engineer Qualifications
In Vietnam, there are three engineer qualifications of architect, construction engineer, and
supervisor, and construction cost estimator added as the 4th qualification in 2010. This project
focused on the qualification of “supervisor”, because capability of supervisor influences
significantly on the construction quality assurance.
(2) Qualifications for Supervisor
There are two qualifications for supervisor available. One of them named GS1 is for
supervisor who graduated university, and the other named GS2 is for supervisor who
graduated junior college or high school. GS1 holders are qualified to supervise all
construction works, but GS2 holders can supervise only level-four construction projects.
Qualification holders need to renew their qualifications every 5 year. Certificates given to
GS1 and GS2 holders are stated in Decree12 and Circular 12.
Figure 3.11.1 Sample Qualification Card for Supervisor (GS1)
(3) Valid Fields of the Qualification
Valid fields of the qualification are shown on the qualification card. The field is decided
based on the applicant’s work experience. There are four valid fields as shown below:
 Supervision of construction survey
 Supervision of construction and finish works
 Supervision of equipment installation works
 Supervision of technological equipment installation
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(4) Acquisition Procedures of the Qualification
In acquiring construction engineer qualification, supervisor qualification obliges applicants to

take a compulsory training course and short exams. Training centers authorized by MOC
provide the compulsory training course and short exams. DOCs of PPCs issues the
qualification to the applicants who submit both working experience and the certificate issued
by the authorized training center.
Current Process
New
Applicant Training Centers
s DOCs
 Compulsory Training
 Pass-fail Exam
Issuing
with Classification
Figure 3.11.2 Current Qualification Issuance Process (GS1 and GS2)
(5) Authorized Training Center and Training Course
Organizations including universities, training institutes, consultants, and MOC (SACQI

CQM) are authorized by MOC as providers of the compulsory training course to the
applicants of GS1 and GS2. As of March 2013, there are 50 authorized training centers.
Figure 3.11.3 shows location maps of these training centers. Of which, 33 centers are located
in Hanoi, one in Quang Ninh, one in Nam Dinh, two in Da Nang, two in Phu Yen, one in
Binh Duong, one in Vinh Long and the other nine are in and around Ho Chi Minh City.
Although there are many authorized training centers, most of them are located in and around
three big cities in Vietnam. On the other hand, in Japan, although there are only 13 locations
designated as the examination venues of 2nd-class Architect Construction Management
Engineer, these locations are widespread across the nationwide. Although some training
centers which send lecturers to remote areas to provide the training courses, applicants living
in a remote area are forced to stay in a large city as shown in the figure for a few weeks to
take training courses.
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13 Cities
50 Centers Sapporo, Aoori,

Sendai, Tokyo,
Hanoi_33 Niigata,
Quang ninh_1 Kanazawa,
Nam Dinh_1 Nagoya, Osaka,
Da Nang_2 Hiroshima,
Phú Yên_2 Takamatsu,
Binh Duong_1 Fukuoka,
Vinh Long_1 Kagoshima,
Ho Chi Minh_9 Naha
Figure 3.11.3 Distribution of Exam Locations in Vietnam and Japan
Same training programs and short exams are provided to the applicants of GS1 and GS2. The
training program consists of four modules. Module 1 is compulsory and the others are elective
programs.
 Module 1: Legal regulations and general issues on construction supervision

(32 classes + 30 minutes exam)
 Module 2: Construction supervision of civil, industrial and infrastructural works

 Module 3: Construction supervision of transportation works

 Module 4: Construction supervision of irrigational and hydropower works

Curriculum and duration of the training course and the short exams are regulated in the
Circular 25. Each authorized training center prepares for textbooks and exams for applicants.
Difficulty of exams differs between training centers. Exam pass rate is almost 100%, and
applicants are classified into three levels by the result, which is also printed on their
qualification.
(6) Role for DOCs and Council in the Qualification Issuance
Vietnamese engineer qualifications are available nationwide, which are issued by 63 DOCs in
Vietnam. Frequency of issuance depends on the number of applicants. For instance, DOC of
Hanoi City issues the qualification of supervisor twice a month, and issues two thousands
qualifications for GS1 and GS2 every year.
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According to the Circular 12, directors of DOCs need to establish a council to review
applications submitted by the applicants. Members of the council are comprised of
experienced and qualified supervisors, DOC staffs of relevant departments, and staffs of
occupational associations.
(7) Role for MOC in the Qualification System
CAMD and SACQI are main authorities on qualifications under MOC. CAMD administrates
authorized training centers and MOC revises the Circular 25 and the Circular 12. Each DOC
has to inform the state of qualification issuance to CAMD twice a year. CAMD forwards the
data to Information Center to upload them on the MOC website. According to the survey
carried out by the Project Team, the website has not been well updated, however, this is not
regarded as a serious issue in MOC. Tasks are shared between SACQI in charge of technical
aspects of the qualifications, and CAMD in charge of revising the Circular 25 and the circular
12. All technical contents are written by SACQI with support from other departments.
3.12 VIOLATION REPORT
CAMD currently releases information on the violation in construction activities through

website, so that the public can access to get information. URL of the website is
http://vipham.xaydung.gov.vn.
MOC encourages organizations and individuals to provide information on violation in

construction activities. The behaviors regarded as violation are; construction work with slow
progress; poor quality of construction work due to technical problems; construction works
with insufficient consideration on labor safety, sanitation, fire safety, labor accidents during
construction and environmental pollution, when they are informed by organizations or
individuals with accurate full names, titles, addresses and ID card numbers. The report is
normally made by DOCs of PPCs and sent to CAMD in MOC. CAMD checks contents and
submit Information Center to upload them on the website. These internal reports are not
compulsory at this moment, and MOC is now on the process to establish a new regulation.
Also, DOCs have the authority of sanctioning against violation, while MOC does not have the
authority. Relevant information being disclosed on the website is stated in Table 3.12.1.
Table 3.12.2 shows sample violation reports on the website.
Table 3.12.1 Violation Cases
No Violation Case The number of Cases

1 Insufficient supervision which caused structural defects. 22
2 Insufficient safety management which caused injury and fatality accidents. 26
3 Slow progress running behind the schedule 5
Total 43
3-27
Table 3.12.2 Sample Violation Reports on the Website
TT Name of project Content violations Units relevant Status
At About 8 am on 01/09/2010 at the site of TTNC Industrial & equipment industry -

1st floor there is a collapsed area of about University of Technology HCMC , Sino
Commercial center Crescen in Phu 200m2 when many workers are working at Pacific Consulting Construction Company
1 My Hung the 1st floor , Chinese Limited Construction Company
Around 15:30 pm on 24 / 8 , scaffolding

with height about 30 m at the building 34 -
storey has suddenly poured down the damaging directly two houses of No. 14
mixture building construction living quarter of University Architecture ( and No. 16 at the B dormitory of
2 works Song Da - Ha Dong , Ha Noi Nguyen Trai street , Hanoi ) . - Investor: Corporation Song Da . University of Architecture .
11 am on 12 / 8 , when tens of tons of
concrete was put up , along with the
weight of more than 30 participants in the
roof concrete pouring , in addition to Construction Unit: Hai Lam Construction
works of Hall CPC Doi Binh vibration the 3 machine hoists that the Joint stock Company. Unit supervision : Making a worker killed and seven other
3 commune, Ung Hoa, Ha Noi . entire roof of the building collapsed . West Thang Long Company workers were injured .
3.13 CONSTRUCTION PROJECT INFORMATION MANAGEMENT
CAMD in MOC does not have project information system that manages the data including
contactor, staff, cost, term, staff, and evaluation results. MPI also does not directly manage
project information. Only each project owner directly manages basic information of projects
such as past projects, contractor, staff, cost, term, and evaluation results.
3.14 SPECIFICATIONS AND TECHNICAL STANDARDS
(1) Specifications
1) Transport and Agriculture Sector Construction Projects
Contract dossiers are in general made up of five documents; (1) Instruction to Bidders, (2)
Conditions of Contracts, (3) Technical Specifications, (4) Drawings, and (5) Bill of Quantity.
Technical Specifications stipulate important points in the construction works, supplementing
the conditions of contracts. The points to be prescribed include general requirement, material
specifications, technical standards to be applied, construction methods, field and laboratory
tests, measurements of completed structures, ways of payment and so forth.
Technical Specifications have been prepared independently for each construction project.
Therefore, a project owner or an employer needs to prepare a specification each time before
going into the tendering process. The specifications have yet to be standardized in any of the
construction fields in Vietnam, so that it has led to variance and inconsistency in context even
in same infrastructure construction. Recent survey has reported that provisions in a
specification accounts for more than 200 in number, but another accounts for only 50 items
for a road project. Furthermore, some of domestic project specifications prescribe only the
names of relevant decrees or circulars.
3-28
2) Civil work (Building work) Projects
In the civil work construction, which includes schools, residences, hospitals, specifications
have never been applied to the construction contracts unlike transport and agriculture sector
projects. Instead, necessary information including those on technical standards to be applied is
all prescribed in the drawings.
(2) Technical Codes and Standards
Vietnamese construction standards have been prepared for stipulating management and
technical issues of construction projects. The number of standards edited in the past accounts
for over 1,000 in total.
MOC promulgates construction codes and construction standards for civil construction works
including public works and dwelling houses. Meanwhile, authority of promulgating standards,
not codes, is also given to the Ministries in charge of specialized construction works in order
to manage quality of specialized construction works nationwide. They are the Ministry of
Industry and Trade, the Ministry of Agriculture and Rural Development and the Ministry of
Transportation (Decree No.209/2004/ND-CP, Circular No.27/2009/ TT-BXD). They are
allowed to promulgate standards on condition of close coordination with MOC.
1) Construction Codes
The construction codes are defined in the Law on Construction, No.16/2003/QH11, as

regulations to be compulsorily applied to construction activities, promulgated by the State
management agencies in charge of construction. Table 3.14.1 summarizes construction codes.
2) Technical Standards
The construction standards are explained in the same Law as regulations on technical
standards, economic-technical norms, order for performing technical jobs, targets, technical
indexes and natural indexes, promulgated or recognized by competent agencies or
organizations for application in construction activities. Construction standards include
compulsory standards and standards encouraged to be applied.
There used to be many technical standards imported from foreign countries, such as Russia,
France, Germany, the US, and Japan. It is often said that some of them have already turned
old in context and need to be updated. Also, some seem to be no longer applicable to the
Vietnam environment. MOC is wishing to develop its own technical standards.
Table 3.14.2 shows the numbers of construction standards. Appendix_3-2-1 provides further
information including names of standards.
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Table 3.14.1 Codes
No Code Number Code Name

1 Code of Internal Water Supply & Drainage Systems
2 QCXDVN 01:2002/BXD Building Code of Construction Accessibility for People with Disabilities
3 QCXDVN 09:2005/BXD Vietnam Building Code-Buildings use Effective Energy
4 QCXDVN 01:2008/BXD(*1) Vietnam Building Code: Regional and urban planning and rural residential
planning
5 QCXDVN 05:2008/BXD Dwellings and Public Buildings - Occupational Health and Safety
6 QCVN 02:2009/BXD Vietnam Building Code - Natural Physical & Climatic Data
for Construction
7 QCVN 03:2009/BXD Vietnam Building Code on Classifications and Grading of Civil and
Industrial Buildings and Urban Infrastructures
8 QCVN 08:2009/BXD Vietnam Building Code for Urban Underground Structures
9 QCVN 14:2009/BXD Vietnam Building Code- Rural Residential Planning
10 QCVN 06:2010/BXD Vietnam Building Code on fire safety of buildings
11 QCVN 07:2010/BXD Vietnam Building Code- Urban Engineering Infrastructures
Table 3.14.2 Technical Standards
No Name of Standard Number

VOLUME 1: STANDARDS ON CONSTRUCTION PLANNINGS, SURVEY, GEODESY
I URBAN AND RURAL PLANNINGS 8
II CONSTRUCTION SURVEY 17
III GEODESY 10
VOLUME 2: STANDARDS ON GENERAL REGULATIONS IN CONSTRUCTION DESIGN
I CONSTRUCTION AND ARCHITECTURE DRAWINGS 45
II TERMINOLOGY - CLASSIFICATION OF CONSTRUCTIONS AND DESIGN 15
PARAMETER
III GENERAL STANDARDS ON DESIGN 25
VOLUME 3: STANDARDS ON CONSTRUCTION DESIGN
I DWELLINGS AND PUBLIC HOUSES 25
II INDUSTRIAL, AGRICULTURAL AND IRRIGATION CONSTRUCTION 13
III TRANSPORTATION CONSTRUCTION 6
VOLUME 4: STANDARDS ON CONSTRUCTION STRUCTURE DESIGN
I REINFORCED CONCRETE STRUCTURES 25
II STEEL STRUCTURES 9
III WOOD, BRICKS AND OTHER KIND OF STRUCTURES 9
VOLUME 5: STANDARDS ON DESIGN AND INSTALLATION OF TECHNICAL
EQUIPMENTS IN CONSTRUCTION
I WATER SUPPLY AND DRAINAGE 11
II ELECTRICITY DESIGN AND INSTALLATION IN CONSTRUCTION 16
III DESIGN AND INSTALLATION OF CONSTRUCTION LIGHTING 13
IV DESIGN AND INSTALLATION OF EQUIPMENTS FOR VENTILATION, AIR 4
CONDITIONER, HEATING SYSTEM AND SOUND STUDIO
VOLUME 6: STANDARDS ON CONSTRUCTION MATERIALS AND COMPONENTS
3-30
No Name of Standard Number

I CEMENT 23
II CONCRETE AND CONCRETE COMPONENTS 27
III LIME, MORTAL, BRICK AND CONSTRUCTION PORCELAIN 36
IV REFRACTORIES 10
V CONSTRUCTION GLASS 17
VI PLASTIC PIPE 17
VII WATERPROOFING MATERIALS AND PAINT 11
VIII WOOD AND DOORS 11
IX STEEL AND METAL 36
VOLUME 7: FIRE AND EXPLOSION PREVENTION AND CONSTRUCTION SAFETY
I FIRE AND EXPLOSION PREVENTION 21
II CONSTRUCTION SAFETY 26
III SAFETY IN CONSTRUCTION EXECUTION AND MANUFACTURING 49
VOLUME 8: STANDARDS ON CONSTRUCTION EXECUTION AND ACCEPTANCE
I DOCUMENTS IN CONSTRUCTION EXECUTION AND ACCEPTANCE 12
II EXECUTION AND ACCEPTANCE OF CONSTRUCTION ACTIVITIES AND 35
STRUCTURES
III MACHINERY AND EQUIPMENTS FOR CONSTRUCTION EXECUTION 18
VOLUME 9: STANDARDS ON EXECUTION AND ACCEPTANCE OF STEEL AND
REINFORCEMENT CONCRETE STRUCTURE
I EXECUTION TECHNOLOGY OF METAL STRUCTURE 13
II EXECUTION AND ACCEPTANCE OF REINFORCEMENT CONCRETE 31
III TOLERANCE IN CONSTRUCTION 17
VOLUME 10: STANDARDS ON QUALITY OF SOIL, WATER, AIR AND TEST METHOD
I Soil test method 69
II WATER QUALITY AND TEST METHODS 66
III AIR QUALITY AND METHODS OF DETERMINATION 18
VOLUME 11: STANDARDS ON TEST METHODS FOR CONSTRUCTION MATERIALS
I TEST METHODS FOR CEMENT 16
II TEST METHODS FOR SAND, ROCK AND GRAIL 16
III TEST METHODS FOR MORTAR 12
IV TEST METHODS FOR BRICK, ROOF TILE AND SANITARY PORCELAIN 42
VI TEST METHOD FOR METAL, STEEL AND WELD 12
VII TEST METHODS FOR TIMBER AND DOORS 22
VIII TEST METHOD FOR PLASTIC PIPE 12
IX TEST METHOD FOR GLASS 26
X TEST METHODS FOR PAINT, BITUMEN AND GEOTEXTILE FABRIC 16
XI TEST METHODS ON FOR REFRACTORS 22
Total Number of Standards 1,010
3-31
CHAPTER 4 MAJOR FINDINGS
4.1 GENERAL
The Project conducted a current status survey on the institutional issues of construction
project management and construction quality assurance in Vietnam, which includes interview
surveys and literature surveys. The results of the survey are briefly summarized as described
below; In summarizing the current status survey, the Project also referred to Summary Report
of the Survey on Current Situation and Proposal to Enhance Construction Quality management, March
2010, SACQI, MOC (Hereinafter called as SACQI Report).
4.2 RESPONSIBILITY ASSIGNMENTS BETWEEN STAKEHOLDERS
(1) Project Owners
Current status survey conducted in the Project has clarified that the rapid increase in project
created many project owners in the regions who should play a key role in management
construction projects and construction quality. Of these project owners, those who are
unfamiliar to the construction projects and who are not capable enough of managing
construction quality assurance are increasing rapidly. This trend is more likely seen in the
civil works (building works) including school and hospital construction.
Also, some POs (or PMUs) directly manage projects but they are not capable and experienced.
They are lack of professional skills in the inspection and assurance of facility quality. This
will result in risks for the facility quality during the construction process. In addition, SACQI
report has clarified the following problems.
 PO directs consultants to formulate technical-economic reports of construction and FS,

and try to persuade decision makers to approve the project. POs also impose their
viewpoints on the design, especially architectural design and they don’t respect
professional opinions.
 Due to the limited qualification and capability, POs don’t know how to manage
consultants such as giving unreasonable demands and orders. In addition, POs cannot
properly evaluate the results of surveys and designs, in particular in the large scale
construction works (facilities) with complicated technique. Design verification and survey
results are usually treated as unimportant and survey supervision is also not paid
sufficient attention.
4-1
(2) PMU Construction Work Supervision
SACQI Report has clarified that due to the lack of qualification and professional skill in
managing projects, POs have to establish PMUs for hire Project Management Consultants
(PMCs) to support them. However, unclearly responsibility assignment between PMUs and
POs is leading to the fact that PMUs cannot appreciate the capital they manage, but consider
the capital a fund for them to freely use. PMUs are not only in charge of professional matters
but they have also become a kind of administration agencies with much power and little
responsibility.
4.3 CONSTRUCTION WORK MANAGEMENT
In Vietnam, construction companies, in particular excellent companies, are less likely pleased
to participate in the state-budget construction projects in Vietnam and more likely willing to
participate in private projects. The field survey conducted in the Project has clarified the
following reasons for this; construction contracts are unfair to the contractors; acceptance and
payment take long time to complete; many document requirements for construction quality
assurance; delay in land clearance, hardness of changing design and construction methods, an
inoperable dispute board and so forth. With these, improvement of the contract environment
which is more favorable to attract excellent contractors is required.
4.4 FACILITY MAINTENANCE
The maintenance plays a very important role in assuring facility quality during a long course
of maintenance. Facility maintenance is mainly conducted for large scale construction
facilities of transport, irrigation and industry. However, sufficient attention hasn’t been paid
on the maintenance. Many construction facilities degraded quickly because the work of repair
and maintenance is not promptly and timely conducted. In many cases, especially facilities of
condominium, schools and hospitals, there is no plan and capital for maintenance prepared.
Most of owners and users of construction facilities funded with State budget, State guaranteed
credit budget don’t pay attention on facility maintenance. The formulation of maintenance
procedure manuals also confused design consultants. With these reasons, a large number of
construction works (facilities) have been suffering from degradation just after a few years of
use.
4.5 STATE MANAGEMENT
SACQI Report has clarified that DOCs have conducted the inspection on the compliance with
the law on the quality management of construction project by organizations and individuals.
However, the number of projects that inspections are conducted is not high, which accounts
for only 10% of the total.
4-2
There are many inconsistences between Laws, Decrees, and Circulars… And the stipulations
in regulations are not so clear to be easily misinterpreted.
Regulations on sanctions against violations during quality management are not in detail and
how information on violated contractors be announced to public.
4.6 CONTRACTOR SELECTION SYSTEM
Contractor selection is a key factor of successful implementation of construction supervision.

But, due to the lack of capacity, POs are not capable of selecting eligible contractors. Besides,
POs get difficulties in getting reliable data on the capacities of contractors and consultants.
 It is well recognized in Vietnam that low-performance contractors can repeatedly get

awards of construction packages. This is due to the fact that evaluation on the contractor’s
construction work performance has not been employed in the official processes of
construction management. There is no way for the employers to know contractor’s past
work performance.
 Construction package information management system for the individual state-budget

project whose contract was made has not been established, so that it is hard to understand
its project outlines. Construction package data are preserved by implementing agencies
like PMUs and have never been delivered to other organizations nationwide.
 There is no unified system that can provide at PQ and tender stage reliable information on
capabilities of construction contractors/consultants with evaluated past records.
4.7 ENGINEER QUALIFICATION SYSTEM
Currently, engineer qualifications in construction sector in Vietnam are only the sorts of
vocational qualifications with employment restriction. There is no grading of qualification.
Eligibility of supervisor-class or manager-class is examined based on their academic records
and past experiences. The system is now separately handling design and supervision.
Contractors are not required to have engineer qualifications in managing construction works
in the fields.
The current status survey clarified that in the current construction supervisor qualification
system, much focus is placed on the trainings rather on the examinations. Examination is very
useful in judging the eligibility of applicants.
4-3
4.8 TECHNICAL SPECIFICATION AND STANDARDS IN CONSTRUCTION QUALITY

ASSURANCE
(1) Specifications
Specification has been applied to transport sector and agriculture sector projects. In these
projects, specifications have been made by project independently, so that there seem to be
variance and inconsistency in context between projects, even in the provision of “General
Specification”.
There are many project owners who are not capable of making or checking specifications in
particular in the provincial-level construction projects. However, standardization of
specification has never been made.
(2) Technical Codes, Standards and Construction Quality Management Manuals
Technical standards are also the key for managing quality of construction and they have been
developed well in Vietnam. However, in the architecture design and in the building
construction projects, there still remain many old standards which are no longer applicable to
the work.
There seem to be contractors who do not know well about technical standards, in particular
subcontractors. The development of construction work quality manuals that are suited for
each construction work has never been conducted yet and the use of these manuals is not
popular.
4.9 LABOR SAFETY AND SANITATION DURING CONSTRUCTION WORKS
Many regulations as well as national standards are already published on labor safety in
construction. However, complexity and inconsistency of regulations makes it difficult for
contractors to quote information from related regulations in preparing labor safety and health
measures for their construction site. Meanwhile, it’s not easy for workers to approach the
information on relevant regulations and labor safety measures.
4.10 CAPACITY BUILDING (TRAINING PROGRAMS)
CQM training programs have been playing an important role in disseminating regulations,
however, CQM training is not sufficient enough to cover all regions. Attention has not been
paid to the training for project managers and POs, a large number of POs are not professionals
and familiar to construction project management.
4-4
CHAPTER 5 IMPROVE PROJECT MANAGEMENT METHODS

AND CLARIFY RESPONSIBILITIES BETWEEN
STAKEHOLDERS (PROJECT OWNERS, EMPLOYERS,
CONSTRUCTION CONSULTANTS AND
CONTRACTORS) FOCUSING ON CONSTRUCTION
QUALITY ASSURANCE (ACTIVITY-1)
5.1 FRAMEWORK OF IMPROVEMENT
Frameworks of improvement for this activity are developed in line with Work Plans
authorized in the JCC on March 29th, 2011 and the Minutes of Meeting signed on December
28th 2012 between JICA and MOC.
5.1.1 Enhance Responsibility Assignments between Project Owners and PMUs
(1) Concept for Improvement
In order to enhance construction quality assurance, it is essential to enhance the quality of

construction project management. There are mainly five (5) stakeholders; (1) decision maker,
(2) project owner, (3) PMUs, (4) supervision consultants and (5) construction contractors. Of
which, the project owners and the PMUs have been playing an important role in managing
construction projects from the view point of construction administration. In particular, the
project owner’s role is the most essential in taking whole responsibility in managing
construction projects and in ensuring accountability to the decision maker. The
responsibilities required for the project owner include; (1) over all construction project
management and (2) inspection to PMUs.
1) Construction Project Management
Major components of construction project management include the following functions;
 Manage construction budgets and expenses
 Manage construction periods.
 Manage construction quality in conformity with specifications
 Manage labor safety including third-party accidents and preserve environment
The above managements are now becoming harder every year. An instance for this is that
there increase in construction projects whose construction periods end up with longer than the
initial schedule due to difficulty in right-of-way acquisition and utility relocation. Delay in
operation caused by the construction delay may cause huge loss of operational income to the
society in the cases of mass transits, trains, expressways, power stations, factories and so forth.
5-1
Timely operation by good project management is mandatory for the project owner. With these
reasons, the project owner is required to anytime equip with capacity of coping with any
changes happening during construction.
2) Inspection to PMUs
The other important responsibility for the project owner is to monitor PMU’s performance in
construction project management including inspection to their qualities. A schematic view is
illustrated in Figure 5.1.1. Also, a large portion of project management responsibility is given
to the PMUs, but project owner’ inspection to PMUs does not function well. This
occasionally allows misconducts in their construction project management.
To cope with this situation, it is recommended to review responsibility assignments between

project owners and PMUs, and then reinforce project owner’s responsibility for the
supervision or inspection to PMUs.
Construction Project Management
Project owner
PMUs
Inspection
Supervise consultant
Design Consultant
Supervision
Contractor
Figure 5.1.1 Inspection and Supervision to the Stakeholders
(2) Methodology
The Project discusses with the counterpart group on the above issues for the ministerial-level
stakeholders and the provincial-level stakeholders. Recommendations on the improvement
plans are then summarized.
(3) Outputs
Improvement plans for institutions of construction project management and maintenance
5-2
5.1.2 Improve Contract Management to Speed up Procedures
Selection of a good contractor is the key for quality management of construction works.
However, it is often said that good contractors are less likely willing to participate in the state-
budget construction projects. They seem to prefer private projects rather than state-budget
projects. Contractors who were interviewed pointed out the reasons as follows; state-budget
contracts are generally government-driven and unfair to the private companies; it generally
takes too much time to reach conclusion when construction methods need to be changed;
interim payments are generally under evaluated and too many documents are requested for the
construction quality management and acceptance, and so forth. However, good contractor is
considered as a key for providing high construction quality, so that the Government should
make efforts to eliminate barriers in the contracts, improving the current contract practices.
With reasons stated above, the plan recommends to improve management methods of
construction quality, focusing on the following issues;
1) Enhance Flexibility in Changing Construction Methods
As infrastructure construction changes its physical nature, changes in construction work

methods are inevitable without sticking to the original design and construction methods. Of
importance for the project management is to ensure quality of construction by flexibly
selecting best suited construction work methods to any changes in the natural conditions. Also,
changes in construction methods may occur when acquisition of right-of-way becomes
delayed. Changes in structure or work methods often become favorable to preventing
extension of construction period. Project owner is required to make decisions on the selection
of construction methods at right timings as needed.
It should note that maintenance risks may go up when original design is kept maintained
without changing design, nevertheless it is required. This may induce structural damages and
accelerate structural deterioration, shortening life cycle of facility and causing uneconomic to
the society. The Project recommends that project owner’s authority in making decisions on
the changes of construction works be strengthened.
2) Enhance Inspection Functions and Simplify Acceptance Procedures
Current practices of construction management explain that inspection and acceptance are
done simultaneously, and often cause delay in payment to the construction companies. Delay
in payment often causes difficulty in fund management for contractors, and should be avoided
unless there are unavoidable reasons. In particular, delay in procedures which are often seen
5-3
in processing construction work changes should be avoided by accelerating decision-making

processes.
The plan recommends to strengthen inspections and then to simplify the processes for
acceptance in order to speed up payment without leveling down the quality of construction.
With this, it is recommended to employ staged inspections, focusing more on the construction
process management. The Project also recommends project owner’s direct involvement in the
inspection. If project owner found poor performance in the products, he should immediately
instruct contractors to repair them, so that the purpose of inspection is to find out poor quality
of construction products and to take prompt action to the problems. Staged inspection can
eventually simplify acceptance procedure, thereby shorten procedures for payments.
(2) Methodology
The Project is to discuss with the counterpart group on the above issues and summarize
recommendations on the improvement plans.
(3) Outputs
Recommendation on the improvement of inspection and acceptance procedures
5.1.3 Strength Institutions for Constructed Facility Maintenance
In Vietnam, much focus has been placed on infrastructure construction rather than on
infrastructure maintenance. However, infrastructure is an invaluable national asset that should
be taken over from generation to generation in a sound condition. Unless proper actions are
taken for maintenance, it would shorten the lifecycle of the constructed facility and impose
huge expenses to the next generation. Shorter life cycle incurs huge expenses on big repair
works in the long run. As a maintenance period is much longer than the construction period,
attention equal to construction should also be paid for the maintenance.
Principle of maintenance is to detect deficiency and deterioration promptly and to apply right
works to the right places at the right timings, and thus to ensure best economy over a long
maintenance period. To comply with this principle, administrator is anytime required to
strength institutions and to enhance maintenance technologies and human capacity for
maintenance, besides obtaining an appropriate amount of maintenance budget.
The Project recommends to strengthen institutions which are in charge of maintenance and to
clarify their responsibilities. The Project particularly recommends provincial-level DOC and
District involvement in making decisions on the diagnosis of structure deterioration and in
5-4
planning maintenance plans for civil works maintenance (Building and urban facilities) . Also,
it is advised to regulate responsibilities for MOT, MOA and MOI to prepare guidelines in
standardizing maintenance procedures and in formulating maintenance plans regarding
infrastructures under their jurisdictions.
(2) Methodology
The Project is to discuss with the counterpart group on the reinforcement of institutions and
their responsibility assignments for maintenance.
(3) Outputs
Recommendation on the reinforcement of institutions and responsibility assignments for

maintenance
5.1.4 Support Revising Regulations in Infrastructure Construction
(1) Contents of Support
MOC is a state authority in charge of enforcing laws and regulations relevant to construction
works. The laws and regulations play an important role in guiding various administration
procedures for construction project management, contracts, work quality assurance and
facility maintenance to all types of infrastructure construction projects. In addition, outcomes
of this Project are expected to be stipulated in regulations and then disseminated to the end
users in the whole country. The major regulations deeply concerned with construction works
include: (1) Construction Law, (2) Decree No.12, (3) Decree No.209 and (4) Decree No.48. In
the years from 2012 to 2013, MOC plans to revise Decree 209, Decree 12 and relevant
circulars guiding implementation procedures of these decrees. Decree 209 is the regulation
stipulating construction work quality management and Decree 12 stipulating construction
project management of infrastructure development in Vietnam.
Upon MOC request of cooperation, JICA Project supports drafting of the revision plan of
these regulations.
(2) Methodologies
(a) Introduce practices in Japan on the legalization of construction work management and
quality management
(b) Recommend legal frameworks
(c) Participate in the discussion and issue comments on the draft version of regulations
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(3) Outputs
 Revised version of regulations
 Draft version of circulars
5.2 CLARIFICATION OF RESPONSIBILITY ASSIGNMENTS BETWEEN

STAKEHOLDERS
5.2.1 Current Status in Vietnam
(1) Insufficient User’s Understanding of Regulations
Many of the regulations concerning duties and obligations for decision makers and project
owners have been already well stipulated in Vietnam. However, the baseline survey has
clarified that there still remain unlawful acts against the regulations. This explains the fact
that the regulations have not been effectively disseminated to end users. This is partly because
of the lack of guidelines interpreting these regulations and insufficient checking of law
conformity. In particular, it is often said that it is dubious if project owners fully understand
their duties and obligations stipulated in the regulations.
(2) Existence of Non-Professional Project Owners
Decree 209 explains that everyone can be a project owner (PO), if appointed by decision
maker. However, the regulations relevant to construction works provide POs with
responsibilities for playing a key role in project management and quality management for
construction works, and therefore big authorities are given to POs as seen in Table 5.2.1. It
explains that PO’s responsibilities range fairly wide and deep, so that they need to equip with
not only professional knowledge and expertise in construction work, but also efficient
institutions to manage construction works as seen in Figure 5.2.1.
Table 5.2.1 Responsibility Assignments to Project Owners

Categories Regulations Authority Assign to the Project owners
Project Construction Law Negotiate, sign and supervise the performance of, contract (A75)
management Select contractors with appropriate capability (A75).
Assume the prime responsibility for clearing and handing over the construction
grounds to the contractors (A75)
Organize the supervision of construction work (A75)
Examine the measures to ensure the safety and environmental sanitation (A75)
Organize the pre-acceptance test, payment and settlement of works (A75).
Hire consultants having capability to test the quality of works when necessary
(A75).
Examine and decide on contractors' proposals related to designs (A75).
Make compensations for damage caused by contract breaches to the contractors
(A75).
Organize the pre-acceptance test and reception of works (A80).
Make payment to the contractors according to the pre-acceptance tested
volumes(A81)
5-6
Categories Regulations Authority Assign to the Project owners

Make the settlement of work investment capital within 12 months after the
works are handed over
Decree No.12 Take obligation from preparation, implementation to hand-over and develop the
project.(A34/A35)
Select capable consultants for project management.(A35)
Check and supervise performance of the consultant (A35).
Circular No.3 Set up project management units (PMUs) or use existing PMUs (A11)
Appoint persons in the PO’s organization to inspect PMUs (A11)
Take full responsibility for the jobs PMU performs (A11).
Hire project management consultants (PMCs)(A12)
Appoint PO’s staff and assign tasks to their PMCs to exercise the power of
investors (A12)
Construction Decree No.209 Check the conditions for commencement of construction work (A21).
Supervision Check contractor’s capabilities to the bid dossiers and construction contracts.
Circular No.27 Check and supervise the quality of supplies, materials, equipment (A21)
Directly manage construction projects or hire consultants to manage them (A4)
Manage the quality of construction works from preparation and implementation
to takeover test, handover and putting of works into operation (A4)
Contractor Construction Request bidders to supply necessary information for selecting contractors
selection Law/A104 (A104)
Tender Law/A61 Select bid-winning contractors or cancel results of the selection of contractors
(A104)
Compile bidding dossiers and bidding plans (A104)
Examine the capability for construction capability, construction professions and
financial status (A104).
Publicize bid-winning units and bid-winning prices for construction works
funded with the State capital after contractor selection (A104)
To purchase insurance for work (A104)
To make compensations for damage incurred due to their faults (A104)
Make a decision on the re-qualification of tenderers. (A61)
Approve a list of participating tenderers (A61).
Establish an expert tendering group (A61)
Approve the list of tenderers and the list ranking the tenderers (A61)
Be liable for the contents of contracts, for signing a contract and for fulfilling
undertakings in the contract (A61)
Knowledge/
Institution
expertise in work
Management
management
Figure 5.2.1 Competence in Work Management
Figure 5.2.2 and Figure 5.2.3 illustrate organizations deemed non-professional in

construction work management for the central government and for the provincial-level
people’s committees. Those encircled with dotted line are deemed non-professional project
owners which are mostly responsible for the operation of schools, hospitals and office
facilities. Other organizations shown in the figures are deemed professional project owners.
Much attention should be paid to the non-professional POs, trying to find out eligible POs.
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Ministry-Level Stakeholders CENTRAL GOVERNMENT
Project Project
Admini. Management
MOC (Construction
State State Management)
Management G1
• Minist. of Education
• Minist. of Culture, Tourism,
Other Ministries
PPC Decision Prime Minister Sports MOT, MOA, MOI
G2 (Right )
Departments Maker • Minist. of Health
• Minist. of Labor, Invalid
and Social Affair
Project G3
Owners MOC Ministerial Ministerial
Minister Organizations
Agencies Agencies PMUs
(Permanent)
PMUs PMUs PMUs * Special PMUs PMUs

PMUs G4 (Temporary) (Temporary) (Permanent) (Permanent) (Temporary)
G5
Consultants/ Consultant Consultant Consultant Consultant Consultant Consultant
Contractors
Contractors Contractors Contractors Contractors Contractors Contractors
(Note) Sample Project Sample Projects Sample Project Sample Project Sample Project Sample Project
1. Prime Minister will be a decision maker for • National assembly • National Universities • National • Roads (MOT) • Roads (MOT) • Universities,
important projects. house • Colleges Roads (DRVN) • Bridges (MOT) • Bridges (MOT) Newspaper
2. MOC, MOT, MOA, MOI will be a project • Offices
• National convention • Ports (MOT) • Ports (MOT) companies,
Owner. • Stadiums
center • Irrigations • Irrigations • Hospitals,
• etc. • National Hospital (MOA) (MOA) • State corporations,
• Entertainment facility • Dams (MOI) • Dams (MOI) Institutes
• etc. • etc.
Figure 5.2.2 Central Government
Provincial-Level Stakeholders
Project Project PROVINCIAL PEOPLE's COMMITTEES(PPC)
Admini. Management
Districts
State DOC (Construction
Management G1
State Management)
PPC Decision People's Committee People's People's

G2 Prime Minister
Departments Maker Committee Committee
* DOE/DOH will play an assistant role
Project
G3 Other Organizations People's
Owners Organizations DOC
Departments Committee
* Schools/Hospitals * Hospitals/TV Stations
PMUs G4 PMUs PMUs PMUs PMUs PMUs

(Permanent) (Temporary) (Permanent) (Temporary) (Permanent)
Consultants/ Consultant Consultant Consultant Consultant

Contractors G5
Contractor Contractor Contractor Contractor Contractor
(Note)
Sample Project Sample Projects Sample Projects Sample Projects Sample Projects
1. PPCs will be a decision maker
2. DOCs will be a project Owner. • Roads/Bridges • School buildings In case other • Provincial • Important
• Irrigations • Hospital departments are Hospitals projects
• etc. buildings not capable enough • TV Stations
• Office buildings • Institutes
• etc. • etc.
Figure 5.2.3 Provincial People’s Committee
(3) Unclear Responsibility Assignment between Project Owners and PMUs
Construction work supervision directly influences on construction quality management. Table

5.2.2 shows the practices in Vietnam. Currently there are many cases in which PMUs perform
responsibility for construction work supervision, but their legal status is not defined in the
Law on Organization of the Government, No.32/2001/QH10, 25 December 2001, but decided
in ministerial Decisions, not to mention responsibility assignment between project owners and
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PMUs. In addition, Construction Law does not articulately show any guidelines of
responsibility assignments in construction supervision between project owners and PMUs.
(4) Improper Selection of Project Owners
According to the Circular No.03, Article1, decision maker has authority of nominating
eligible project owners on a project basis. However, it is said that the selection has never been
properly done in some civil work projects (Building work projects), and ineligible project
owners seem to be often selected such as facility owners unfamiliar with construction project
management and regulations relevant to construction project and quality management.
This is partly because the current PO selection method of assigning one PO to one
construction project, leads to a high demand for project owners in total. However, to secure
many qualified project owners is very challenging that potential of selecting incompetent
project owners would increase. The incompetent project owners acknowledge in the Project
fall into the following categories;
 Project owners who are not familiar with construction project and construction quality
assurance
 Project owners who do not fully understand the regulations relevant to the construction
project management and quality assurance
 Project owners who disregard the regulations intentionally
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Table 5.2.2 Responsibility assignment in Construction Project Management (Vietnam Practice)
PMU/
Processes Decision Maker Project owner Consultant Contractor Standards
PMC
F/S Appraise & approve FS Check F/S report
Check basic design Design basic designs
Check cost estimate Estimate construction costs Cost estimate
standard
Tendering plan Appraise & approve tender Plan Prepare the tendering plan
Design and cost Approve technical design Design technical designs Design
estimation Approve cost estimation Estimate construction costs standards
Cost estimate

standard
Tender Documents Approve the tender documents Prepare tender documents
Tendering Tendering
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Contracts Contract with contractors Standard

contract
conditions
Shop Drawings Approve shop drawing Check shop drawings Prepare shop drawings Design
standards
Construction work supervision Supervise construction
works
Design changes Appraise & approve big design Check big design changes Check design changes Propose design
changes (*1) changes
Approve small design changes (*2) Check design changes Propose design
changes
Payment Approve payment Check interim payments Propose design
changes
Job/stage acceptance Approve job/ stage Propose acceptance
acceptance (*3)
Final acceptance and Approve final acceptance and take-over Propose acceptance
PMU/
Processes Decision Maker Project owner Consultant Contractor Standards
PMC
hand-over Approve as-built drawings Certify as-built drawings Prepare as-built
drawings
Take-over facilities from contractors
Opening of facilities
Settlement of project Approve Balance sheet Prepare the Balance sheet
final account
Final payment to contractors Propose final payment
(Note)
(*1); For big design changes that will cause change to location, planning, objectives, scale of the project or exceed the approved total investment.

(*2);For small design changes that will not cause change to location, planning, objectives, scale of the project or exceed the approved total investment.
(*3): If consultants are not hired, PO’s own staffs perform job and stage acceptances.
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(5) High Concentration of Duties and Obligations to Some PMUs
The Circular No.03, Article 1 stipulates that decision makers are allowed to assign PO’s roles
to PMUs, hence there seem to be PMUs who have fairly large responsibilities including those
for POs and PMUs.
(6) Insufficient PO’s Inspection to PMU
In the large-scale public work projects, including roads, bridges, dams and irrigations, project
owners play a focal point of construction project management and are given fairly big duties
and responsibilities. Regulations stipulate that project owners can assign a part of their duties
to PMUs on the condition that POs perform supervision on the PMU performance. However,
it is reported that PO’s supervision (inspections) to PMUs have never been fully implemented.
5.2.2 Overseas Practices – Practices in Japan
(1) Institutional Arrangement
Figure 5.2.4 shows the construction project formation used for the construction projects by
the Ministry of Land, Infrastructure, Transport and Tourism in Japan, followed by the brief
outline shown below;
 Each regional bureau (Project owner) has about 10 subordinate offices which have
construction supervision functions and maintenance functions.
 Each bureau consists of 80 management and engineering staff
 Each construction office (PMU) supervise more than 10 projects
 Each office consists of more than 60 qualified engineering staff.
As a result, each Regional bureau performs over 100 construction projects management.
 Constructed facility is taken over to the maintenance section in the same bureau.
 Management and engineering staff are exchanged regularly between construction and
maintenance sections, so that the staff can be equipped with knowledge and experiences
for both construction and maintenance.
Responsibility assignment between the regional bureau and the construction office is clearly
demarcated in intra-MLIT regulations including rewards and punishments.
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Decision Maker Level MLIT

Headquarter
Project Owner Level Regional Bureaus Regional Bureaus Regional Bureaus

(No.1) (No.2) (No.3)
PMU Work office (No.1) Work office (No.2) Work office (No.3)
Level Construction Maintenance Construction Maintenance Construction Maintenance
Figure 5.2.4 Construction Management Structure (MLIT Case in Japan)
(2) Responsibility Sharing between Management Levels
 Decision makers approve F/S, but focuses are placed on locations, scale of projects,
construction schedule, total investment, cost/benefit analysis rather than on basic designs.
 After the step of the F/S, decision makers approve project implementation plans compiled
by project owners. Contents of the approval focus on budget plans, construction cost
estimate, state of land acquisition and technical designs. Construction offices provide
technical support to project owners, appraising technical designs and preparing detailed
data on cost estimate. Technical design is carried out in line with the concept of basic
design, but does not stick to the basic design, intending to enhance quality. The
implementation plan will substantially play a ground plan for making contracts and
supervision to be done hereafter.
 Bureaus and construction offices play a leading role in construction work and quality
management. Bureaus take a responsibility for making contracts with contractors as
project owners, and construction offices for supervising construction works and quality
management as supervisors.
 Construction offices are equipped with their own engineering staff capable enough to
perform their management tasks including design appraisal, inspection, quantity check
and so forth. However, the independent jobs including surveys, boring surveys, structural
design, supervision support etc. are generally outsourced to consultants.
 Consultants are basically in-house and provide supporting services to supervisors

(construction offices), so that consultants perform their duties with instruction given by
construction offices.
 Final account settlement is done before conducting final inspection and acceptance. If
facilities are accepted, they are immediately taken over to project owners, followed by the
final payment to contractors.
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(3) Construction Project Management
Table 5.2.3 shows the practice of responsibility assignment in Japan (MLIT case). As seen in
the table, construction offices, which are equivalent roles to PMUs, play an important role in
construction work management, and clear responsibility assignment is defined between
project owners and construction offices.
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Table 5.2.3 Responsibility assignment in Construction Project Management (MLIT and Ministerial Agencies)
Project owner Construction Office
Processes Decision Maker Consultant Contractor Standards
(Bureau) (Survey Office)
Approve FS Compile F/S report
Location, project scale, schedule, Financial data, technical data,
B/C evaluation data
Design basic Survey/ design /quantity
Basic designs (Supporting Data) Check basic designs
F/S designs calculation manual
Approve benefit & cost estimate Estimate benefit & cost B/C manual
Design
Approve preliminary technical Survey/ design /quantity
Check pre-technical designs preliminary
designs calculation manual
technical designs
Approve implementation plan Compile implementation plans Support data preparation
Whole plans, but focuses more Budget Plan/ land procurement/
Prepare data for budget plan
on budget plans construction schedule

Implementation
Cost calculation by
plan Approve cost estimate Prepare data for cost estimate
computer software
Design technical
Approve technical designs Appraise technical design Design manual
designs
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Tender Prepare tender documents Standard technical

Compile tender documents
document (BOQ, Specifications) specifications
Tendering Tendering Standard tender plans
Standard contract
Sign contract with contractor
conditions
Appraise shop Prepare shop
Approve shop drawings
Contract drawings drawings
Implement Construction supervision
Check routine
Supervise construction works construction manual (Quality, safety,
qualities
works tests, inspection)
Approve design changes which
Appraise design changes Check design Prepare design
Design change exceeds approved investment Approve big design changes
Approve small changes changes change
budget
Check quantity Propose
Approve interim payments and
Interim payment Appraise interim payments for interim interim
pay
payments payments
Final account Approve final settlement of Appraise final settlement of Check final Propose final
settlement contract amount contract amount quantity payments
Conduct final inspection &
Propose a final
Final inspection accept completion of Inspection manual
inspection
construction
As-built drawings Check as-built drawings Prepare as-built As-built drawing manual
Project owner Construction Office
Processes Decision Maker Consultant Contractor Standards
(Bureau) (Survey Office)
drawing
Take-over Take-over facilities from
facilities contractors
Preopening
Preopening Inspection (*1)
Inspection
Hand-over to
Hand-over to maintenance
maintenance
Opening of
Opening of facilities (*2) Opening of facilities
facility
(Note)
(1*): Important project cases. In MLIT, preopening inspection is in general carried out at the stage of final inspection in case of the projects implemented by Bureaus, MLIT.

(2*): Important project cases other than MLIT like expressways.
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5.2.3 Capacity Enhancement Plans for Construction Work Implementation
(1) Short-term Improvement Plan for Decision Maker’s Responsibilities
1) Approval of Overall Work Implementation Plan
As technical elements of basic designs may change as survey and designs progress, it is
recommended that approval on F/S by decision makers be limited on location, project scale,
construction schedule, benefits and Costs, total investment (B/C) and contingencies. Basic
design should be set out of decision maker’s approval.
In order to set a definite ground of construction works, it is recommended that decision

makers approve entire work implementation plans before calling for contractors, not only F/S
contents and tender plans. The implementation plans should include construction cost
estimate, technical designs, tendering methods and construction schedule. Upon approval by
decision makers, implementation plans should be the base of construction work to be
implemented hereafter
2) Settlement of Project Final Account
It is recommended to shorten the time period from final acceptance up to the final payment to
contractors. It is said that the balance sheet to be approved by decision makers should include
all relevant expenses besides construction costs. However, these are basically state authority’s
internal procedures including decision makers, so that the processing time should be
shortened to a great extent in order to settle the final payment to contractors promptly after
final acceptance.
(2) Short-term Improvement Plan for Project Owner’s Responsibility
1) Review Responsibility for Signing Construction Work Contracts
Large responsibilities for managing construction works are given to project owners not only
by the Law on Construction but by Decree No.12. Making contracts with contractors is a key
responsibility in construction work management (Article 75, Construction Law). However, it
is known that this responsibility is often delegated to PMUs by inter-ministerial decisions in
the case of some sector management ministries, despite the fact that PMU’s legal status is not
defined in the Laws on Organization unlike other departments belonging to the central and
provincial governments.
With these reasons, project owners are recommended to take responsibilities for making
contracts on their own without delegating them to PMUs.
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Following is a reference.
Institutional issues of the government organizations are in principle stipulated in the Law on
Organization of the Government, No.32/2001/QH10. Likewise, those of the provincial
peoples committees are also stipulated in the Law on Organization of the Peoples Councils
and the People’s Committees, No.11/2003/QH11.
2) Reinforce Provisions Related to Project Owner’s Land Clearance Responsibilities
The Law on Construction stipulates that project owners assume the prime responsibility for
clearing and handing over the construction grounds to the contractors (Article 75). However,
it is often said that delay in land clearance comes to a cause of delay in construction works. It
is recommended to confirm the status of land clearance before making contracts with
contractors and to strengthen project owner’s responsibilities for checking the status of land
clearance in order to eliminate delay in construction works.
3) Conduct Inspections to Non-Professional Project Owners
Project owners are now given big authority including capital management, contract
management, project formulation, design and construction project management. As long as
they are spending state budgets, their performance should be periodically monitored and
inspected. In particular, the Project recommends that monitoring and inspections should be
directed first to non-professional project owners (P-1 in Table 5.2.4), then to the stand-alone
projects managed by PMUs (P-2, P-3 in Table 5.2.4).
4) Conduct Monitoring and Inspections to PMUs
As regards the P-4 projects shown in Table 5.2.4, it is recommended that the project owner
for these projects should be obliged to set up a PMU Monitoring and Inspection committee
under the project owner and conduct regular monitoring and inspection to its subordinate
PMUs. This shows an alternative way of state audits in construction to project owners. Also,
the results of the inspection should be reported to the state management in construction and
are preferably disseminated to other project owners to raise their awareness to their
construction project management.
5) Preparation of PO’s Guideline or Manuals
Under the current construction formations, it is hard to select a large number of qualified
project owners, so that it is necessary to prepare supports to the Project owner’s activities.
It is seen that project owner’s duties and obligations are stipulated in various regulations from
the Law on Construction, Tendering Law, Decrees, Circulars and Decisions, which may need
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a guideline consolidating information in a booklet format. It is recommended to prepare and

to distribute the guideline to the non-professional project owners as a support.
6) Provide Regular Training Courses
In order to enhance Project owner’s capacity, MOC and its subordinate organizations are
encouraged to provide training opportunities to the Project owners.
(3) Short-term Improvement Plans for Project owner’s Responsibilities
1) To Eliminate Overlapping of Responsibilities between PMUs and Supervision

Consultants
Review of the responsibility assignments between PMUs and supervision consultants is

needed to eliminate the overlapping of responsibilities and to minimize processing time of
construction supervision.
2) Supervision of PMU’s Performance
With above measures, it is recommended to reinforce a regular inspection to PMUs by setting

up a PMU Supervision Committee under the project owner, which comprises members from
the relevant Departments and the external organizations. The committee is specialized for
assessing and inspecting PMU performance.
3) To Enhance Human Capacities
It is necessary to reinforce trainings to PMU staff.
(4) Long-term Improvement Plans for Project Owner’s Responsibilities
1) Reduce Demand for Project Owners
Under the current practice of selecting project owners, if construction projects increases at a
current speed, the Government would be faced with a serious shortage of qualified project
owners in the near future. However, enhancement of project owner’s capacities is not an easy
task, but it will take long time to accomplish. With these reasons, it is recommended that
project formation should be reviewed and restructured, in an attempt to reduce the high
demand for project owners and to ensure management quality by assigning a small number of
qualified project owners to construction projects.
The range of construction projects is fairly wide from small-scale building projects to large-
scale public work projects such as roads, bridges, irrigations and dams. Selecting qualified
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project owners is favorable, but it is not realistic to find out qualified project owners and
apply them to many construction projects. Table 5.2.4 shows the construction project
formations currently employed in Vietnam, categorizing them into four (4) patterns. The table
also includes brief evaluation of these patterns. Also, sample construction projects for each
case are summarized in Table 5.2.5. The Project recommends the following;
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Table 5.2.4 Evaluation of Current Project Formations in Vietnam
With PMU
Classification P-1: With PMC
P-2: Temporary PMU P-3: Permanent PMU P-4: Multiple Permanent PMUs
Project Formation
POs PMC POs POs POs
Temporary Permanent Permanent Permanent

PMU PMU PMU PMU
Contractor Contractor Contractor Contractor Contractor Contractor Contractor
Current practices  Public projects  Public projects  Public projects  Public projects


Private projects
Advantages  Quick decision making  PMU is needed only for the project  Professional knowledge and  It can reduce the number of POs and PMUs.
 Low management cost period. expertise can be accumulated to  Professional knowledge and expertise can be
 PMU can provide professional PMUs. accumulated to PMUs.
knowledge and expertise rather  PMU can shift to a maintenance body  PMU can shift to a maintenance body when
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than PMCs. when construction is over. construction is over.

Disadvantages  PO should be assigned for each  PO should be assigned for each  PO should be assigned for each  PO should be capable enough to manage
project project. project PMUs.
 It cannot meet technically  It is hard to assemble qualified staff  Responsibility assignments between
professional demands. to PMU temporary. PO and PMUs sometimes become
 Professional knowledge and unclear.
expertise cannot be accumulated to  PMU may get a big power more
PMUs than professional duties unless
 Maintenance body should be set up responsibilities are clearly
separately when construction is demarcated.
over.
Applicable  Small stand-alone projects which  Medium stand-alone projects which  Large-scale continuous projects  Multiple large-scale continuous projects
Projects do not require professional require professional management,  High technology projects
management and much but do not require much
maintenance. maintenance.
Table 5.2.5 Current Project Formations by Project Types

Sample Projects Decision Maker Project owner PMUs
Central Level National Assembly House Prime Minister MOC Temporary
National Convention Center
National University Ministries Ministerial Temporary
Offices Agencies
Stadium
National Hospital
Entertainment Facility
Expressways (MOT) Prime Minister MOT Permanent
National Roads/Bridges (MOT) MOT Ministerial (*1)
Ports (MOT) MOA Agencies
Irrigations (MOA) MOI
Dams (MOI)
News Paper Company Ministries Organizations Temporary
State Corporations
State Institutes
Provincial Provincial Roads/Bridges Provincial People’s DOT Permanent
Level Irrigations Committees DOA (*1)
Schools Provincial People’s Organizations Temporary
Hospitals Committees
Office buildings
Provincial Hospitals Provincial People’s Organizations Temporary
TV Stations Committees
Institutes
Important projects Provincial People’s Provincial People’s Permanent
Committees Committees
In case other departments are not Provincial People’s DOC Permanents
capable enough Committees
(Notes) (*1); PMUs sometimes own PO’s duties and obligations (Circular No.03 Art.1).
2) Integration of Construction Projects
P-4 pattern in Table 5.2.4 illustrates a sample formation of PO integration, which is already
incorporated in the large-scale public works (traffic infrastructures, irrigations and dam
projects). The Project recommends that this P-4 pattern be applied for provincial-level
building construction projects. As shown in Figure 5.2.5, DOCs in PPCs are recommended to
play a role of POs with their staff strengthened. This can reduce the number of construction
projects (P-2 and P-3) and thus qualified project owners.
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PO (DOC)
Permanent PMU Permanent PMU Maintenance Unit
Figure 5.2.5 Integration of PO Functions (Example)
3) Fixed Project Owners rather than Project-by-Project Assignment by Decision

Maker
In order to enhance project owner’s selection by decision makers, it is necessary to change the
current system. An example is shown in the above Figure 5.2.5. Due to this scheme, the roles
of project owners can be automatically integrated to the government organizations without
appointing project owners project by project. It is also recommended to give authority to
DOCs to evaluate the feasibility study of construction projects. For the better approach to this
system, barriers lying between relevant Departments should be removed and a new rule on
project implementation should be worked out.
4) Change Project Implementation Formation
P-1 Pattern in the previous Table 5.2.4 can be applied to the small-scale projects, such as
building construction projects, which do not necessarily require PMUs and thus qualified
project owners in construction project management. P-3 and P-4 pattern should be applied to
the large-scale projects, such as public works including road, bridges, irrigations and dams,
which require qualified project owners.
This is because small-scale building projects, which are similar to the private building
construction projects, are ones which do not require frequent changes of design, but require
the projects to be implemented in accordance with their designs. On the other hands, public
works including road, bridges, irrigations and dams are exposed to the frequent changes of
original designs which may provide serious impacts on the construction costs and the
construction period, thereby professional judgment is anytime needed.
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5) Reduce the Number of Non-Professional Project owners (Potential Non-Professional

POs)
In order to enhance quality of construction works, it is necessary to assign eligible POs to

construction works. In particular, significance of the management institution becomes bigger
and bigger with the growth in investment scales and amounts. It is well known that for large-
scale works like roads, dams and ports, efficient management institution is quite mandatory,
but instead, for small-scale works like building works, the roles of the management
institutions turn to be smaller and may possibly be reinforced by outsourcing part of the
works to Project Management Consultants (PMCs). However, to fully assign POs
responsibilities to PMCs is impossible, because POs are required to make various
administrative judgments while managing construction works and PMCs are nothing more
than the supports to POs based on the contracts, so that big responsibilities still remain with
POs.
With these reasons, it is necessary to assign eligible POs to construction projects. Also, their
eligibilities should be focused more on management institutions rather than on knowledge and
expertise for individual POs.
6) Review Criteria of Selecting Non-Professional Project Owners
In order to find out eligible project owners, it is recommended to apply criteria similar to
those applied to important projects. Decree No.12 stipulates the two types of concepts; one for
important projects and the other for Type-A, B and C projects. For important projects,
professional organizations who are Ministries, Ministerial-agencies, Provincial-level People’s
Committees are in principle assigned to construction projects.
A recommended criterion is to expand the concept for important projects to other projects,
expanding the range of work investments and applying the criterion to Type-A and Type-B
projects, as seen in Table 5.2.6. For instance as shown in the table, for large-scale
construction works, whose investment amounts to over 75 billion VND, shown in the table as
Class-1, the construction works shall be assigned to the professional project owners who are
the heads of organizations in which professional departments in construction management are
stationed. The professional department should not be temporal and should be capable enough
to manage construction works with their own staff without assistance of management
consultants (PMCs).
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Table 5.2.6 Investment Criteria

Project Types
Grade of Project
Type C Type B Type A Important
-25 bn VND
25-50 bn VND
50-75 bn VND
CLASS-2
75-100 bn VND
100-250 bn VND
250-500 bn VND
500-750 bn VND
750-1000 bn VND CLASS-1
1000-1500 bn VND
1500- bn VND
7) Review Project Owner’s Eligibility
In conjunction with the above measures, the eligibility of project owners can be reviewed as
those; who are facility users and have professional in-house departments (Option-1 in Table
5.2.7) and those who have affiliated organizations dedicated to construction management and
maintenance, which should not be temporal, but permanent organizations (Option-2). In case
that such project owner cannot be identified or are ineligible, decision makers may assign
other project owners to act as project owner (Option-3).
Table 5.2.7 Eligible POs

Option-1 Option-2 Option-3
Assign to POs equipped with in- Assign to POs which have Assign to other eligible POs
house professional departments professional affiliated
professional organizations
Professional Division for Professional Agency DOC performs construction
construction work dedicated to construction work management and hand-
management and facility work management and over facilities to operators
manitenance upon completion of
facility manitenance
construction
Organizations (Office Facilities)
Organizations (Office Facilities)

Organizations (Office facilities)
Organizations (Hospitals)
Organizations (Schools)
Schools
(Sample works) Hospitals
Office Facilities
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8) Small-scale Construction Works
However, the above measures are not applied to rather small-scale construction works. For
small-scale construction works, whose investment amounts to less than 75 billion VND, the
construction works do not necessarily require professional project owners who are eligible
enough in construction work management. The works can be manageable with assistance of
PMC as stipulated in the existing regulations.
9) Future Vision
Currently, decision makers have no option but to select non-professional Project owners, due
to the weakness in institutions and the shortage of professional staff. However, to cope with
future increase in projects, it is essential for non-professional project owners to have their
own professionalism for construction works for their specialized sectors and accumulate
management methods and technologies inside state authorities. In-house professional
departments or subordinate professional organizations specialized for construction works will
be ones of solutions.
(5) Long-term Improvement Plan for PMU’s Responsibilities
1) Minimize the Use of Temporary PMUs
Objectives of using PMUs are to ensure professionalism in construction work supervision, to

accumulate knowledge and expertise on construction work supervision in PMUs and to
enhance engineering staff with more qualification and talent. With these objectives, use of
temporary PMUs, which is currently employed in the provincial-level construction works,
should be ruled out from options of project implementation formations.
2) Give Clear Legal Status to PMUs
Figure 5.2.6 shows conceptual plans of institutional structures for the central government and
DOCs of PPCs. Both the construction bureaus and the maintenance bureaus are government
organizations in charge of performing construction and maintenance management.
Responsibilities to be assigned to the bureaus may include project planning, feasibility studies,
design, cost estimate, procurement, financial and account management, and construction and
maintenance management. With this plan, knowledge and experiences which are accumulated
through construction supervision can be easily transferred to the Maintenance Bureau.
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Current status Plan (1) Plan (2)

Ministry
Ministry Ministry
Sector Agency
Construction Bureau
Construction Bureau
Construction Bureau
Construction Bureau
Maintenance Bureau
Maintenance Bureau
PMU
PMU
PMU
CSC CSC CSC

Contractor
Contractor
Contractor
Contractor
Contractor
Contractor
Contractor
Contractor
Contractor
(Note) CSC; Construction Supervision Consultant
Figure 5.2.6 Central Government Project Implementation Formation
DOC
Construction Construction Maintenance State management in

Bureau Bureau Bureau Construction
Supervision
Consultants
Contractor Contractor Contractor Contractor
Figure 5.2.7 Provincial DOC Project Implementation Formation
(6) Construction Project Management by PMU and PMC
Brief evaluation was done for the project management conducted by PMUs and PMCs. Table
5.2.8 shows the brief comparison between PMU and PMC. Also,
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Table 5.2.9 shows the results of advantage/disadvantage analysis and shows that each
management has more or less advantages and disadvantages. However, the analysis has
concluded that PMU is more suited to the management of large-scale and long-term
construction projects such as public-work projects (roads, bridges, irrigations, dams, etc.).
Also PMC is more suited to small-scale, short-term, and stand-alone projects such as civil-
work sector project (building work projects).
Table 5.2.8 Comparison between PMU and PMC

Project Management Units Project Management Consultants
Items
(PMUs) (PMCs)
Type of entity  Government Entity  Existing public entity (like CQM) with
business license, or
 Existing private entity
Relation with POs  Task assignments by POs  Contracts with POs
Staff employment  Mostly from the government and  From many entities; the government
subordinate institutes, and a few from organizations, public institutes,
private sector. consultants, academies, universities,
contractors etc.
Table 5.2.9 Advantage and Disadvantages

Project Management Units
Items Project Management Consultants (PMCs)
(PMUs)
Advantages  It is possible to accumulate knowledge and  Contract-based consultant procurement
experience of project management to the makes it easy to get technical competence.
government bodies.  Market competition makes it possible to
 It is possible to get qualified and procure low-cost project management
experienced engineers for project competence.
management.  It is more suited to temporal, short-term,
 Construction management technologies and stand-alone projects.
can be taken over to the maintenance
stage.
 PMUs can be transferable to maintenance
units.
 It is suited to the management of large-
scale and long-term construction projects.
Disadvantages  Mobility of PMU assignment is not high,  It is not appropriate for public entities to
but needs anytime a planned assignment. participate in the market competition, in
 It does not fit temporal, short-term, and particular for large-scale state projects.
stand-alone projects due to its low  It is dubious if there are private consultants
mobility. willing to participate in the long-term
project management due to its low
profitability compared with survey and
design tasks.
 Assistance to the state project management
is so special that it is hard to get a large
number of qualified and experienced
engineers from private consultants.
 It is hard to accumulate experience and
knowledge of project management to
government entities.
Overall  It is more suited to the management of  It is more suited to temporal, short-term,
evaluation large-scale and long-term construction and stand-alone projects.
projects.  Civil work sector project (Building
 Public work sector project (Roads, bridges, projects)
irrigations, dams, etc.)
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5.3 IMPROVE CONSTRUCTION WORK MANAGEMENT
5.3.1 Enhancement of Design Classification
(1) Rationale
 Details of construction work planning including drawings and construction cost estimate
need to be upgraded step-by-step in accordance with the progress of construction work
planning.
 Basic concept of F/S is to make judgment on investment, focusing more on whether the
construction works are in line with national socio-economic plans and worth investing, so
that basic designs do not necessarily elaborate details in technologies but are detailed
enough to make judgment on investment. Particular note here is that basic designs cannot
be the ground of construction works.
 Technical designs are in principle the parts of contract dossiers, thereby they are regarded
as the ground of construction work management and construction work quality assurance.
They should be detailed enough to be used among project owners, supervision consultants
and contractors in the course of construction works.
 Step-by-step detailing also needs to be applied to construction cost estimate. F/S should
be detailed enough to make judgment on the rationale of investment. Technical design
should elaborate construction works and should be detailed enough to make contracts, to
implement construction works and construction supervision and to assure construction
quality.
(2) Foreign Practices (MLIT Practice in Japan)
1) Roads/Bridges (Public Works)
 Table 5.3.1 explains the fundamental structures of design methods currently employed by
MLIT in Japan.
 However, flexible design methods have been applied to construction projects. For large-
scale projects with high technologies, two-staged design methods are often applied not
only to basic design and but to technical design.
 In parallel with advances in designing, the depth of survey including a land survey and a
geological survey also go into detail. In the feasibility study, a small number of boring
surveys are carried out, but numbers increase as designs go into detail. MLIT generally
carries out a land survey and a geological survey separately from the design contracts.
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 Project cost calculation applied to F/S use an approximate and a higher cost estimate in
order to supplement missing items. Detailed cost estimate is carried out by project owners
on the basis of technical design before tendering.
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Table 5.3.1 Survey Outline in Japan (MLIT Road Infrastructure Case)
Type of Stage Feasibility Study (F/S) Stage Implementation Stage
Technical Design (in case of 2 steps)
Type of Design Basic Design (B/D)
First-step Second-Step
Objectives  Compare 3 alternative routes  Based on the selected route, compare plan and  Based on Basic design, make design details for
 Decide the best suited route among alternatives, profile geometric designs facilities
evaluating economy and socioeconomic impacts.  Evaluate economy, construction methods,  Prepare design dossiers for contracts
drivability, maintenance, safety and environmental
impacts
 Fix road center line and coordinates
 Decide locations, approximate designs,
approximate dimensions for major structures
Survey Contents  Site survey  Site survey  Site survey
 Route selection  Detail route selection taking account of major  Plan and profile design

 Compare road alignments, profiles, structure types structures  Cross-section design
 Planning of major structures  Design (Stated below)  Miscellaneous structure design
 Find control points for designing  Approximate construction cost estimates  Structure design
 Design (Stated below)  Drainage design
 Approximate Cost estimates  Planning of construction works
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 Estimate approximate construction costs, right-of-  Quantity estimation

way costs
Design Elements  Route map (1/2500-1/25,000)  Route map (1/2500-1/25,000)  Route map (1/2500-1/25,000)
 Plan design (1/2,500-1/5,000)  Plan design (1/1,000)  Plan design (1/500-1/1,000)
 Profile design  Profile design  Profile design
 (V=1/250-1/500, H=1/2,500-1/5000)  (V=1/100-1/200, H=1/1,000)  (V=1/100-1/200, H=1/1,000-1/1,500)
 Standard cross-sections (1/100-1/200)  Standard cross-sections (1/50-1/100)  Standard cross-sections (1/50-1/100)
 Cross-sections (1/200-1/500)  Cross-sections (1/100-1/200)  Cross-sections (1/100-1/200)
 Major structure design  Major structure design  Major structure design
 (1/500-1/1,000)  (1/200-1/500)  (as specified separately)
 Drainage design (1/1000)  Drainage design (1/500-1/1000)
 Right-of-way design  Right-of-way map
 Mass curve
 Temporary structures
Design check  By Inspection Engineer  By Inspection Engineer  By Inspection Engineer
2) Building Works (For Public & Private Works)
 The Building Standards Law obliges building owners to get building design certificates,
same as the construction permit in Vietnam, before they start to construct the building
facilities as shown in Figure 5.3.1 below. Also, Table 5.3.2 shows the outline of
provisions.
 Building owners should obtain building design certificates in case of new facility
construction, extensions, renovations, transfer, large-scale repairs and large-scale reforms.
Building owners cannot start construction without the building design certificate.
 The building design certificate is in principle proposed to the building officers stationed
in municipal governments or to the private entities designated by municipal governments.
 There are two types of designs in use for the building works; (1) Basic design and (2)
Execution design.
 Basic design is to check fundamental dimensions of design and construction costs and to
get agreement with customers on the designs. At this stage, several alternative designs are
also shown.
 Execution of design, which is technical design in Vietnam, is to check architectural

designs, structure designs, structure calculation, facility designs, technical specifications,
detailed cost estimates and documents for the proposal of building certificate.
Examination on the building design certificate is generally carried out on the basis of this
execution design.
Design Contracts
Basic Design
Proposal of Building design

Execution Design Proposal is to be
certificate
made to building
officers or designated
private entities for
Building design certificate checking
Construction Work Contract and

Work Supervision
By Building Owner
Final Inspection By Building officers/private entities for
checking
Figure 5.3.1 Flow of Building Work Implementation
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Table 5.3.2 Building Work Types and Building Design Certificates in Japan
Work Types which need building certificates
Classificati Provisions Extent Renovat Transfe Large- Large-
on Applicab of Building New Ion ion r scale scale
Building Type Building scale
Applicable le Area Standard constru Other than fire prevention Repair Reform
area Law ction areas with floor area less
than 10 m2
Special
Class-1 Structures with floor area of over 100 m2
(School etc.)
Large-scale Structures with over 3 stories or with floor area of over
All Class-2
(Wood structures) 500 m2 and with the height of over 13 meters. X X X X X X

Area
Article 6, Large-scale
Buildings Structures with 2 stories and with floor area of over 200
Clause 1 Class-3 except for
m2.
wood structures)
Urban
plan Class-3 Except for the above structures X X X X
area
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Chimneys with the height of 6 meters

Class-1 X
All area Bill boards with the height of 4 meters
Elevators for sightseeing
Facilities Article88, Class-2 X
Rotational playing facilities with motors
Clause1.
Urban
plan Class-3 Production facilities, Storage facilities, playing facilities X
area
Lifts Article 87, Clause2 Elevators, escalators X
(Note)
(1) “X”: Types of works which need proposals for building design certificates following the Building Standards Law.
(2) The building certificate is to check conformity of building designs with the Building Standards Law.
(3) Capacity Enhancement Plans
1) Roles of Basic Design
Basic design aims at providing the macroscopic views of the structures, so that it is
recommended to clearly stipulate in the Decree209 that the basic design is the one which do
not control technical design coming after the basic design, but show the fundamental
guideline in structures to the technical design. In order to enhance construction quality, it is
more important to use reasonable and well-grounded technical design as a base of contract
dossiers.
2) Decision Maker’s Approval of Overall Project Implementation Plans
Flexible design change sometimes causes increase in total investment including contingency,
so project owners should inspect technical designs and request decision maker to re-appraise
and re-approve investment in construction works whenever necessary. It is therefore
recommended that decision makers should approve overall project implementation plans
before making construction contracts, not only the technical designs but also total investments,
cost estimates, technical designs, tendering methods, construction schedules and the state of
land clearance. Upon approval by the decision maker, project owners should take full
responsibility for the technical designs.
3) Project Owner’s Approval of Technical Design
Project owners are recommended to anytime inspect and approve technical design as contract
signers (The Employer), since technical design inspection is closely linked to tendering.
However, if the technical design comes out to be more than the frameworks approved by
decision makers in F/S, project owners is recommended to propose decision makers to
reappraise the projects. Project owners, as the Employers, should take full responsibilities for
preparation of contracts.
4) Cost Estimate in Accordance with Design Levels
It is also recommended to change cost estimates in accordance with the depth of designs, in
particular for F/S. Cost estimate for F/S is in principle rather general than that for technical
design, so that a higher rate of contingencies is given to F/S rather than to technical design.
Therefore, flexibility in design within the framework of total cost approved by F/S should be
ensured, taking account of contingencies. Ministries concerned are recommended to prepare
base cost elements which can be applied to F/S.
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5.4 ENHANCEMENT OF DESIGN CHANGE
(1) Rationale
In order to ensure construction work quality, design change should be carried out properly. In
principle, construction facilities shall be built on the site conditions including topographic and
environmental conditions. Timely and proper design change should be made whenever
differences may arise in between actual and design conditions at the proposed construction
sites. Proper design change shall contribute to minimize problems occurring in the
maintenance stage.
1) Project Owners’ Responsibility for Design Changes
Any changes in design shall be approved by project owners, as project owners are capital
owners. In case design changes require decision makers’ approval, project owners shall bear
responsibility in obtaining approval from decision makers beforehand project owners’
approval. Project owner shall play a center role of design change.
2) Decision Makers’ Approval of Design Changes
When changes in technical design need to change in F/S conditions and surpass approved
budgets for the construction works, project owners should request approval to decision
makers before project owners approve them. Decision makers are requested to decide detailed
criteria of their approval and inform them to project owners.
3) Delegate Responsibilities for Approving Small Design Changes to PMUs
In order to accelerate procedures for design change, PMUs shall be given responsibilities for
approving small design changes and those for emergency cases. Small design changes should
include activities such as transfer of utilities found during construction works which may need
quick processing in order not to hamper project progress. Project owners are requested to
decide detailed criteria of such design changes to be delegated to PMUs.
5.5 ENHANCEMENT OF CONSTRUCTION PERMITS
(1) Rationale
Responsibility for design inspections basically belongs to project owners. In particular,

technical designs plays an important role, because they are to be incorporated into contractor
selection and contracts with contractors, and likewise they becomes the ground of
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construction works to be implemented after the contracts was made. However, project owners
are not always professional under the current project assignment system in Vietnam. It is
therefore recommended to strengthen the design inspections, and to classify design
inspections into the following;
(1) Design inspection for private construction works
(2) Design inspection for state budget projects to be implemented by professional state
authorities
(3) Design inspection for state budget projects to be implemented by non-professional state
authorities
Also, it should be noted that Decree No.12 and Decree No.209 clearly stipulate designs are
not the single components to be approved by decision makers, in particular in the F/S stage.
(2) Foreign Practices (MLIT Practice in Japan)
1) Roads/Bridges/Ports/Irrigations/Dams (Public Works)
Project owners in general take whole responsibilities for inspecting designs. Project owners
use their engineering departments to examine designs prepared by consultants. This is applied
to all state budget projects.
2) Building Works (Public & Private Works)
Design inspections are carried out in line with the Law on Building Standards (May 24, 1950).
The flowchart is shown in Figure 5.5.1. The Law obliges project owners should propose local
government to conduct design checks, as shown in Table 5.5.1, and structure calculation
checks, as shown in Table 5.2.2.
Then, building design certificates, same as the construction permits in Vietnam, are issued to
the project owners after the checks by local governments. These design inspection are applied
for both state budget and non-state budget projects.
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Step-1: Building design Step-2: Structure

check calculation check
Propose
<Inspection Organization>
Project
owners
Certificate
Building Office
Propose
Propose Station in local autonomies and Private/ semi-

Project appointed by heads of local public
owners autonomies Entities for
structure
Certificate Calculation
Private Entities for building Evaluation
Inspection result
Propose
Project
Appointed by MLIT or Governor
owners
Certificate
Figure 5.5.1 Flow of Certifying Building Projects
Table 5.5.1 Details of Design Check
Proposed by All project owners including those for state budget projects and non-state budget
projects
Checking (1) Building officers stationed in local autonomies
organizations  Who passed a special examination
 Also, appointed by heads of local autonomies
 Applicants should be 1st Grade Architect.
(2) Private entities for checking building design
 Privatization of checking functions aiming to accelerate procedures (2001)
 Appointed by MLIT or Governors
Design certificate should be published with 35 days.
Designs to be Building designs for new construction and renovation which exceed specified scales.
checked (Ex. Over 2 stories non-wooden structures)
Check points Facilities, land and equipment in conformity with the Law on Building Standards
Table 5.5.2 Details of Structure Calculation Check
Proposed by Design check organizations (not project owners)

Checking Semi-public and private entities specialized for structure calculation check.
organizations  New system to reinforce building design check(2006)
 Appointed by Governors
 Evaluation certificate is issued to design check organizations who proposed
 Costs of checking are born by local municipal bodies
 MLIT provides standard software for structure calculation.
Designs to be Building designs for new construction and renovation which exceed specified scales.
checked
Check Items  Structure safety
 Structure calculation consisting of 90 items.
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1) State-Budget Project by Professional Project Owner
 Roads, Bridges, Ports, Irrigation, Dams and other public works done by MOT, MOI,
MOA, DOT, DOI, DOA etc.
 Basic design is already approved by decision maker.
 Decree 209 should encourage project owners to conduct design checks by their
professional departments or Ministry-level organizations. Checking contract designs is
part of contract preparation, so project owners, as contract signers, are anytime obliged to
check designs before making contracts. If they are incompetent in design check, it is
necessary to strength their capacity by hiring consultants.
2) State-Budget Project by Non-Professional Project Owner
 Building works done by MOE, MOH, DOE, DOH, etc.,
 It is recommended to make best use of existing rules rather than creating new rules. It is
therefore recommended to strengthen the procedures of construction permits and apply
them not only to private projects but also to these state-budget projects.
 With this measure, MOC is recommended to take responsibility for issuing construction
permits to Ministry-level building construction projects, and DOC to provincial-level
building construction projects.
 Technical design should be the ground of examination before the issuance of construction
permits.
 Examination of technical designs should be carried out by state authorities as stipulated in

regulations on the construction permits. The way of examination should be strengthened
including design check.
3) Other Projects where above Measures are Hard to Apply
Regarding building works implemented by MOE, MOH, DOE, DOH, etc. MOC is
recommended to encourage these organizations to enhance self-management capacity of
construction projects in order to cope with future expansion of construction projects.
To enhance self-management capacity, they are encouraged to install professional in-house

engineering departments or subordinate organizations specialized for professional
construction and maintenance jobs.
Another alternative measure is to choose professional organizations to assign construction

works and to hand over facilities to the original facility users upon completion of construction
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works. Table 5.5.3 shows potential organizations to take responsibilities for construction
works.
Table 5.5.3 Demarcation of Responsibility
Construction Management Facility Users
MOC MOE, MOH
DOC DOE, DOH
5.6 ENHANCEMENT OF INSPECTION BEFORE PUTTING FACILITIES INTO

OPERATION
(1) Rationale
Final inspection before putting facilities into use is different inspection from the acceptance of
construction works. Their focuses should be placed on whether the facilities can be put into
operation from safety viewpoints to facility users, so it should be handled separately from
acceptances. Final inspection should be a formal procedure by state authority or by decision
maker to transfer facilities from construction stage to maintenance stage. MOC is kindly
requested to prepare guidelines for this inspection.
Procedures for putting facilities into operation may differ between the following construction
works; (1) construction works with project approval (mostly government public works) and
(2) construction works with construction permit (mostly private building works).
1) Construction Project with Project Approval (mostly government public works)
In order to put these facilities into use, two steps are employed.
 Step-1; Hand-over of the facilities from contractors to project owners upon completion of
construction (Final Acceptance).
 Step-2; Hand-over of the facilities from project owners to decision makers upon
completion of the hand-over to project owners (Final Inspection).
Project owners are given authority of construction work management from project approval to
the hand-over of constructed facilities from contractors, but in general they are not given
authority of facility maintenance and operation. Decision maker should take responsibilities
for assigning appropriate organizations to carry out maintenance and operation of the facilities,
so it is necessary that project owners should hand over the facilities to decision makers or to
state authorities upon completion of the hand-over from contractors.
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With these, if constructed facilities are put into operation without hand-over from contractors
to project owners, dispute may arise between project owners and contractors about the
handling of consequences like damages given by accidents after the opening. Constructed
facilities should be properly handed over to project owners before opening of facilities upon
completion of construction works.
Also, if constructed facilities are taken over to project owners with acceptance certificates and
are put into operation without taking over the facilities to decision makers, project owners
should take whole responsibilities for any consequences after the hand-over from contractors.
It should be considered that responsibility for putting constructed facilities into use belong to
decision makers or state authority. It is important to clearly define responsibilities for the
transitional period from construction to maintenance.
2) Construction Works with Construction Permit (mostly private building works).
For these construction works, state authorities which have given construction permits to
private companies is requested to carry out final inspections before opening of the facilities. It
is not appropriate to put facilities into operation without final certificates of inspection. If
current regulations did not stipulate such responsibility for the state authority, the regulations
should be reinforced to assign inspection responsibilities to state authorities.
5.7 ENCOURAGEMENT TO SATE AUTHORITIES TO STANDARDIZE QUALITY

MANAGEMENT TECHNOLOGIES FOR THEIR SPECIALIZED SECTORS
(1) Rationale
Regulations to perform construction works, including those for administration procedures and
for quality management procedures, have been prepared by MOC in a cross-cutting way as
seen in Figure 5.7.1 However, construction work and quality management technologies are
substantially different between sectors as seen in technical specifications and in acceptance
document requirements. In fact, this makes it difficult for MOC to set up uniform
management technologies common over all sectors. Professional views are indispensable for
further developing project and quality management technologies in the construction sites.
With these reasons, MOC is advised to encourage state authorities (MOC, MOT, MOI and
MOA) to standardize quality management technologies for their own specialized sector
projects.
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related regulation
Regulation
Technical Infrastructure facilities

Procedure -
Regulation
Regulation
Transportation Facilities
Industrial Facilities
Irrigation Facilities
Regulation
Work - related
Civil Facilities
regulation
Regulation
Regulation
Figure 5.7.1 Current Regulations
1) To Encourage MOC, MOT, MOI and MOA to Develop Quality Management

Technologies for their Specialized Construction Works
 Quality management technologies to be developed include standard technical

specifications for their sector management projects, document requirements for
acceptance and interim payments and cost estimate manuals.
 MOC is recommended to focus on procedure-related (administration procedures)

regulations and to encourage these ministries to develop their work-related
(Technological procedures) regulations for their specialized sector projects as seen in
Figure 5.7.2.
related regulation
Regulation
Technical Infrastructure facilities
Procedure -
Regulation
Regulation
Transportation Facilities
Industrial Facilities
Irrigation Facilities
Work - related
Civil Facilities
regulation
Figure 5.7.2 Change of Regulations
5-41
2) To Obligate MOC, MOT, MOI and MOA to Support Regional Construction
 The above sector management ministries are recommended to take a leading role in
developing the technologies specialized for their sector management and providing
technical supports to other organizations involved in the same sector projects including
the Provincial People’s Committees and non-professional Project owners
 MOC building work-related departments are advised to support construction permits by

the Provincial People’s Committees and to provide technical assistance to non-
professional project owners.
5.8 IMPROVEMENT OF CONSTRUCTION WORK CONTRACT MANAGEMENT
5.8.1 Enhancement of Acceptance
(1) Rationale
1) Approach to the Internationally Standardized Construction Work Management
In order to make existing regulations compatible with WTO commitments, it is recommended

to make construction management compatible with internationally standardized methods step
by step. Acceptance in Vietnam is seen to be quite unique to international standards. In the
foreign countries, the word “acceptance” is widely used as a procedure handing over the
facilities upon completion of a construction project, but in Vietnam acceptance is used as an
alternative ways of daily management of construction works. Also, similar procedures to the
overseas final acceptance have been applied to the job acceptance and the stage/parts
acceptance including documents preparation. Table 5.8.1 shows comparison of inspections
between Japan and Vietnam. Attention should be directed to the simplification of job
acceptance and stage/parts acceptance.
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Table 5.8.1 Comparison of Checking and Acceptance between Japan and Vietnam
Work Progress
Japan Regulatory Daily Inspection Inspection on the completed parts of Inspection on the completed parts or
(MLIT) Procedures (Supervision) works for interim payments works to take over facilities
Final Inspection
Implementation Project owners
Supervision consultants Construction supervisor
bodies (the Employer)
Proposed by Upon request of contractors Upon request of contractors Upon request of contractors
Facility Take-over Not Not Yes
Outputs Approval Approval Approval

Vietnam Regulatory Supervision a/ Acceptance of each construction jobs b/ Acceptance of construction parts or c/ Acceptance of completed
Procedures (= Quality management) stages construction items or works
(=Process management) (=Final acceptance)
Implementation Construction supervisors of Project Project owners supervision section Project owner’s representatives at-law,
5-43
bodies owners(including supervision staffs (including supervision and

consultants) consultants) Project owner’s supervision section
staff, and
Supervision consultants
Proposed by Upon request of contractors Upon request of contractors Upon request of contractors
Facility Take-over Not Not Yes
Outputs Acceptance Minutes Acceptance Minutes Acceptance Minutes
(= Certificate) (= Certificate) (= Certificate)
(Note) a/, b/, c/ Acceptance; Article 24, 25 and 26. Decree 209
1) Improve Job Acceptance (Decree 209, Article 24)
a. Assign acceptance responsibility to supervision consultants
To cope with high frequency of the acceptance, it is necessary for project owners to take
prompt actions to the contractors’ acceptance requests, so it is recommended to delegate part
of tasks to supervising consultants to ensure prompt mobilization. The tasks which belong to
supervising consultants shall include implementation of acceptance, approval of the results of
acceptance, preservation of data with signatures, report of the results of acceptance to project
owners and delivery of the data to contractors.
b. Standardize acceptance formats
To ensure smooth implementation, it is important to simplify acceptance procedures including

formats. Four Ministries (MOC, MOT, MOT and MOI) are encouraged to standardize
acceptance formats for their sector facilities in consistent with their technical standards. It is
also important to agree these formats prior to the works. Decree 209 is requested to prepare
provisions which encourage the standardization of acceptance formats for their sector
management.
The baseline survey has clarified that there are some project owners who seemingly apply
rather simplified and more practical acceptance procedures to their construction projects than
those stipulated in Decree 209.
2) Acceptance of Parts/stage Acceptance (Decree 209, Article 25)
a. Delegate tasks to supervision consultants
It is also recommended to assign the approval of the acceptance to supervision consultants,

since the parts/stage acceptance stands in line with the job acceptance. It is therefore more
practical to consider that supervising consultants take responsibility for implementing both
job acceptance and parts/stage acceptance.
b. Simplify document requirement for acceptance
Figure 5.8.1 and Figure 5.8.2 show a conceptual schedule of job acceptance and stage/parts
acceptances. Currently, contractors proposing stage/parts acceptances to project owners are
requested to submit all documents same as those for the past job acceptances. However,
parts/stage acceptance aims to make sure the progress of construction works, in particular
whether construction works are allowed to move into the next stages and whether the hidden
parts are properly constructed. However, parts/stage acceptance is nothing but confirmation of
work progress. Once having completed job acceptances and published job acceptance minutes,
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project owners or supervising consultants should preserve them and should no longer oblige
contractors to submit all relevant documents again. Instead, only a summary sheet including a
list of past job acceptances should be the ground of parts/stage acceptance. This could reduce
workload on document preparation for contractors.
Figure 5.8.1 Job Acceptance and Parts/Stage Acceptance (1)
Figure 5.8.2 Job Acceptance and Parts/Stage Acceptance (2)
5.8.2 Change As-built Drawing Requirement Policy
Law on construction requested contractors to make as-built drawings in particular for hidden
parts of works before their subsequent job are carried out. However, as-built drawings are in
general made after the acceptance of completed construction items or works. The as-built
drawings are those showing the final shapes of works, so it is impractical to record staged
data in the drawings. Rather, it is appropriate to attach drawings showing the range of jobs,
parts and the stage to be examined in the acceptance.
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5.9 ENHANCEMENT OF INTERIM PAYMENT
5.9.1 Rationale of Improvement
In order to enhance construction quality, it is necessary to prepare circumstances where

superior contractors are willing to participate in the state-budget projects. Construction
contracts oblige contractors to perform their duties. On the other hand, they also oblige
project owners to implement payments properly to contractors including interim and final
payments without delay. Relevant regulations are requested to ensure payments without
causing any delay in payment.
5.9.2 Capacity Enhancement Plans
(1) Timely Payment after Parts/Stage Acceptance
In the construction work management, management of payment is also an essential element in

observing contracts with contractors. Upon completion of parts/stage acceptance, interim
payments should be processed immediately. FIDIC explains a guidance requesting the
Employer to pay interim payments within 56 days after the Engineer receives the statement.
Delay in interim payments would jeopardize company finance, in particular cash flow.
(2) Reduce Documents Requirements for Interim Payment
Payment conditions are clearly shown in the Article 8.7, Circular No.09/2011/TT-BXD, dated
28/6/2011 and the contract form attached to the Circular. The Circular requests contractors to
prepare the following three (3) documents before payment;
 Acceptance minutes of the completed actual volume
 Volume of works for payment
 Payment request of the contractor
Regarding acceptance minutes to be prepared, the survey on the current status clarified that
contractors are requested to prepare all acceptance minutes relevant to job and parts/stage
acceptances including check sheets as seen in Figure 5.9.1. However, contractors are
claiming project owners to reduce evidence documents for the payment. In fact, job
acceptance minutes are published after examining check sheets by supervision consultants. It
no longer needs to attach check sheets to the acceptance minutes of parts/stage acceptance as
shown in the figure bellow.
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Table 5.9.1 shows the document requirement for acceptance, which is extracted from Decree
No.209. In taking above issues into consideration, it is highly recommended to review
document requirements in the Decree209 and to keep the documents in to a minimum in order
to let contractors concentrate more on their construction supervision works.
Figure 5.9.1 Documents Requirements for Job and Parts/Stage Acceptance
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Table 5.9.1 Ground for Acceptance
a/ b/ c/
Acceptance of each Acceptance of Acceptance of
Ground for Acceptance construction jobs construction parts completed
or stage construction items
or works
= Daily- level = Stage- level
Decree No.209 Art.24 - 26 = Final acceptance
acceptance acceptance
Written checking and acceptance requests of
X X X
construction contractors;
Technical design dossiers approved by project
X X
owners and approved design changes
Applied construction rules and standards; X X X
Technical instruction manuals enclosed with
X X X
construction contracts;
Results of material and equipment quality checks
X X X
and tests performed in the course of construction;
Construction diaries, supervision diaries of
investors and other documents related to the X X X
checked and accepted objects;
Reports on the construction contractors’ internal
X
acceptance of construction jobs
Reports on the checking and acceptance of jobs
belonging to construction stages to be checked and X
accepted;
Construction completion drawings of construction
X
parts;
Reports on the checking and acceptance of
completed construction stages, conducted internally X
by construction contractor;
Preparatory work for deployment of subsequent
X
construction stages.
X
construction stages;
Results of experiments, adjustment, and multi-
action load operation of the technological X
equipment system;
Construction completion drawings of construction
X
works;
completed construction items or construction X
contractors;
Competent State bodies’ written approvals
regarding fire and explosion prevention and
X
fighting; environmental safety and operation safety
according to regulations
Law on Construction
For hidden parts of works, the acceptance and as-
built drawings must be made before the subsequent X X X
jobs are carried out
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5.10 ENHANCEMENT OF CONSTRUCTION CONTRACTS
5.10.1 Rationale
In order to make existing regulations compatible with WTO commitments, it is recommended

to simplify project management procedures including payments to promote eligible
contractor’s participation into state-budget construction projects.
Use of internationally standardized contracts will not only allow foreign eligible companies to
participate in the construction projects in Vietnam, but also to enhance domestic company’s
capacities to the international levels.
(1) Simplification of Contract Management Procedures
It is recommended to simplify the following procedures step by step, paving the way to
establish the internationally standardized contract management.
 Delegation of powers and duties to PMU and CS Consultant (when Project owners sign
construction work contracts)
 Inspections and tests
 Acceptances
 Interim payments
(2) Need Step-by-Step Approach to the International Standard Contract, FIDIC
It is also recommended to apply an internationally standardized contract, FIDIC, or to develop

a contract compatible to FIDIC as a future vision.
5.11 REINFORCEMENT OF INSTITUTIONS FOR CONSTRUCTION FACILITY

MAINTENANCE
5.11.1 Background and Basic Concept of Facility Maintenance
(1) Background
In Vietnam, construction of social infrastructure has grown rapidly in a recent decade and
social interest has been directed to the enhancement of construction quality rather than
infrastructure maintenance. However, social infrastructures are among important national
assets to be taken over from generation to generation. Also, maintenance period is much
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longer than construction period. Moreover, maintenance budgets are often influenced by the
economic status of the times. This may cause difficulty in ensuring stability of the budgets
over the long course of infrastructure maintenance. It seems to be a common phenomenon
among European countries, USA, Japan etc. It is therefore recommended for Vietnam to set
out the study on the capacity enhancement of facility maintenance at an early stage.
(2) Objectives
Objectives of this study are to review the current facility maintenance activities in Vietnam, to
identify the problems lying behind its maintenance operation and to recommend capacity
enhancement plans for facility maintenance. Also, the principles of facility maintenance are
discussed for private building facilities and for public facilities. In particular, taking road
facility maintenance in the public facility maintenance as an example, in-depth study was also
carried out from the viewpoints of legal framework, organization and staff, maintenance
plan/project formulation and approval, budget proposal and approval, cost estimate, technical
standards, etc. As a conclusion, recommendations were summarized on the capacity
enhancement plans of facility maintenance.
(3) Basic Concept of Facility Maintenance
Maintenance facilities in Vietnam fall into two categories; private facilities and public
facilities as shown in Table 5.11.1. Prior to construction private facilities need to have
construction permits and public facilities need to have project approval. With this difference
in mind, two concept plans, one for private building maintenance and the other for public
facility maintenance, are developed in the following sections.
Table 5.11.1 Facility Owner by Facility Type
Facility Owner Project Approval Examples Person In-Charge of Maintenance
1.Private sectors Construction Permit  Office buildings  Majority of the private works
(CP)  Commercial centers  Facility owner
 Theaters  (Mostly non-professional)
 Apartments
 Dams owned by private sector  Facility owner
 Others  (Mostly non-professional)
2.Public sectors Project Approval  Roads. Bridges  Majority of the public works
(PA)  Ports,  Facility owner (Professional)
 Irrigations, dams  Authorized person/ organization
 Urban facilities  (Professional)
 (Lighting, sewage etc.)
 Hospitals  Facility owner
 Universities, Schools  (Mostly non-professional)
 Government Offices  Authorized person/organization
 TV stations, etc.  (Mostly non-professional)
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5.11.2 Building Facility Maintenance
(1) Basic Concept
Basic concept for the private-sector building construction is to oblige facility owners to
conduct facility maintenance by regulations. The following are the subjects which need to be
regulated.
1) Maintenance Activities which Need to be Regulated
 To oblige facility owners to conduct regular inspections
 To oblige facility owners to report the results of inspections
 To oblige facility owners to maintain safety of the facilities.
2) Further Specifications for the above Inspections
 To specify the building facilities to apply the above inspections.
 To specify the frequency of the above inspections.
 To specify the eligibility of inspectors for the above inspections.
 To specify the points of the above inspections.
(2) Current Status of Building Facility Maintenance in Vietnam
In Vietnam, private sector projects containing roads, hydraulic power stations, building works
and others, should get construction permits (CPs) from DOCs of PPCs prior to
implementation. The examination on CPs is a sole procedure which can evaluate
appropriateness of the projects. Decree 114 stipulates the maintenance activities for the
private sector projects as shown below;
 Design consultants should be responsible for formulating maintenance procedure manuals.
 Facility owners should be responsible for accepting maintenance procedure manuals

produced by consultants and for adjusting the manual when revision is needed. Facility
owner should be also responsible for mapping out maintenance plans on the basis of this
procedures manual.
 The facility owner or authorized person should prepare annual report on the
implementation of construction facility maintenance and its safety for those of grade II
upward and facilities upon occurrence of incidents to the agencies stipulated in Article 26
of this Decree. (Article 17);
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 When signs of quality degradation are detected which unable to ensure safety for
operation or use, the facility owner or authorized person should undertake the followings
(Article 18):
- Checking the facility or inspecting its quality;
- Deciding to take safety measures such as limiting its use, suspending its operation,
evacuating people and properties if necessary
- Fixing damages that may affect safe use, safe operation of the facilities
 Provincial People's Committees should be responsible for coordinating with specialized

Ministries stipulated in Article 26 of this Decree in conducting check regulation
compliance:
- Taking random check for all facilities;
- Taking periodical check, at least once every 5 years, for facilities of grade II upward
and when incidents occur.
As seen in these articles, the facility owner’s responsibilities for maintaining their facilities
are well stipulated. However, there still remain some points which may need improvement
such as; (1) to clarify the points to be inspected, and (2) to stipulate inspector’s eligibility for
performing inspections. Also, it is necessary to implement inspections on the status of
regulation conformity relevant to the above issues, before further improving facility owner’s
responsibilities.
(3) Overseas Practices– Practices in Japan
Act on Building Standards in Japan stipulates the obligations of facility maintenance for
private building facilities as shown in Table 5.11.2.
Table 5.11.2 Obligations for Facility Owners
Tasks and Obligations Practice in Japan

 Tasks obligated to facility owners;  Stipulated in the Act on Building
 To conduct inspections, to report inspection results, Standards
to maintain safety and to repair damages.
 To specify building facilities to be inspected.  Stipulated in the above Act.
- Hotels, schools, theaters, etc.
 Inspection frequencies  Stipulated in the above Act.
- Special building facilities (Hotels, hospitals, schools, - Once/3 years
theaters etc.) - Once/Year
- Ventilation system, smoke-extraction system, - Once/year
emergency light
- Elevator, escalator, playing facilities
 Inspector’s eligibility  1st/2nd Class Architect or inspector
- For special building inspector qualifications specialized for each work
- For safety facility inspector
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Tasks and Obligations Practice in Japan

- For lift facility inspector
 Points of inspections  Structural safety and durability
 Fire resistance, fire protection
 Durability, weather resistance
 Safety in use, safety for evacuation
 Protection of environment
5.12 PUBLIC FACILITY MAINTENANCE
The basic concept for public facility maintenance is summarized here in this section. In order
to develop maintenance concepts for public facilities, A road facility was selected as a sample
of public facilities in order to develop maintenance concepts, to analyze the current status, and
then to make recommendations.
5.12.1 Definitions of Public Facility Maintenance
Table 5.12.1 shows a general structure of maintenance works for road maintenance currently
seen in many countries, followed by the brief explanation of activities. Road maintenance
incorporates four (4) major maintenance activities in general with different objectives as seen
in the table.
Table 5.12.1 Maintenance Works and Their Objectives
Maintenance Works Maintain Retard Maintain Increase Activities

Service Aging Strength Capacity
ability
1. Routine Maintenance X - Cleaning of facilities
- Small repair works
- (Reactive maintenance)
- Temporary restoration from
the damaged of disasters or
accidents etc.
2. Periodic Maintenance X X - Medium/big repair works
- (Proactive maintenance)
3. Rehabilitation X X X - Replacement of facilities
without functional upgrade
4. Reconstruction X X X X - Reconstruction of facilities
with functional upgrade
1) Routine Maintenance
 Routine maintenance has an objective to maintain serviceability including safety of the

infrastructure facilities so that maintenance is promptly implemented in response to
deficiencies causing negative impacts to the safe and efficient operation of facilities.
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 Main activities categorized in routine maintenance include patrolling, cleaning of

facilities, small repair works and disaster and accident restoration works, so that the quick
detection and the early repair of failures are the key for success of this maintenance.
 Small repair works are categorized as ex post fact maintenance works which are reactive
and not proactive to the failures, and are performed aiming to restore a facility to an
acceptable level of service. They are not regarded as measures which give serious impacts
on the facility service life, the strength and functions of the facilities.
 Unscheduled maintenance works are those aiming to return facilities back to a minimum
level of service, while permanent full-scale restoration is generally carried out later stage
of the rehabilitation or reconstruction process.
 Sample small repair works applied for road routine maintenance include pavement
pothole repair works which fill potholes with asphalt repair materials to ensure
smoothness in driving and safety.
2) Periodic Maintenance
 Periodic maintenance is a planned strategy of cost-effective treatments for existing

facilities. It has objectives of preserving the facilities, retarding structure deterioration,
extending facility life-cycle, thereby maintaining or improving the functional conditions
of the facilities (without significantly increasing the structural capacity).
 Periodic maintenance is a key maintenance activity which can retard the aging of facilities
until the time of expensive rehabilitation, thereby contributes to reduce overall
maintenance investments. However, it requires strategic and proactive measures in
planning and implementation.
 Main activities consist of medium-scale or large-scale repair works to cope with facility
deterioration and to reinforce structures, which generally require large spending on the
works.
 In order to ensure efficiency in planning and in implementation, a middle-term or a long-

term maintenance plan is generally incorporated as a base of planning in order to find out
locations to repair, repair works and repair timings in the long course of maintenance.
Also, these maintenance plans are expected to contribute to stabilizing maintenance
budgets and investments in the course of maintenance.
 Sample works applied for periodic road maintenance include a pavement overlay which
places a new pavement with the thickness of about 3 to 5 centimeters or equivalent on the
existing damaged pavements.
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3) Rehabilitation
 Rehabilitation is to restore the strength of facilities by replacing a large part of facilities

with the equivalent structure without functional upgrade in general, thereby maintaining
the strength of facilities. Rehabilitation is applied to the facilities which have failed in
function or become functionally obsolete.
 Rehabilitation results in a large investment, so that project formulation, design, contract,

and work supervision in principle follow the construction procedures stipulated in the
relevant regulations.
 Sample rehabilitation works applied for road maintenance include pavement replacement
in a certain section of roadway which demolishes existing damaged pavements and
constructs new pavements.
4) Reconstruction
 Reconstruction aims to upgrade infrastructure facilities in conformity with the latest

technical standards and to make additional functions to the original facilities such as
adding two more lanes on a roadway as an example.
 Reconstruction results in a large investment, so that project formulation, design, contract,

and work supervision in principle follow the construction procedures stipulated in the
relevant regulations.
5.12.2 General Framework of Public Facility Maintenance
Table 5.12.2 shows the general framework of maintenance works including missions,
responsibilities, work types and functional requirements for each activity. The functional
requirements explain functions to be equipped with in each activity in order to fulfill its
missions and responsibilities.
5.12.3 Functional Requirement for Public Facility Maintenance
The functional requirements are listed in Table 5.12.3. Differences in functional requirements
can be seen between routine maintenance and periodic maintenance. The objective of routine
maintenance is to maintain serviceability, so that the functional requirement is more focused
on ensuring mobility. On the other hand, periodic maintenance is focused on retarding aging
which foresees a medium-term future and tries to find out the best investment strategy that
can reduce life-cycle costs of facilities. In particular, much attention needs to be paid on the
functional requirements for routine maintenance and periodic maintenance. It is noted that
functional requirements for rehabilitation and reconstruction are basically same and follow
procedures of capital construction projects, so that the columns are integrated into one.
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Table 5.12.2 General Framework of Public Facility Maintenance
Functional
Routine Maintenance Periodic Maintenance Rehabilitation Reconstruction
Requirements
1. Missions and - Quick detection of incidents - Planned investment by asset - Maintain strength of - Upgrade functions of
Responsibilitie - Quick countermeasures to the management aiming to minimize facilities facilities
s incidents facility life-cycle costs in the
course of maintenance
2. Work Types - Daily Patrolling - Periodic inspection and data - Detail survey and design - Detail survey and design by
- Cleaning of facilities preservation by consultants consultants
- Small repair works - Planning middle-term and long- - Construction project - Construction project
- Restoration works term maintenance plans management and quality management and quality
(Temporary)for the damages - Medium/big repair works management, same as management, same as those
given by disasters and those for construction for construction projects
accidents projects

3. Functional - Functions specialized for the - Functions specialized for the - Same functions as those - Same functions as those for
Requirements routine maintenance are periodic maintenance are for construction projects construction projects are
required. required. are required. required.
i. Regal framework i. Regal framework
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ii. Organization and staff ii. Institutional arrangement

iii. Project formulation and iii. Project formulation and
approval approval
iv. Design standards iv. Design standards
v. Cost estimate manual v. Cost estimate manual
vi. Budget proposal and vi. Budget proposal and approval
approval vii. Contract management
vii. Contract management viii. Standards for work and
viii. Standards for work and quality management
quality management
Table 5.12.3 Functional Requirements for Public Facility Maintenance
Functional Requirements 1. Routine Maintenance 2. Periodic Maintenance 3. Rehabilitation / 4.Reconstruction
1.1. Legal Framework - Legal framework specialized for routine - Legal framework specialized for periodic - Legal framework should follow those for
maintenance is needed. maintenance is needed construction projects
1.2. Institutional - Maintenance units or taskforces are needed to - Planning department and planning staff - Same as construction projects
Arrangement take prompt action to the incidents, in capable of handling databases (PMS, BMS)
1.3. Organization and staff particular facilities served to the public like and planning software for middle-term/ long-
roads and bridges. term maintenance plans.
1.4. Maintenance Plan/ - Projects are formulated based on the - Middle-term maintenance plans (3 to 5 years - Follow construction procedures
Projects Formulation and projection of maintenance history. plan) need to be approved as an alternative to
Approval - Project approval should be issued on the FS for construction projects.
overall framework only and should not be on - Recently, technology development is being
the project basis, since individual projects carried out on the maintenance management
may need to change their details frequently, system like PMS for road pavements and

depending upon incident types. BMS for bridge structures, which can predict
- Facility owner should take responsibility for future structure deterioration on the basis of
changing the projects flexibly. inspection data and formulate middle-term
maintenance plans.
1.5. Environmental Not necessary since there is no big changes in Not necessary because periodic maintenance Not necessary for Rehabilitation without
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- - -
Assessment facilities. is not with functional upgrade. functional upgrade
- If Reconstruction includes functional
upgrade like the widening of a road from 2-
lane to 4-lane facility, it may need FS and
environmental assessment, in accordance
with the scales of additional functions.
1.6. Design - Design and work specifications on the small - Design and work specifications on the - Follow construction procedures
repair works should be standardized medium and big repair works should be - Follow construction design standards
preliminary in the Routine Maintenance standardized preliminary in the Periodic
Standards for easy reference. Maintenance Standards for easy reference.
- The medium or big repair works often
include the demolishment or the removal of
deteriorated old facilities, which make it
difficult to apply construction design
standards.
1.7. Cost estimation and - Cost Estimate Norm should be specialized for - The Work types of medium and big repair - Follow construction procedures
Norms the routine maintenance works. works often differ from general construction - Follow cost estimate for construction
- It is not appropriate to apply a Construction works as shown in 1.6, the cost estimate for projects
Cost Norm to the routine maintenance works these works should be based on the Cost
due to the differences in construction volumes Estimate Norm specialized for the periodic
and in working conditions at the sites. maintenance.
1.8. Budget Proposal and - The budget framework for the routine - Budget plan for periodic maintenance - Follow procedures for construction projects
Approval maintenance and unscheduled maintenance including medium and big repair works need
works should be proposed and approved. The to be proposed on a project basis, following
prosed amount should include the breakdown the procedures for rehabilitation and
of works estimated on the projection of past reconstruction projects.
trend.
- Approval given to the routine maintenance
budget should be only the overall framework
of budgets, so that the authority of changing
work breakdown is given to facility owners in
order to ensure flexibility.
1.9. Contractor Selection - A call-for contract or an appointed contract is - Follow competitive bidding procedures - Follow procedures for construction projects
more desirable than a competitive bidding in - Based on competitive bidding procedures
order to ensure quick mobilization of
contractors.

1.10. Technical Standards - Work items and procedures needed for the - Periodic inspection on the maintenance - Follow design and technical standards for
routine maintenance are so special and wide facilities should be standardized in the construction works
that they should be standardized in the Routine Maintenance Technical Standards.
Technical Standards for the routine - Design standards for the medium and big
maintenance. repair works should be specialized for the
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- Routine Maintenance Standards should be periodic maintenance, due to the difference

authorized by relevant ministries. in work types, including demolishment or
- Work items to be standardized are as follows; removal of existing facilities.
i. Inspection and survey
ii. Diagnosis
iii. Repair work selection
iv. Repair work specifications
v. Maintenance Service levels
vi. Acceptance criteria
vii. Data preservation for inspection and
maintenance records
1.11. Work Supervision & - Follow the provisions of the Routine - Follow procedures for construction projects - Follow procedures for construction projects
Quality Management Maintenance Standards
1.12. Information and Data - Maintenance data should be preserved in - Infrastructure asset database - Follow procedures for construction projects
Management Road Maintenance Information System - Inspection record database
(RIMS) - PMS, BMS
- Main databases needed facility maintenance - Maintenance history database
consists of;
i. Facility asset database
ii. Maintenance history database
iii. Inspection data base
iv. Facility management and operation
database
v. Facility user database (Traffic volume
etc.)
1.13. Human Capacity Patrol Planning and DB management Capacity development for planning and F/S,
Development Routine maintenance technologies construction project management and work
supervision.
Note; - The works focus on facility maintenance
with no additional facility improvement, so
that FS and environmental assessment are not
in general needed.

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5.12.4 Current Status of Public Facility Maintenance in Vietnam
As a sample analysis on the public facility maintenance, road maintenance is selected and
further analysis is conducted here in this section. The viewpoints of the analysis are as
follows;
(1) Legal framework
(2) Organization and staff
(3) Maintenance procedure manual
(4) Maintenance plan/project formulation and approval
(5) Budget proposal and approval
(6) Cost estimate
(7) Cost estimate norms for routine maintenance
(8) Contractor selection
(9) Technical standards
Major findings are stated hereinafter;
(1) Legal Framework
(Current Status)
 There are many regulations interrelated each other for the facility maintenance
including laws, decrees, circulars and decisions, it is very hard for the users to find out
information necessary for the facility maintenance.
 Decrees, Circulars and decisions are developed under the relevant laws, so that it is
sometimes very hard to understand priority in judgment between similar provisions
under different laws.
 There are only a small number of regulations specialized for the facility maintenance.
Many regulations promulgated for the purpose of capital construction projects have
been applied to the facility maintenance, so that there observed unclear statements,
inconsistency in contents between regulations which may cause misunderstanding in
interpretation.
(Comment)
Regulations should be established and integrated into maintenance manual with approval
between relevant state authorities. According to the expert study on road maintenance, there
seems to be over 30 regulations as shown in Table 5.12.4
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Table 5.12.4 Legal Framework Concerning Road Maintenance

Regulations Title
1 Law on Government Organizations
2 Law on State Budget
3 Law on Tendering
4 Law on Public Interest and Product
5 Law on Construction
6 Law on Road Traffic
7 Law on Emergency Situation
8 Decree No.12/2009/ND-CP, 12/FEB/2009 Management of investment projects on the construction works
9 Decree No.209/ Construction work quality management
10 Decree No. 31/2005/ND-CP, 11/MAR/2005 Production and supply of public-interest products and services
11 Decree No.71/2005/ND-CP, 6/JUN/2005 Investment management of specific works
Amending and supplementing a number of articles of the
12 Decree No.75/2008/ND-CP, 09/JUN/2008
Governments Decree No.170/2003/ND-CP
13 Decree No. 114/2010/ND-CP, 6/DEC/2010 Maintenance of construction facilities
Detailing the implementation of a number of Articles of the
14 Decree No.170/2003/ND-CP, 25/DEC/2003
Ordinance on prices
Guiding on implementation of Law on Tendering and selection
15 Decree No.85/2009/ND-CP
of contractor in accordance with Law on Construction
16 Decree No.48/2010/ND-CP Contract in construction activities
Guiding elaboration and management of prices of public-
Joint Circular No.75/2011/ TTLT- BTC-BGTVT, interest products and services in management and maintenance
17
06/JUN/2011 of roads, inland waterway by method of ordering and
assignning plan to use state budget funds.
Regulating management, payment of investment and non-
18 Joint Circular No.86/2011/TT-BTC
business fund with investment nature of state budget.
Guiding implementation of some articles in Decree
19 Circular No.39/2011/TT-BGTVT
No.11/2010/ND-CP
Stipulating management, payment of investment capital and
20 Circular No. 86/2011/TT-BTC, 17/JUN/2011
non-business funds with investment nature of state budget
Regulating accounting of completed projects under state
21 Circular No.19/2011/TT-BTC
budget
Guiding formulation of management of construction work
22 Circular No.04/2010/TT-BXD
investment cost
23 Circular No.109/2000/TT-BTC
24 Circular No.59/2003/TT-BTC Guiding implementation of Decree No.60/2003/ND-CP
Regulations of bidding, ordering, assigning plan to implement
25 Decision No. 256/2006/ QD- TTg, 9/NOV/2006
production and supply of public-interest products and services
Promulgation of cost norm for project management and
26 Decision No. 957/QD-BXD, 09/SEP/2009
consultancy of investment in works construction
Guidance on conversion of the investment cost for
27 Decision No. 1129/2010/QD-BXD 22/DEC/2010
construction works to the handing-over time
Regulating management and protection of road transport
28 Decree No.11/2010/ND-CP
infrastructure
29 New Decree under preparation (*1) Road asset management
Guiding the regime of management, payment and settlement
Joint Circular No.10/2008/TTLTBTC-BGTVT),
30 economic professional budget for management and
30/JAN/2008
maintenance of road
31 Circular No.10/2010/TT- BGTVT, 19/APR/ 2010 Providing for road administration and maintenance
Guiding the financial management of the task of supplying
32 Circular No.30/2010/TT-BTC, 05/MAR/2010 public-utility products and services in road and inland
waterway transport
33 Circular No.07/2010/TT-BGTVT Regulating Loading and size of road.
Regulating prevention and recovery of flood and storm
34 Circular No.30/2010/TT-BGTVT
damage in road sector.
Decision of the Prime Minister on approval of the programs
Decision No.855/2011/QD-TTGg-BGTVT
35 proposed on control of environmental pollution in transport &
6/June/2011
transportation activities.
Authorization in implementing some rights and responsibilities
of Director General of DRVN in works repair investment
36 Decision No. 1270/ QD- TCĐBVN, 28/JUL/2010
management on NH system using Road non-business budget
and ferry fee
Decision No.3479/2001/ QD- BGTVT, 19/OCT/
37 Road Routine Maintenance Norm
2001
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(2) Organization and Staff
(Current Status)
 There used to be subordinate state-owned-enterprises (SOEs) under the state agency or

under PPCs in the regions. The SOEs had shifted to the limited companies or the joint
stock companies (RRMCs or PRRMCs) until July 2010 by the Law on Enterprise in line
with the government decentralization policy.
 Due to this change, there are no field offices and task forces on the state agency sides
which can be mobilized to incidents or emergencies on the roadway.
(Comment)
It is important for some infrastructures, like roads and bridges, to detect any incidents on the
facilities as quickly as possible, to remove incidents, to restore facilities from emergency and
maintain their serviceability to the users.
In order to ensure smooth and timely implementation of these activities, State agency is
requested to maintain close relation with the maintenance companies by making contracts
specialized for the routine maintenance works.
(3) Maintenance Procedure Manual
(Current Status)
 Decree No.114/2010/ND-CP stipulates a maintenance procedure manual as follows.
 Design consultants should be responsible for formulating maintenance procedure

manuals. Construction facility maintenance plan should be made annually based on the
approved maintenance procedure manual. Facility owners should accept the maintenance
procedure manuals produced by consultants and adjust it when some difficulties arise in
operation.
 This procedure can be suited to the building work maintenance whose facility owners or
authorized persons are in general non-professional.
(Comment)
 Private-sector building works occupy a majority in the building construction sector unlike
national asset maintenance, roads, bridges etc., so that the consultants dedicated to
building design become capable enough of making a maintenance procedure manual for
building facilities.
 Meanwhile, professional facility owners or authorized persons are in general assigned to

the maintenance of national assets like traffic infrastructures, agriculture infrastructure
and urban technical infrastructures. Overseas practices have explained that government
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organizations in principle take whole responsibilities for the maintenance of such national
assets and take a prime role in developing maintenance procedures as well as maintenance
plans without relying on design consultants.
(4) Maintenance Plan/Project Formulation and Approval
(Current status)
 Decree 114 stipulates that the facility owner shall take responsibility for formulating
facility maintenance plans, decide repair projects less than 500 million VND, and approve
repair projects over 500 million VND.
 However, Decree 114 does not stipulate who will approve the routine maintenance plans.
(Comment)
a. Decree 114 stipulates the responsibility for formulating and revising maintenance
plans.
- Construction facility maintenance plan should be made annually based on the

approved maintenance procedure manual.
- The facility owner or authorized person shall be responsible for formulating and
approving the facility maintenance plan.
- The construction facility maintenance plan may be revised, supplemented during

implementation process. The facility owner or authorized person shall be authorized
for deciding those revisions, supplements for the maintenance plan.
b. Decree 114 also stipulates that repair of facility using State budget, shall be
conducted as follows depending on amount of expenses:
- For repair of facility with expenses under VND 500 million, the facility owner or
authorized person shall decide repair projects.
- For repair of facility with expenses over VND 500 million, the facility owner or
authorized person shall conduct formulation, verification and approval of economic
and technical report (F/S) or construction investment project.
The above regulations are more likely suited to periodic maintenance including medium
repairs and big repairs which are similar to general construction works stipulated in the Law
on Construction. However, routine maintenance has absolutely different missions. It aims to
take prompt action in response to any incidents happening on facilities, to restore damages,
and thereby to maintain serviceability of facilities. Like roads and bridges, delay in response
often causes serious consequences to facility users.
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The facility owner or authorized person is recommended to approve and revise routine
maintenance plans, if needed. Also, routine maintenance consists of patrolling, small repair
works, emergency restoration works which are mostly small-scale, fixed pattern and
sometimes unpredictable works like disaster restoration, so that it is not necessary to apply
F/S, but to approve the overall framework of annual maintenance plans. This would ensure
the flexibility of maintenance work selection and minimize delay to be caused by applying
F/S.
Differences in plan formulation and budget proposal are summarized in Table 5.12.5 as
reference.
Table 5.12.5 Work Plan & Budget Proposal by Work Type

Maintenance Type Work Types Work Plan Budget Proposal
- Cleaning - Comprehensive annual - Comprehensive annual
Routine maintenance - Small repair plan budgets proposal
- Emergency restoration
- Medium repair - Middle-term plan based - Budgets proposal for
- Big repair (Alternative plan of individual projects
Periodic maintenance
F/S)
- Technical design
- Replacement without - F/S
Rehabilitation -Ditto-
functional upgrade - Technical design
- Reconstruction with
Reconstruction -Ditto- -Ditto-
functional upgrade
(5) Budget Proposal and Approval
(Current status)
 Law on Budget and Circular 86 deals with conditions of budget proposal for capital
construction projects including periodic maintenance (medium and big repairs),
rehabilitation and reconstruction works.
 However, it does not stipulate the conditions of budget proposal for the routine
maintenance works. Routine maintenance in general consists of small-scale, fixed pattern,
many works and unpredictable works like disaster restoration, so that F/S report is not
necessary and it is appropriate to approve overall framework of annual budgets rather
than approving individual work-based budgets in order to ensure flexibility.
(Comment)
a. Law on Budget stipulates;
- Prior project formulation is necessary for capital construction project including

medium and big repair works.
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b. Also, Circular No.86/2011/TT-BTC stipulates the conditions of budget proposal as

follows;
- The investment projects are funded by investment capital from the state budget every
year.
- For investment projects, it is required to have investment decision prior to October

31st of the preceding year of the planned year.
- As basic documents for the domestic capital projects, employer must send project
basic documents to the state treasury;
 Economic-technical reports for the projects (F/S Report),
 Investment decisions of the competent authority,
 Written approval of the contractor selection in accordance with the Bidding Law,
 The contract documents between employer and contractor, and cost estimate
approval of the competent authority for each works.
(6) Cost Estimate
(Current Status)
 Remarkable progress has been seen in the facility maintenance and management
technologies, such as minimizing facility life-cycle costs, prediction of facility
deterioration and maintenance information technologies including databases.
 Methods of payment should follow the changes in technologies and should be flexibility
applied to the payment of maintenance projects.
(Comment)
 Decree 114 stipulates that the method of estimating maintenance costs as follows;
- Maintenance cost estimation should be made upon volumes of facility identified

according to maintenance plan and construction unit price for carrying out those
facility loads.
 Performance Based Contract (PBC) is currently under study by World Bank TA project to
enhance capacity for road maintenance and management. However, PBC does not use a
Quantity-based contract, but a Quality-based contract, so that this may need review and
modification of Decree 114.
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(7) Cost Estimate Norms for Routine Maintenance
(Current Status)
 Routine Maintenance Cost Norm, Decision No. 3479/2001/QD-BGTVT was promulgated

2001 and applied to the routine maintenance works.
 Inconsistency of information is observed between Technical Norms on Road Routine

Maintenance 2003 (Technical Standards 2003) and Routine Maintenance Cost Norms
2001.
 Cost estimate for other maintenance activities including periodic maintenance,

rehabilitation and reconstruction, construction cost estimate norms are applied. Works of
design and cost estimate are carried out by consultants.
(Comment)
 The working environment between routine and periodic maintenance is different. With
this, it is very important to develop a cost norm specialized for the routine and periodic
maintenance works separately from construction cost norms.
 Review and revision of the contents of Technical Standards 2003 are now underway by
DRVN in cooperation with JICA technical assistance.
 MOT is kindly requested to revise the Routine Maintenance Norms upon completion of
the revision of the Technical Norms on Road Routine Maintenance 2003 in order to
ensure consistency between two norms.
 Also, MOT is kindly requested to develop Periodic Maintenance Norms separately from
the Routine Maintenance Norms and general construction norms.
(8) Contractor Selection
(Current Status)
 In Vietnam, the Law on Tendering stipulates contractor selection methods which can be
applied to the selection of maintenance works. Article 20 of the Law on Tendering shows
some incidents to which direct appointment of contractors can be applied; events of force
majeure due to a natural disaster, war or a breakdown.
 However, further details of these applications are not elaborated not only in the Law on
Tendering, but in Decree 209, in Decree 12 and in Decree No.71, so that it is hard to
apply the direct appointments of contractors to routine maintenance.
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(Comment)
 In performing the facility maintenance, it is necessary to select eligible contractors in

accordance with maintenance work types, i.e. routine maintenance, periodic maintenance,
rehabilitation and reconstruction.
 In Vietnam, the Law on Tendering stipulates contractor selection methods which can be
applied to the selection of maintenance works. There are three main tendering methods
applicable to the selection of maintenance work contractors; (1) open tendering, (2)
limited tendering, and (3) direct appointment of contractors. Basically, the above (1) and
(2) can be applied to the periodic maintenance, rehabilitation and reconstruction works.
However, in the case of routine maintenance which contains many of incident responsive
works such as small repair works, traffic safety measures and emergency restoration
works, it is necessary to select contractors without spending a long time and to mobilize
contractors to the incidents as quickly as possible.
 Article 20 of the Law on Tendering shows some incidents to which direct appointment of
contractors can be applied; events of force majeure due to a natural disaster, war or a
breakdown. Also, the investor or the body responsible for managing the building works or
assets affected shall be permitted to immediately appoint a contractor to carry out the
work.
 However, further details of these applications are not elaborated not only in the Law on
Tendering, but in Decree 209, in Decree 12 and in Decree No.71.
(9) Technical Standards
(Current Status)
 MOT disseminated Technical Norms on Road Routine Maintenance; Decision No.

1527/2003/QD-BGTVT dated on 28/5/2003 and applied the Technical Norms to the
routine maintenance works.
 Construction design standards have been applied to periodic maintenance works,

rehabilitation works and reconstruction works, whose works are fairly large-scale rather
than the routine maintenance works.
 Technical Norms on Road Routine Maintenance2003 is under revision by DRVN in

cooperation with JICA technical assistance.
(Comment)
 Technical Norms stipulates the subjects relevant to road inspection, data preservation,
diagnosis, selection of maintenance works, facility management levels, work acceptance,
and so forth, which are essentials for implementing road routine maintenance.
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 It is necessary to develop technical standards on routine and periodic maintenance

separately from construction design standards for the facilities, since routine maintenance
works are wide in range and small in scale from patrolling, small repairs and emergency
restoration. Also, the periodic maintenance, including medium repairs and big repairs,
may need the demolishment or the removal of existing facilities. Due to the difference in
working environment and work types, construction design standards are hardly applied to
the routine maintenance and periodic maintenance works.
 As regards other maintenance works including periodic maintenance, rehabilitation and

reconstruction, construction standards can be applicable.
5.12.5 Recommendations
(1) Enhance Public Awareness on the Construction Facility Maintenance
It is recommended that state authorities involved in construction facility maintenance should

enhance their awareness and acknowledgement to the importance of construction facility
maintenance.
(2) Improve Building Facility Maintenance Owned by Private-sector
Decree 114 has already stipulated facility owner’s responsibilities for private-sector projects,
in particular in Article 17 and Article 18. In order to enhance maintenance capacity for private
sector projects, it is recommended to improve the following provisions relevant to Decree114.
1) To Specify the Eligibility of Inspectors for the above Inspections
This is the issue to be discussed in conjunction with the improvement of engineer

qualification systems. This is the recommendation intended to enhance quality of inspection.
2) To Specify the Points of the above Inspections
It is recommended to clearly define inspection points.
3) To Inspect Facility Owner’s Responsibilities for the Compliance of Regulations
(3) Review and Define Public Facility Maintenance
It is recommended to review and classify existing maintenance works into the following
activities shown below, whose further details are seen in Table 5.12.1 and Table 5.12.2. On
the basis of this classification, management procedures for each activity need to be developed
in order to meet their requirements. The procedures to be developed should include legal
frameworks, organization and staff, project formulation and approval, design, cost estimate
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and norms, budget proposal and approval, contractor selection, technical standards and so
forth as shown in Table 5.12.3.
 Routine maintenance
 Periodic maintenance
 Rehabilitation (without functional upgrade)
 Reconstruction (with functional upgrade)
(4) Improve the Legal Framework for Public Facility Maintenance
It is recommended that state authorities relevant to construction facility maintenance should

acknowledge the objectives, missions and requirements for each of maintenance activities,
and then improve the current legal framework in order to make them meet the requirements.
The points to be focused on in working out provisions are as follows. The provisions need to
be prepared for each maintenance activity, i.e. routine maintenance, periodic maintenance,
rehabilitation and reconstruction. Key elements for the facility maintenance are summarized
in Table 5.12.6 by maintenance activity as reference.
 Institutional arrangement
 Formulation of maintenance plan/projects and approval
 Budget proposal and approval
 Cost estimate and cost estimate norms
 Contractor selection
 Technical standards
In addition, it is recommended that MOC and MOF which are institutional ministries
promulgating regulations for facility maintenance should exchange views with state agencies
in charge of facility maintenance on the requirements of regulations before drafting
regulations.
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Table 5.12.6 Summary of Functional Requirements for Public Facility Maintenance
Functional Requirements Routine Maintenance Periodic Maintenance Rehabilitation / 4. Reconstruction

- Legal framework specialized for periodic - Legal framework should follow those for
Legal Framework - Legal framework specialized for routine maintenance is needed construction projects
maintenance is needed.
- Planning department and planning staff - Same as construction projects
Organization and staff - Maintenance units or taskforces which can capable of handling databases (PMS, BMS)
take prompt action to the incidents. and planning software
- Middle-term maintenance plans (3 to 5 years - Follow construction procedures

Maintenance Plan/ Projects - Established based on the projection of plan) as an alternative to FS - Environmental assessment is not necessary for
Formulation and Approval maintenance history.

- Based on asset management concept aiming at the rehabilitation without functional upgrade. If
- Approval on the framework of plans and not minimizing the life-cycle costs. reconstruction includes functional upgrade, it
on the individual works. - Environmental assessment is not necessary. may need FS and environmental assessment.
- Environmental assessment is not necessary.
- Estimated by the cost estimate norms - Follow construction procedures
Cost estimation and Norms - Estimated by the cost estimate norms
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specialized for the periodic maintenance. - Follow cost estimate for construction projects
specialized for the routine maintenance
works.
- Project-based budget proposal is proposed and - Follow procedures for construction projects
Budget Proposal and - The overall framework of budgets is approved.
Approval proposed and approved.
- Follow competitive bidding procedures - Follow procedures for construction projects

Contractor Selection - A call-for contract or an appointed contract
in order to ensure quick mobilization of
contractors.
- Periodic inspection on the facilities should be - Follow design and technical standards for
Technical Standards - Work items and procedures should be standardized. construction works
standardized in the Technical Standards for - Work items and procedures should be
the routine maintenance. standardized in the Technical Standards for the
periodic maintenance.
(5) Simplify Procedures for Public Facility Maintenance
As shown in the case of road maintenance analyzed in this paper, about 30 regulations are
closely related to maintenance, so that state agencies’ much energy has been spent on the
analysis of regulations rather than the enhancement of maintenance technologies at sites. Also,
requirements of regulations may differ depending upon sector facilities and the number of
regulations would increase as regulation goes into details.
With taking these into consideration, it is recommended to prepare maintenance manuals

specialized for sector facilities and consolidate information on construction facility
maintenance into the manuals in order to save time and to avoid misunderstanding and
misinterpretation of the concerned regulations.
The manuals should be edited by the sector management ministries in cooperation with
implementation agencies and authorized by institutional ministries like MOC and MOF. The
following shows the manual structure as an example.
1) Manual for Facility Maintenance Management
The manual should covers administration procedures for facility maintenance including
routine maintenance, periodic maintenance, rehabilitation and reconstruction. The subjects to
be included are shown below;
 Plan/Project formulation and approval procedures
 Budget proposal and approval procedures
 Contract management focusing on facility maintenance
2) Technical Standards for Routine Maintenance
The standards need to cover routine maintenance works as well as periodic maintenance in
principle. Rehabilitation and reconstruction works should follow construction design standards.
The subjects to be included are shown below;
 Facility inspection standards
 Criteria of diagnosis
 Criteria of work selection
 Work operation guideline
 Work specification for routine maintenance works
 Data preservation in databases
 Acceptance criteria
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 Facility management levels
3) Cost Estimate Norms for Routine Maintenance and Periodic Maintenance
 Routine maintenance cost norms
- Cost estimate norms for maintenance patrolling
- Cost estimate norms for facility cleaning
- Cost estimate norms for small repair works
- Cost estimate norms for emergency restoration
 Periodic maintenance cost norms
- Cost estimate norms for periodic inspection
- Cost estimate norms for medium repair works
- Cost estimate norms for big repair works
5.13 DEVELOPMENT OF PROJECT OWNERS’ MANUAL
5.13.1 Current status
In Vietnam, there is a large number of non-professional Project Owners who are delegated to
manage and use the state budget for the investment of construction projects. They are given
big authorities and responsibilities to implement and manage construction projects from the
beginning to the end. They are from various sectors like education, tourism, heath… and they
do not have profession knowledge and expertise in construction including construction project
management and construction quality assurance.
Meanwhile, legal framework in construction project management and quality assurance in

Vietnam seems to be fairly complicated for many of the non-professional POs. Various
regulations related to construction projects have been prepared and promulgated by various
organizations for various users. Interview surveys conducted in this project have clarified that
provisions relevant to POs’ roles and responsibilities have been dispersed over many
regulations including Laws, Decrees and Circulars, Also, overlapping of information between
regulations has been reported. In addition, there are frequent changes in provisions including
revision of regulations and promulgation of new regulations. These make it difficult for POs to
access to necessary information for their project management. Also, guidelines or manuals
which can supplement interpretation of regulations are not currently available in Vietnam, so
that this also makes it difficult for POs to find, refer and apply appropriate regulations.
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5.13.2 Oversea practice (Japanese practice)
Technical specifications for surveys, designs and construction have been applied to most of
the public-sector projects for the purpose of enhancing quality of specifications and alleviating
workloads of POs to prepare tender documents.
In principle in Japan, sector management State Authorities plays a leading role in

standardizing technical specifications and also in developing construction quality manuals. In
addition, standardized technical specifications are also applied to local government projects.
Local governments are allowed to develop their own specifications, but many tend to apply
MLIT standardized technical specifications.
In order to support POs’ construction project management and supervision, sector

management ministries are requested to play a key role in developing guidelines or manuals
specialized for POs’ construction project management, supervision, testing and inspections for
their project management. These manuals help stakeholders conduct their works easily,
consistently and ensure good quality.
Table 5.13.1 shows the outline of one project management manual developed by Central
Nippon Expressway Company Limited. With these guidelines or manuals, POs can easily
understand the procedures and requirements of their activities without referring to various
regulations by utilizing this manual.
Table 5.13.1 Outline of Management manual for civil engineering works

Items
Chapter 1 General
Article 1 General rules
Article 2 Order of construction works
Article 3 Supplemental contents of construction documents
Article 4 Responsibilities of General Supervisor, Deputy Supervisor, Chief sub-supervisor, Sub-
supervisor
Chapter 2 Management of construction works
Article 1 Management regarding change of contraction contents
Article 2 Management regarding suspending construction works
Article 3 Management regarding change of term of construction works
Article 4 Change of original contract price
Article 5 Advanced payment and partial payment in contract term (in case of multi-year construction
works)
Article 6 Alteration of a contract
Article 7 Procedure for road maintenance works
Article 8 Matters in case of not reaching agreement of contract between project owner and contractor
Article 9 Matters of exception by nonconformity of design specifications
Article 10 Regarding Subcontractor, etc.
Article 11 Report of disaster or accident
Article 12 Considerations on entrustment of construction management
Article 13 Regarding account audit
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Items
Article 14 Matters of warranty against defects
Chapter 3 Inspections for construction works
Article 1 Purposes of inspections, kinds of inspections
Article 2 Final inspection and partial final inspection
Article 3 Inspection for partial completed construction works (by General supervisor)
Article 4 Inspection for use of completed construction portion
Article 5 Inspection for completed construction works
Article 6 Direction on quality control patrol
Article 7 Inspections regarding road maintenance works
Article 8 Use of work piece under construction
Article 9 Procedure of compensation for withered plants
(Source) Developed by Project team
5.13.3 Guidelines for Developing Project Owners’ Manual
(1) Objectives
Project owners’ manual is to show information on POs’ roles and responsibilities for
performing construction project management and construction quality assurance to POs,
consolidating regulations with provisions for state budget projects into one manual. The
manual is for non-professional POs who manage state budget projects.
(2) Time of Development
Under the current status, MOC focuses more on promulgating regulations than on preparing
guidelines materials. However, under the situation that anybody can be a project owner if
appointed by Decision maker, MOC is recommended to develop this kind of manual as soon
as possible to make POs fully understand the regulations regarding construction project
management. It will contribute to enhancing cost efficiency of state budget projects.
(3) Structures of Manual
The expected manual may consist of the following 15 chapters stipulating roles and
responsibilities of POs and procedures of construction project management and quality
assurance. Each chapter is focused on a different aspect of project management and operation.
 Chapter 1: Formulation, Appraisal, Approval and Adjustment of Feasibility Studies
 Chapter 2: Land Acquisition
 Chapter 3: Project management models
 Chapter 4: Cost management
 Chapter 5: Construction Survey
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 Chapter 6: Design
 Chapter 7: Tendering, Contractor selection
 Chapter 8: Contracting
 Chapter 9: Construction works
 Chapter 10: Construction supervision
 Chapter 11: Labor safety, environment protection
 Chapter 12: Acceptance/ Handing over
 Chapter 13: Account disbursement, settlement in construction projects
 Chapter 14: Facility Maintenance
 Chapter 15: Investment monitoring and evaluation
Contents in each chapter will be taken up from Laws, Decrees, and Circulars in force.
References to regulations (Laws, Decrees, Circulars, Decisions) are noted in the relevant
contents, reference materials are to be listed in the last end of the manual. This will ensure the
reliability of contents in the manual, and facilitate updating of manual in case of revised or
new regulations are available.
Supplemental explanation is to be added for interpretation of regulations. The explanation can

supplement information whenever regulations are found not clear enough. These explanations
should be prepared by professional experts with deep understanding of regulations and
construction project management.
In case contents are so specific and huge volume, there will be a reference to the original
regulations for detail guidelines.
The annexes in each chapter include all necessary forms for each procedure which are also
stipulated in regulations.
(4) Roles of Ministries
MOC requested to take responsibilities for preparing, publishing, updating and maintaining
the manual. Sector ministries including local governments are encouraged to develop their
own manual suited to their construction sectors.
(5) Maintaining manual and further development
Since there are frequent changes and revision of regulations, MOC is requested to frequently
update the manual in an appropriate interval.
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This manual can be divided into several sub-manuals dealing with specific subjects. This may
contribute to saving time for preparing and updating the huge volume of comprehensive
manual.
In the future, when Project Owner get used to use this manual, MOC is recommended to
convert stipulations into manuals in order to simplify regulations. This would enhance the
quality of regulations and the understanding of people about regulations including knowledge
and experience of construction project implementation. This would lead to the efficiency of
state budget construction investment projects.
(6) Sample of Project Owners’ Manual
The Project has also prepared a sample Project Owners’ Manual showing the detail
information of some part of the manuals. MOC is recommended to follow this style to
complete further development.
For more details on the Sample Manual, please refer to "GUIDELINES AND MANUALS".
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CHAPTER 6 IMPROVEMENT OF STATE AGENCIES INSPECTION

SYSTEM FOR CONSTRUCTION QUALITY
ASSURANCE (ACTIVITY-2)
The subjects studied in this activity include the following;
(1) Strengthen state management audit system to Project Owners
(2) Enhance inspection capacity for CICs
(3) Strengthen sanctions against improper construction quality management
6.1.1 Strengthen State Management Audit System to Project Owners
Project owner is playing a key role in construction project and construction quality
management, so that his capacity needs to be strengthened in order to support his activities. In
parallel with strengthening project owner’s institutions and technical supports to them, it is
important to reinforce state management audit functions (construction audit) to the project
owners. As long as project owner should manage state-budget projects for constructing
national infrastructures, status of his project management should be monitored and examined
regularly. A schematic view is illustrated in Figure 6.1.1. The Project recommends
reinforcing construction audits to the project owners.
The points of audit to be focused on will be as follows;
 Management of construction projects, in particular, on the conformity with specifications
 Management of labor safety and third-party accidents
 Management of construction budgets and expenses
 Management of construction periods
In order to enhance construction quality, project owner is now strongly recommended to

accomplish these responsibilities.
The construction audits to be focused on in this Project include the following;
 MOC construction audits to the central projects and to the regional projects conducted by
the Provincial-level People’s Committees whose project owners are relevant departments
of the Provincial People’s Committees.
 Provincial-level construction audits to the regional projects whose project owners are
appointed by the Provincial-level People’s Committees.
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 In the study, much focus will be placed on the civil work (building construction) project
owners, as there are many small projects now going on in the whole country.
State Management in
Construction (MOC)
Decision Makers
Construction
Audit
Construction Project Management
Project owner
Inspection PMUs
Supervise consultant
Design Consultant
Supervision
Contractor
Figure 6.1.1 Construction Audit
(2) Methodology
The Project will discuss with the counterpart group on the following issues.
 Clarify the points of audits
 Clarify responsibilities for the auditors
 Task demarcation between MOC and Provincial-level People’s Committees
 Clarify criteria of selecting projects to be focused on
 Reinforcement of institutional issues for audits
(3) Outputs
Recommendations on the strengthen of audit systems
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6.1.2 Enhance Inspection capacity for CICs
Study on the current status on construction projects has clarified rapid growth in construction
projects in the regions due to the progress in the Government decentralization policy. Many
construction projects have been carried out in the regions. With this, the Project recommends
that CIC’s functions be strengthened to be a focal point of technical support in the regions and
support project owners and regional construction projects.
1) Expected Roles to be prepared for CICs Include the Following;
 Technical supports to the regional audits recommended in the above plan which is to be
carried out by Provincial-level Peoples Committee
 Technical supports to the project owners
The technical supports to the regional audits is intended to help support the audits from
technical view points, such as those including checks on the conformity with technical
standards and relevant procedures. Also, the technical supports to the project owners are to
provide technical consultation to the project owners whenever technical problems may
happen during construction projects.
2) Expected Functions to be Prepared at CICs Include the Following Functions;
 Research & Development
 Data Collection and preservation
 New technology assessment
 Consulting services
 Material testing services
(2) Methodology
The Project will discuss with the counterpart group on the plan.
(3) Outputs
Recommendations on the strengthen of CIC functions
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6.1.3 Strengthen Sanctions against Improper Construction Quality Management
In accomplishing state-budget construction projects, the Government should prepare sanctions

against improper construction management. The Decree No.23/2009/ ND-CP prescribes
details of administrative violations to which the sanction should be applied. The regulation
not only imposes sanctions, but also playing a role of raising contractor’s awareness to their
construction project management. However, it is said that the sanction regulation has seldom
been applied to the real incidents in Vietnam.
The Project will detail application cases of sanctions, focusing on construction quality
management.
(2) Methodology
The Project will introduce foreign practices and have discussions on the following issues to
improve sanction applications;
 Incident types to which sanctions are to be applied
 Rationales of applications (Legal ground)
 Who is to be charged
 Sanction contents
 Information dissemination
 Other relevant
(3) Outputs
Recommendations on sanction applications
6.2 STRENGTHEN STATE MANAGEMENT AUDIT SYSTEM TO PROJECT OWNERS
6.2.1 Rationale
In the state-budget construction works, POs play important roles in managing the construction
works including construction quality management as capital owners, given big authority to
perform their duties.
It is a common practice that all organizations which engage in construction works and spend
state budgets should be audited periodically for their performance in order to ensure their
accountability to the public.
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It is said that the Vietnam Government had spent a third of the state budget on public
investment currently. In order to ensure efficiency and reduce extravagance in the state budget
spending, it is mandatory to conduct construction audit to the project owners who own
capitals for construction works.
6.2.2 Foreign Practices (Practices in Japan)
In general, two audit systems care currently employed in foreign countries; an internal audit
system and an external audit system.
(1) Audit Board of Japan
1) Organization
As a constitutional organization that is independent of the Cabinet and belongs neither to the
Diet nor to the Courts, the Board of Audit (hereinafter referred to as 'the Board') audits the
State accounts as well as those of public organizations and other bodies as provided by laws,
and also supervises of public accounting to ensure its adequacy. The organizations obliged to
undertake the Board audit are as follows;
 Central Ministries spending state budgets
 Ministerial agencies which the government invests in
 Local autonomies which are undertaking government subsidies.
The Board is equipped with five bureaus, comprising about 1,280 staff. Its roles and
responsibilities are stipulated by the Board of Audit Act as follows;
 The Board shall have an independent status of the Cabinet (Article 1).
 The Board shall audit the final accounts of expenditures and revenues of the State under
the provision of Article 90 of the Constitution of Japan and also such accounts as are
provided for by laws (Article 20).
 The Board shall constantly audit and supervision the public accounts to secure their
adequacy and to rectify their defects.
 The Board shall conduct its audit from the aspects of accuracy, regularity, economy,
efficiency and effectiveness, and from other necessary aspects of auditing.
2) Responsibilities
a. Supervision of the public accounting
The Board audits and supervises public accounting constantly to ensure its adequacy and to
rectify its defects. When the Board finds cases of improper or unreasonable financial
6-5
transactions in the course of its audit, the Board not only points out these improper cases, but
also performs a positive function of facilitating their rectification and improvements by
identifying the cause of such improprieties.
For this reason, the Board is given powers to present its opinions or demand the auditees to
take improvement measures on matters it deems to be in violation of laws and regulations or
to be improper concerning financial transactions, or necessary to be improved with regard to
laws and regulations, systems on administration.
b. Verification of the final accounts of the expenditures and revenues of the State
Verifying the final accounts of the expenditures and revenues of the State is another
responsibility of audit by the Board. The Board has a duty to verify it based on the results of
audit. Verification of the final accounts of the expenditures and revenues of the State means to
declare completion of the audit after determining the accuracy of the statements and the
adequacy of the State accounting.
The Constitution stipulates that the final accounts of the expenditure and revenues of the State
shall be submitted by the Cabinet to the Diet together with the Audit Report of the Board,
Thus, an official declaration of completion of the audit by the Board enables the submission
of the final accounts of the expenditure and revenue of the State by the Cabinet to the Diet.
(2) Internal Audit System
The internal audit system is an inter-organizational audit system aiming to inspect whether
responsibilities assigned to organizations are properly managed. Any governmental
organizations are more or less equipped with this system in order to examine their activities to
ensure accountability to the public. However, their audit functions are not limited to the
construction activities, but are addressed to all activities that the organizations are currently in
charge.
Figure 6.2.1 shows interrelation between the Audit Board of Japan and Intra-organizational
Audits of local autonomies.
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(1) To the ministries and (2) To the local autonomies

ministerial agencies and agencies
Audit Division in the

Board of Audit Japan
Local Body
Audit (A)
Audit (A)
Audit (B)
Ministry Ministerial Agency Departments of

Agencies
Project Owners Project owner Local Autonomy
Figure 6.2.1 Comparison of Audit Systems
6.2.3 Practices in Vietnam
According to the prevailing regulations in Vietnam, there are three Ministries, MOF, MPI and
MOC, which are given authorities to monitor and inspect budget spending (MOF), investment
activities (MPI), conformity with the regulations in construction (MOC) and construction
quality management (MOC). However, their inspection functions are limited to their
responsible domains, unlike an independent and an integrated audit system over the ministries
in Japan. The following are the provisions stipulating monitoring and inspection functions
deemed similar to the audit system in Japan, although they are not translated as « audit ».
(1) Ministry of Finance (MOF) (Article 2, Decree No. 118/2008/ND-CP)
 To examine the allocation of budget estimates assigned to ministries, ministerial-level

agencies, government-attached agencies and other central agencies; to guide ministries,
branches and localities in managing and administering their budgets; to direct and
examine ministries, ministerial-level agencies, government-attached agencies, other
central agencies and localities in collecting and spending budgets.
 Every year, the State Audit will have the audit plan for the next year (For example,
Decision No.01/2009/QD-KTNN explains the audit plan for the year 2009). The State
Audit sends staffs to the selected projects to audit and then issues the official audit report
to The National Assembly, the President, the Government and the Prime Minister. In
2009, only 19 projects were audited by the State Audit.
 The contents of the finance audit on construction projects consist of the following:
- Audit the implementation of law, the regime of investment and construction

management.
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- Audit the validity and the effects of the investment project.
- Audit the completion balance-sheet of the investment capital.
(2) Ministry of Planning and Investment (MPI) (Article 2, Decree No.116/2008/ND-CP)
 To assume the prime responsibility for, and coordinate with concerned ministries and
branches in, guiding, monitoring, inspecting and examining investment activities and
proposing solutions to problems arising in the formulation and implementation of
investment projects; to evaluate results and socio-economic efficiency of domestic and
foreign investment activities; to examine, supervise and conduct overall evaluation of
public investment activities. To report on the implementation of target programs and
investment projects under the Prime Minister's investment decisions; to act as the key
agency in organizing meetings at home and abroad between the Prime Minister and
investors.
(3) Ministry of Construction (MOC) (Article 2, Decree No.17/2008/ND-CP)
 To guide and examine the implementation of legal provisions in the domain of

construction, covering the stages of formulation and management of the implementation
of work construction investment projects, survey, designing, construction, take-over test
(both qualitative and quantitative), handover, warranty and maintenance of construction
works.
 To guide and examine the management of construction work quality in the stages of
survey, designing, construction, take-over test, handover, warranty and maintenance of
construction works; to guide the evaluation of construction work quality and carry out
state evaluation of construction work quality as decentralized by the Government or
assigned by the Prime Minister.
6.2.4 Basic Concept
In principle, any project owners in charge of implementing state budget projects are obliged
to undertake audits on whether state budgets are effectively spent without extravagance. The
audits deemed effective in Vietnam may include; (1) State audits by state management and (2)
intra-agency audits by decision makers. The former (hereinafter referred to as «Construction
Audit») is to audit project owners from the state management view points and the latter
(hereinafter referred to as « Technical Audit ») from the decision maker’s viewpoints. Due to
the difference in nature, these audit systems are not comparable, but are preferably practiced
together. In order to enhance project accountability to the public, it is most important to apply
these audits to any of the state budget projects.
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(1) Construction Audit by MOC
There is no integrated national audit system in Vietnam, but there exist alternative inspection
systems which look quite similar to the national audit in Japan. These inspections have been
practiced by state management including MOF, MPI and MOC. With this reason, it would be
more practical to strengthen the MOC state management inspection and upgrade it to the
construction audit rather than to newly establish a new rule.
However, it is clear to understand that the state audit has limitation in implementation. It
cannot cover whole construction projects due to institutional constraints, so that preferential
treatment is necessary to the projects which are especially focused on. Also capacity
enhancement plans should avoid overlapping in functions with existing state audits stated
above.
(2) Technical Audit by Decision Maker
The technical audit is an intra-organizational audit system. Any government organizations

should hold responsibility for deploying and enhancing their technical audit functions
regardless of specialties in the scope of works, so the enhancement of the technical audit is in
high priority rather than the development of the state audit system.
However, as far as the construction domain is concerned, there are two types of project
owners; professional project owners and non-professional project owners. It will be rather
important for non-professional project owners to enhance their self-control capacities in
construction project management before enhancing technical audit function. However, this
may need a long time to do.
With these reasons, it would be more practical to enhance technical audits for professional
project owners and to enhance state audits for non-professional project owners rather than
realizing both audits at the same time.
With the above reasons, the Project recommends that audit systems be enhanced step by step
with the short-term and medium-term view points as follows;
(1) Short-term Plan
The Project recommends two (2) short-term plans to be practiced in high priority. The audit
systems are briefly outlined below;
PLAN-1; Central-level construction audit by state management (MOC)
PLAN-2; Provincial-level construction audit by state management (DOC)
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Each of the above audit system is explained below. Also, Figure 6.2.2 and Figure 6.2.3
outlines these plans.
1) Construction Audit by MOC
Objective of this construction audit system is to inspect non-professional project owners in

the central government. In the central level, there are two main types of construction works
being practiced; those by MOT, MOI and MOA including ministerial agencies, and those by
non-professional ministries in construction, e.g. MOE, MOH etc., including ministerial
agencies.
MOT, MOI and MOA are known to be specialized organizations for implementing their own
sector construction works. With this, their institutions for implementing construction works
have been well prepared for their large-scale construction works with huge investment.
With this reason, the construction audit by MOC needs to be addressed to other construction
projects which are rather small-scale construction works practices by non-professional
organizations. Further details are described in Table 6.2.1. The audit system is a sort of
external audit to be implemented over the ministries, so that it may need some institutional,
personnel and legal reinforcements before its implementation to other ministries.
2) Construction Audit by DOCs in Provincial-level People’s Committees
Objective of this construction audit system is to inspect non-professional project owners in

the provincial level with the same reason stated above. As DOCs belong to provincial peoples
committees, this audit system engulfs two functions; one as an intra-PPC audit function and
the other as a state management audit function.
Table 6.2.1 Construction Audit (PLAN-1 & PLAN-2)
ITEMS PLAN-1 PLAN-2
Types of audit Construction Audit by State Management Construction audit by State management
(MOC) (DOC)
Classification External Audit Internal audit
Implementation MOC DOCs

Bodies
Examinees In principle, all of POs in the central-level In principle, all of the POs in the provincial-
construction projects, but more focus should level, but more focus should be placed on the
be placed on the non-professional POs. non-professional POs in the provincial-level.
Timings and Once in the middle of construction works Once in the middle of construction works
Frequencies of Audit
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Points of Audit Common to PLAN-1 and PLAN-2.

Focuses should be placed on project management and quality management.
All the following examinations should be conducted in conformity with regulations, contract
documents, and technical standards.
1) Examine work schedule and progress of construction works
2) Examine land clearance
3) Examine acceptance procedures
4) Examine design change during construction works
5) Examine interim payments to contractors
6) Examine construction safety and work quality management
Reporting  Reporting to the Minister of MOC  Reporting to the Chairmen of PPCs
 Reporting to the concerned ministries  Reporting to MOC
and organizations
Institutional  Stipulate responsibilities for the audit in  Stipulate responsibilities for the audit in
procedures the Decree No.12 the Decree No.12
 Detailed guidance by Circular.  Detailed guidance by Circular.
 Strengthen MOC institutions and  Strengthen DOC institutions and
personnel for implementation personnel for implementation
Others Common to PLAN-1 & PLAN-2
 Audit should focus on construction work management and have different views from
state inspectorate.
Future Plan Common to PLAN-1 & PLAN-2

 When technical audit systems come to function well, construction audits by state
management should be limited to the special cases, events and incidents.
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Ministry-Level Stakeholders
CENTRAL GOVERNMENT
Project Project
PLAN-1
Admini. Management
MOC (Construction
State State Management)
Management G1
PLAN-3
• Minist. of Education Ministers
• Minist. of Culture, Tourism, MOT, MOA, MOI
Other Ministries
PPC Decision Prime Minister Sports
G2 (Right )
Departments Maker • Minist. of Health
• Minist. of Labor, Invalid Construction Audit Board
and Social Affair
Project G3
Owners MOC Ministerial Ministerial

Minister Organizations
Agencies Agencies PMUs
(Permanent)
PMUs PMUs PMUs * Special PMUs PMUs

PMUs G4 (Temporary) (Temporary) (Permanent) (Permanent) (Temporary)
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G5
Consultants/ Consultant Consultant Consultant Consultant Consultant Consultant
Contractors
Contractors Contractors Contractors Contractors Contractors Contractors
(Note) Sample Project Sample Projects Sample Project Sample Project Sample Project Sample Project
1. Prime Minister will be a decision maker for • National assembly • National • National • Roads (MOT) • Roads (MOT) • Universities,
important projects. house Universities Roads • Bridges • Bridges Newspaper
2. MOC, MOT, MOA, MOI will be a project • Colleges
• National convention (DRVN) (MOT) (MOT) companies,
Owner. • Offices
center • Ports (MOT) • Ports (MOT) • Hospitals,
• etc. • Stadiums • Irrigations • Irrigations • State
• National Hospital (MOA) (MOA) corporations,
• Entertainment • Dams (MOI) • Dams (MOI) Institutes
facility • etc.
Figure 6.2.2 Construction Audit to Central-level Project Owners

Provincial-Level Stakeholders
Project Project PLAN-2 PROVINCIAL PEOPLE's COMMITTEES(PPC)
Admini. Management
Districts
State DOC (Construction
Management G1
State Management)
PPC Decision People's Committee People's People's

G2 Committee Prime Minister
Departmentts Maker Committee
* DOE/DOH will play an assistant role

Project
G3 Other Organizations People's
Owners Organizations DOC
Departments Committee
* Schools/Hospitals * Hospitals/TV Stations
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PMUs G4 PMUs PMUs PMUs PMUs PMUs

(Permanent) (Temporary) (Permanent) (Temporary) (Permanent)
Consultants/ Consultant Consultant Consultant Consultant

Contractors G5
(Note)
Sample Project Sample Projects Sample Projects Sample Projects Sample Projects
1. PPCs will be a decision maker
• Roads/Bridges • School In case other • Provincial • Important
2. DOCs will be a project Owner.
• Irrigations buildings departments are Hospitals projects
• etc. • Hospital not capable enough • TV Stations
buildings • Institutes
• Office buildings • etc.
• etc.
Figure 6.2.3 Construction Audit to Provincial-level Project Owners

(2) Medium-term Plan
PLAN-3; Technical audits within MOC, MOT, MOI, MOA.
Unlike the construction audits stated above, this technical audit is a sort of self-audit within
ministries, MOC, MOT, MOI and MOA, which are deemed professional organizations
specialized for sector construction projects. It is recommended to set up internal audit boards
for construction projects under decision makers, inviting some members from external
organizations, and to carry out the audit to their project owners including ministerial agencies.
In addition, the organizations with publicly approved legal status including public entities are
encouraged to install audit boards for the purpose of inspecting their activities to enhance
their own discipline. In particular, the need of such audit board is much higher in the
government entities in order to ensure accountability to the public. Outline of the technical
audit is described in Table 6.2.2.
Table 6.2.2 Technical Audit (PLAN-3)
ITEMS PLAN-3
Types of audit Technical Audit by MOT, MOA and MOI
Classification Internal-organizational audit
Implementation Bodies Construction Audit Boards consisting of members appointed by the Ministers
Examinees All POs under MOC, MOT, MOA and MOI
Timings and Frequencies of Regularly once a year

Audit
Points of Audit Focuses should be placed on project management and quality management.
All the following examinations should be conducted in conformity with regulations,
contract documents, and technical standards.
1. Examine work schedule and progress of construction works
2. Examine land clearance
3. Examine acceptance procedures
4. Examine design change during construction works
5. Examine interim payments to contractors
6. Examine construction safety and work quality management
Reporting  Reporting to their own Ministers of MOT, MOA, MOI
 Reporting to MOC
Institutional procedures  Obligate MOT, MOI and MOA to establish Internal Construction Audit Boards in
Decree No.12.
 Detailed guidance by Circular
Others  Audit should focus on construction work management and have different views
from state inspectorate.
Future Plan  The intra-organization audit systems for the central ministries and provincial-level
people’s committees should be upgraded and reinforced to the level where they
can manage discipline for themselves.
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6.2.6 Long-term Plan
The following will be developed hereafter.
(a) Application of technical audits to non-professional ministries
(b) Application of technical audits to Provincial-level People’s Committees
(c) Enhancement of construction audits
6.3 CONSTRUCTION INSPECTION CENTERS (CICS)
6.3.1 Rationale
Since infrastructure facilities are made up of the newest materials and state-of-the-art
construction technologies, they also require professional knowledge and expertise in project
management. On the other hand, project implementation bodies of the state budget projects in
Vietnam are ministry-level organizations and Provincial-level People’s Committees including
agencies whose capacities are centered around administration tasks and not on professional
engineering tasks. This means that professional engineering supports are indispensable to
these organizations to perform their construction management, supervision, tests and
inspections.
For the ministry-level projects in Vietnam, there are subordinate research institutes or alike
which can provide professional engineering supports to the central-level project owners. On
the other hand, regional projects have no options but to ask CICs to provide professional
knowledge and expertise and to support to the regional-level project owners. With these
reasons, better use of CICs should be preferentially studied in particular for the regional-level
project owners.
6.3.2 Current Status of CICs
(1) Responsibilities
CICs are public entities, but are business units under the DOC management in the Provincial
People’s Committees. Their roles, responsibilities and institutions are prescribed by the
Decisions enforced by Provincial People’s Committees as is the case of Decision
No.21/2004/QĐ-UBND, Da Nang City. CICs are functioned to support not only for the DOC
activities, but also for entire activities of the Provincial People’s Committee in construction
quality; appraise and assess the quality of construction product for their jurisdictions. The
following are the responsibility assignments prescribed in Decision No.21 of Da Nang City.
 To support the authorities that have functions in state management of construction quality,
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 To support Project owners to perform inspections on the quality of constructions, the

quality of the construction execution; state inspection of the quality of constructions,
construction materials, construction components, construction products;
 To check the quality of constructions that need the renovation or that will change the
issues.
(2) Major Tasks
The following are the typical tasks currently practiced by CICs;
 Construction Inspection (Technical supports to DOCs)
 Material and field tests (Soil, aggregate, steel bars, etc.)
 Survey and data preservation
 Consulting services (1) (Project management (PMC), Construction supervision (C/S))
 Consulting services (2) (Quality inspection & evaluation of force-bearing capacity for
certificates)
 Trainings ( those on rules and regulations)
Most common tasks are the support to the inspections of construction works and material
tests/field tests. In case of the large cities, such as Hanoi and Ho Chi Minh, assistance to DOC
includes research and development, data collection and preservation and assessment of new
material and technology. On the other hand, there are many project owners wishing to have
guarantees on construction materials issued by public organizations, thereby to ask CICs to
conduct material tests.
(3) Business Style
Government organizations licensed to conduct businesses and to raise revenues are a peculiar
business style in Vietnam. Figure 6.3.1 shows the CIC’s business fields by nature. They are
made up of public services and private consultant services. The figure shows that material
tests and consulting services seem to be carried out with business licenses, nevertheless there
are currently many private consultants in these business domains, which may cause fierce
competition between CICs and private consultants.
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Public Services Private Consultant Services
Construction Inspection as Material Tests Consulting Services (2)

Support to PPC/DOC  Soil  Project Management (PMC)
 Aggregate  Construction Supervision (C/S)
Data collection &
preservation
(Large cities) Consulting Services (1)
 Quality Inspection & Evaluation
of Force-bearing Capacity for
Training
Certificate
(Especially on Rules
 Consultation on Difficult
and Regulations))
Technical Problems
Figure 6.3.1 Classification of CIC’s Tasks
(4) Identified Problems
From the results of interview surveys to the representative CICs as well as to CQM, major
problems seemingly common to CICs are summarized as follows:
1) Fierce Competition with Private Consultant Firms
Private consultant firms offer lower price for the same services that CICs are providing, such
as material tests and consultant services. Some CICs have pointed out that lower price offered
by private consultant firms sometimes leads to substandard services, resulting in substandard
quality of construction.
2) Severe Financial Situation
Many officials of CICs which the JICA Project Team visited have stated that they are in
difficult financial conditions. Main reasons for this are; (1) severe competition with private
consultant firms and less chances of winning contracts, and (2) insufficient or no financial
assistance from PPC. This results in difficulty in purchasing new testing equipment and
renovating/ constructing facilities.
3) Insufficient Number of Competent Staff
One of the reasons for this is that superior engineering staffs tend to leave CICs and move out
to private firms after they had experiences in CICs. This is attributed to the lower salary level
of public servants than that of private firms. In particular in far remote provinces, CICs have
difficulties in recruiting young engineers with capacity, due to their remoteness.
These problems are not independent with each other. Rather, they are connected and some
problems are the causes of other problems.
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6.3.3 Overseas Practices (Practices in Japan)
In Japan, it is not too much to say that regional engineering centers have greatly contributed
to the infrastructure development in Japan. Not only regional municipal bodies, but also
nation-wide organizations have deployed regional engineering offices/centers in order to cope
with technical problems in the regions.
(1) MLIT Practices
MLIT is in charge of developing national infrastructures throughout Japan. MLIT has eight
regional bureaus under its headquarters in major regional cities. Each regional bureau has an
engineering office which is similar to the work office. The purpose of this engineering office
is to provide technical supports to the regional bureaus, conducting surveys, data collection,
and research on the regional construction problems.
(2) Expressway Corporation Practices
Japan Highway Public Corporation was established in 1956 for the purpose of developing
inter-city expressway networks in Japan. Right after its establishment, the Corporation
founded a road test center in 1957 in order to conduct material test, construction work
experiment, field tests and other related activities. About 20 years later, the road test center
was upgraded to the road test and research center. In addition, in order to help support
regional construction activities, the Corporation deployed engineering offices under the
regional bureaus as is the case of MLIT.
(3) Prefectural-level Practices
There used to be many prefectures which have own research centers in order to tackle
regional engineering problems. These research centers are currently changing their status to
environment centers or to customer service centers in accordance with the changes in social
demands.
Assuming that the Da Nang CIC case is a standard format of CICs, institutional issues of
CICs, including their responsibilities and tasks, have already been well defined in the
regulations However, due to the shortage of financial resources and competent engineering
staffs, their functions have never been fully utilized. With these issues, recommendations are
made on the further developing CIC capacities as shown below.
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(1) Basic Concept
 As long as infrastructure investments remain active in the regions in line with national
socio-economic development plans CICs are expected to continue supporting regional
infrastructure development. It is therefore recommended to make best use of CIC
functions as a base of regional technical centers.
 Of their functions, public service functions should be strengthened in highly priority,

which include technical supports to the state management and project owners in the
regions. Through these tasks, it will become feasible to accumulate public service
technologies to the CICs which will be the base of future facility maintenance.
 Consultant services should be reduced step by step in order to avoid competition with
private sectors. However, CIC’s consulting services can be justified in the remote areas
for the time being where it is hard to find out competent consultants to perform
construction project and quality management. On the other hand, in the urban areas there
exist many consultants capable of providing such services with lower prices and with high
technologies. In the long run, CIC’s private consulting services should be minimized as
much as possible.
(2) Short-term/Medium-term Plans (Refer to Table 6.3.1)
1) Enhancement of Public Service Functions
Of the public service functions, it is recommended to strengthen technical support functions to

the regional state authorities and project owners as described below. Details are summarized
in Table 6.3.1.
a. Technical supports to the regional state authorities and decision makers
 To strengthen inspection on technical designs and cost estimates of the regional

construction projects, following the latest revision of Decree No.209.
 To strengthen examination procedures for construction permits (CPs).
 To implement middle-term and final inspections to building construction projects to

which construction permits were awarded.
 To provide technical supports to Construction Audit and Technical Audits which are
recommended in Activity-2 of this Project.
Strengthening the capacity of construction permit procedures may need special trainings to
the CIC staff and institutional reinforcement for inspection, since deign inspection for
building works often requires high knowledge and expertise specialized for building works.
It is preferable to strengthen CP functions at least in the following provinces where building

construction is currently robust.
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 Hanoi City CIC

Note;
 Ho Chi Minh City CIC In Japan, (1) building officers stationed in local
autonomies or (2) private entities specialized for
 Lao Cai Province CIC building inspections appointed by MLIT or governors
take responsibility for implementing building design
 Nghe An Province CIC examination before publishing building design
certificates. They are architect qualification holders and
 KhanhHoa Province CIC their capacities are strictly examined in advance.
 DakLak Province CIC
 Can Tho Province CIC
b. Training Courses
 To hold training course for inspectors for material testing
c. Provide technical supports to regional project owners
 To conduct material and field tests.
d. To provide technical support during construction works
In order to justify CIC’s material/field tests, it is preferable that CICs have some specialties in
testing which private sectors can hardly get involved. Also, equipment costs are in general
fairly expensive in procurement and maintenance, so job demarcation of tests with other
research institutes and universities would save investment in test equipment.
2) Enhancement of Financial Support
In general, it is very hard for such test centers as CICs to run their institutions on their own
without government financial supports because of irregular job opportunities, so that it is
necessary for the government to provide financial supports to CICs. Government financial
supports, which are worthwhile to the public service activities of CICs, will make their
institutional management more stable. As a balanced point of revenue between profits making
activities and government financial supports may differ depending upon regions, it is
recommended to carefully examine the activities, revenues and OM costs, and to find out a
balanced point fit to the regions.
Revenues from profit making Activities
Government Financial Supports
Figure 6.3.2 Balance of Revenues
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(3) Long-term Plans
 General market mechanism explains that the government participation into private sector
activities is not favorable, because government support is predominant in power and
considered interference to private sector activities. In light of this market mechanism, it is
recommended to reduce participating in the consulting service activities in the long run,
when private consultants grow and become capable enough to manage consulting service
activities.
 When economy keeps growing, regional imbalance in infrastructure investment may arise
in the future. Under such a situation, CICs in the major cities could change their status to
regional research centers. On the other hand, some of the regional CICs need to be united
to a block-based regional engineering center.
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Table 6.3.1 Short-term / Middle-term Capacity Enhancement Plans
Fields Services Outlines Financial Sources
1. Technical Supports 1.1. Inspection on technical designs and cost  To assist decision makers to inspect technical  Budget allocation or
to regional state estimates designs and cost estimates for regional projects  Contracts with state authorities
Public authorities and 1.2. Examination on construction permits  To examine design documents for construction  Budget allocation or
Services project owners (CPs) permits of building works under DOC  Examination fees paid by private
instructions. investors
 Following recommendations in Activity-1.
1.3. Implementation of mid-term and final  Following recommendations in Activity-1  Budget allocation or
inspections to building construction  Contracts with state authorities
projects awarded CPs.
1.4. Technical support to Construction Audit  To support DOCs to implement construction  Budget allocation

(by DOC)(*01) audits to non-professional project owners.
 Following recommendations in Activity-1.
1.5. Technical support to Technical Audit  To support DOCs to implement construction  Budget allocation
(*02) audits to non-professional project owners.

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Following recommendations in Activity-1.
2. Training 2.1. Inspector training and education  To hold training courses for material test  Budget allocation or
inspectors  Training fees
3. Technical Supports 3.1. Material Tests/Field Tests   Contracts with project owners or
to project owners Contracts with contractors
Consultant 3.2. Technical support during construction  Survey, problem identification and solution  Contracts with project owners or
Services works finding for the incidents arising during Contracts with contractors
construction works
4. Consulting services 4.1. Construction project management (PMC)  Project management support to regional project  Contracts with project owners
owners
4.2. Construction project supervision (C/S)  Project supervision support to regional project  Contracts with project owners
owners
(Note) (*01); Construction audit; Audit system to non-professional project owners by DOC state management.
(*02); Technical Audit; Intra-organization audit system for Provincial-level People’s Committee
6.4 IMPROVEMENT OF SANCTIONS
6.4.1 Background
The Project has studied so far the enhancement of construction project and construction
quality management, in particular focusing on the subjects of clarification of responsibility
assignments between stakeholders, improvement of project management methods, state
agencies' inspection system, contractor registration and evaluation system, and engineer
qualification system.
In addition to raise the management capacities of these subjects, sanctions can also contribute
to enhancing the capacity of construction companies. Regarding sanctions as a positive tool of
capacity enhancement plans, the Project will make recommendations on the capacity
enhancement of the sanction system in Vietnam.
6.4.2 Objectives
The Project analyzed the current status of sanctions in Vietnam, introduce Japanese practices
of sanctions as foreign a representative, analyze difference in sanction management between
two countries. Based on the results of analysis, recommendations were made for the
enhancement of sanctions systems in Vietnam.
6.4.3 Current status of sanctions in Vietnam
(1) Regulations
Administrative sanctions including legal penalties against regulations are stipulated in detail in
Table 6.4.1. Outline of each regulation is briefly described under the table.
Table 6.4.1 Legal Framework of Sanctions

No. Regulations Title
1 Decree No.23/2009/ND-CP Sanctioning on administrative violations in construction activities;
real estate business; exploitation, production and trading of
construction materials; management of technical infrastructure; and
management of development of houses and offices
2 Circular No.24/2009/TT-BXD Detailing a number of provisions of the governments Decree
No.23/2009/ND-CP
3 Decree No.64/2012/ND-CP Construction Permit
4 Decree No.180/2007/ND-CP Violations against urban rules
5 Decree No.34/2011/ND-CP Regulations on disciplines against civil servants
Outline of these regulations are briefly shown as follows;
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1) Decree No.23/2009/ND-CP on sanctioning on administrative violations in

construction activities; real estate business; exploitation, production and trading of
construction materials; management of technical infrastructure; and management of
development of houses and offices
Decree 23 was established in pursuant to Law No. 32/2001/QH10 on Organization of the

Government, Construction Law No. 16/2003/QH11, Housing Law No. 56/2005/QH11, Law
No. 63/2006/QH11 on Real Estate Business and Ordinances.
Administrative sanctions against violations on Construction Law are detailed, applying 25

articles. Articles show administration sanctions of fines by violation types as shown in Table
6.4.4, falling violators into the following classifications.
 Project owner
 Project owner for state-funded projects
 Facility owner
 Contractor
 Consultant
 Surveyor
 Construction Planning Consultant
 Construction supervision consultant
 Electricity and water suppliers or neighboring households
 Other organization and individuals
Administration sanctions, given in the form of fines, are decided ranging from a minimum of
1,000,000 VND to a maximum of 500,000,000 VND.
2) Circular No.24/2009/TT-BXD detailing a number of provisions of the governments

Decree No.23/2009/ND-CP
Circular 24 is supplementing a number of provisions of Decree 23 including guidelines and

procedures to put Decree 23 into practical use.
3) Decree No.64/2012/ND-CP on Construction Permit
Regarding the sanctions on the violations against construction permits, Decree 64

independently stipulates sanctions consisting of revocation and cancelation of construction
permits in the Decree. However, for the sanctions against construction permits, Decree 23 also
stipulates sanctions to be imposed on POs in the Clause 1, 2, 3 and 4 of Article 11, and those
on contractors in Article 25.
6-24
4) Decree No.180/2007/ND-CP on violations against urban rules
Violations are categorized as follows:
 Construction works prescribed by law to have construction permits but having no

construction permit
 Construction works built in violation of construction permits granted by competent

agencies.
 Construction works built in violation of designs already appraised and approved by

competent agencies; in violation of 1/500-scale detailed construction plans already
approved by competent agencies (for construction works exempted from obtaining a
construction permit).
 Construction works affecting the quality of adjacent ones or the environment and
communities.
Types of sanctions stipulated in the Decree are as follows:
 Suspension of building activities.
 Termination of building activities, application of measures of ceasing the supply of

electricity and water; notifying competent agencies not to provide electricity and water
services, business activities and other services for construction works in violation.
 Enforcement of dismantlement of works in violation.
 Forced compensation for damage caused by acts of violation.
 Sanctioning of administrative violations in building activities. Serious violations may be

handled in accordance with the penal law.
 Information is released on the website of the Ministry of Construction and the mass media.
5) Decree No.34/2011/ND-CP, Regulations on disciplines against civil servants
Decree 34 stipulates regulations on disciplines against civil servants. In the Decree, violations
are classifies into the following:
 Violations in executing duty, ethics and communication custom by civil servants during
duty execution; prohibitions stipulated in Law on Civil servants.
 Law violations that are sentenced by courts.
 Violations on anti-corruption; saving practice; gender equality; anti-prostitution and other

regulations related to civil servants, but not yet at the level of criminal prosecution.
Types of disciplines stipulated in the Decree are as follows:
 For manager or above class
6-25
- Reprimand
- Warning
- Wage reduction
- Demotion
- Dismissal
 For non-manager class
- Reprimand
- Warning
- Wage reduction
- Dismissal
(2) Information release on violations and incidents through MOC website
CAMD currently releases information on the violation in the construction activities to the
public through computer website, so that the public can access there and get information. URL
of the website is http://vipham.xaydung.gov.vn. These information is provided by the public,
not by regular inspection by CAMD. The behaviors regarded as violation are as follows;
 Construction work with slow progress
 Poor construction work quality due to technical problems
 Construction works with insufficient consideration on labor safety, sanitation, fire safety,
labor accidents during construction and environmental pollution
Table 6.4.2 shows violation categories and Table 6.4.3 shows sample data for each category
taken up from the MOC website.
Table 6.4.2 Violation Category on Web Information

No Cause Number of Case
1 Delay 11
2 Occurrence of accidents 29
3 Fail of labor safety 27
4 Fail of environment protection 0
Total 67
(Note) From MOC Website, June 26, 2013
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Table 6.4.3 Violation Information (Sample cases)

No Project Name Violation Related Entity Status Remedy
Sample-1 Drainage and 1 year delay Project owner: Water Not remedied
Sewage treatment Supply and Sewerage yet
Project in Can Tho Company of Can Tho
city
Sample-2 Dap Ke reservoir in Collapse of dam on Huong Khe District Not remedied Ha Tinh PPC
Ha Tinh province June 5th, 2009 People’s Committee, Ha yet established the
Tinh city council to identify
the cause of
accident, hiring
Institute of Water
resources to assess
the causes and find
remedies
Sample-3 Meeting hall in Doi At 11am in August Contractor: Hai Lam 1 dead, 7
Binh commune, 12th, the whole roof company injured
Hanoi collapse with tons Supervision consultant:
of concrete and 30 Tay Thang Long company
people
Sample-4 Private house in Collapse of wall in Owner: Pham Van Hai Not remedied Ward police and
Mai Thi Luu street, March 29th 2009 yet Construction
Ho Chi Minh city Inspectorate sealed
of the project and
now conducting
inspection.
(Note) From MOC Website, June 26, 2013
(3) Development of new system
CAMD now is preparing a circular on contractors/consultants registration (expected to be

issued in September 2013) with a software system. Information of violations will be
incorporated in this new system, and will replace this website. Currently, MOC Construction
Inspectorate (and DOC Construction Inspectorate) have the role of imposing sanctions against
violations.
(4) Problem Identification
MOC has reported that it is difficult to apply sanctions to violations due to lack of
concreteness in application.
MOC report1 pointed out that it is necessary to strengthen sanctions against collusions between
POs and contractors (consultants or construction contractors), imposing fine, administrative
discipline or prohibitting them from participating in construction activities in a certain period
and also publicize information by means of the MOC and MPI system.
1
Summary report on the survey on current situation and proposal to enhance construction quality management, March 2010.
6-27
Table 6.4.4 Administrative Sanctions in Vietnam based on Decree 23/2009/ND-CP
Sanction
Article Violator Violations Note
(thousand VND)
Art 6 Project Owners  Violation on construction survey 10,000 - 20,000
 Failing to approve construction survey tasks, technical plans on survey or plans
 Letting landmarks or height-point marks lost
 Organizing take-over tests of survey results
 Failing to archive survey results
 Violation on construction survey 30,000 - 40,000
 Conducting construction survey without satisfying the specified capabilities;
 Failing to supervise construction survey
 Failing to organize take-over tests
Art 7 Project Owners  Violation on formulation of work construction investment projects 30,000 - 40,000

 Do not satisfy the specified capability condition but formulate work construction investment projects
Art 8 Project Owners  Violation on work designs and construction cost estimates 20,000 – 30,000
 Evaluating and approving work designs and construction cost estimates
 Failing to archive work designing and construction cost estimation dossiers
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 Modifying or supplementing designs, changing basic designs or technical designs, without obtaining
consent of designing contractors.
 Violation on work designs and construction cost estimates 30,000 - 40,000
 Do not satisfy capability conditions but make construction designs
Art 9 Project Owners for state-  Violations on management of construction investment projects 20,000 – 30,000
funded investment projects  Incapable of managing projects but fail to set up project management units
 Violations on management of construction investment projects 40,000 - 50,000
 Modifying project details
Art 10 Project Owners  Violations on the commencement of construction works 500 - 2,000
 Failing to notify in writing 7 days in advance the date of construction commencement
 Violations on the commencement of construction works 15,000 - 20,000
 Commencing construction works without satisfying all conditions
Art 11 Project Owner  Violations on construction orders 2,000 – 30,000
 Implement construction works at variance with licenses
 Implement construction works without licenses 2,000 – 40,000
 Implement construction works with unapproved designs 30,000 - 40,000
 Implement construction works without fencing the site, drop construction materials or store material at 1,000 – 10,000
improper places.
 Causing subsidence or cracking of adjacent works by unapproved construction works 1,000 – 20,000
Sanction
(thousand VND)
 Causing collapse or posing a threat by improper construction quality management 5,000 – 30,000
Art 12 Project Owners  Improper ground clearance for construction work 10,000 - 15,000
 Organizing unplanned construction ground clearance
 Paying compensation for illegal construction ground clearance 10,000 - 15,000
Art 13 Project Owners  Violations on construction supervision 10,000 - 20,000
 Failing to put up signboards at construction sites
 Failing to archive construction supervision results;
 Failing to inspect the consistency of the actual capability, in terms of manpower, construction
equipment, quality management system, permits for use of machinery and equipment, quality of
supplies, materials and equipment to be installed in works, of construction contractors with that stated in
their bid dossiers and construction contracts.
 Failing to inspect construction measures applied by contractors, keep work construction supervision

diaries or append certification seals on working plans before construction starts.
 Implement construction supervision without capacity 30,000 - 40,000
 Failing construction supervision
Art 14 Project Owners  Violations on construction quality management 5,000 - 10,000
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 Failing to send reports on results of certification of construction work quality

 Failing to archive construction work dossiers
 Failing to send biannual and annual reports on quality of construction works
 Failing to report on work incidents 10,000 - 15,000
 Failing to give certificates of construction work quality standard conformity 15,000 – 20,000
 Failing to purchase insurance for their works
 Failing to inspect and certify force-bearing safety conditions before putting facilities into use 20,000 – 30,000
 Fail to hire capable consulting organizations to assess the quality of works in case of incidents. 30,000 – 40,000
 Carry out construction works at variance with technical standards specified in design dossiers. 50,000 – 60,000
Art 15 Facility Owners  Violations on facility maintenance 20,000 – 30,000
Or Managers  Failing to maintain their facilities in accordance with maintenance procedures set out by construction
designing contractors.
Art 16 Project Owners  Violation on take-over test and payment for completed volumes and final settlement of costs of state- 5,000 - 10,000
funded construction works
 Failing to organize take-over tests within time limits indicated by construction contractors
 Organizing take-over tests in contravention of regulations.
 Late preparation of dossiers for final settlement of costs after works pass take-over tests and put into 20,000 - 30,000
operation:
 Late payment of completed volumes to contractors that have made valid dossiers for take-over tests and 30,000 – 40,000
Sanction
(thousand VND)
volume payment
 Putting completed construction works into use without take-over tests. 50,000 – 60,000
 Organizing take-over tests for uncompleted volumes. 70,000 – 80,000
Art 17 Contractors/  Violations of eligibility requirements for construction works 5,000 – 10,000
Consultants  Borrowing or lending, renting or leasing practice licenses
 Operating beyond their practice capability or at variance with their practice certificates or without
practice certificates.
 Appointing persons possessing no practice certificates or unqualified for the works including 30,000 – 40,000
construction plan chief designer, manager of specialized designing of construction plans, construction
survey managers, work construction chief designer or designing manager, work construction
supervisor, project formulation manager, project management consultancy director, construction site
chief commander, design verification manager or work design evaluation manager

 Conducting construction activities beyond their capability.
Art 18 Contractors/  Breaches of contents of bid dossiers and contracts 20,000 - 30,000
Consultants  Arrange personnel or equipment not in accordance with successful bid dossiers and contracts without
investors’ consent.
6-30
Art 19 Contractors/  Violations on the use of invalid data and documents 10,000 – 15,000
Consultants  Using experiment results provided by unaccredited laboratories
 Using data and documents which are of unidentified origin or inaccurate or lack legal grounds 15,000 – 20,000
 Improperly applying construction regulations and standards. 50,000 – 60,000
Art 20 Contractors/  Violation of liability insurance 10,000 – 15,000
Consultants  Fail to purchase professional liability insurance
Art 21 Contractors/  Violations on acceptance and payment of construction works 10,000 – 15,000
Consultants  Failing to organize take-over tests or organizing acceptance of construction works
 Failing to make documents, papers or drawings for foreign investors or contractors.
 Delay in completing dossiers or documents acceptance, payment or final settlement under regulations; 15,000 – 20,000
 Organizing acceptance of uncompleted works 80,000 – 100,000
 Organizing the handover of works without having organized acceptance
Art 22 Surveyor  Violation on construction survey 20,000 - 30,000
 Using unaccredited laboratories for surveys;
 Failing to take measures to assure survey and traffic safety and environmental protection in surveyed
areas.
 Making survey plans with insufficient contents 30,000 - 40,000
 Conducting surveys without having construction survey tasks or plans approved
 Failing to perform the approved survey tasks.
Sanction
(thousand VND)
 Reporting untruthful or invalid survey documents and data 80,000 – 100,000
Art 23 Construction planning  Violations on period of construction planning preparation 80,000 – 100,000
consultants  Prolong the preparation of requirement statement of construction planning requirements
 Prolonging the preparation of construction plans 15,000 – 20,000
 Providing consultancy on making plan dossiers and work construction site plans
Art 24 Design consultants  Violation on construction designs 80,000 – 100,000
 Make design dossiers in contravention of regulations.
 Distribute design dossiers inconsistent with geological survey results or without having obtained these 30,000 – 40,000
results
 Failing to conduct author supervision under regulations 15,000 – 20,000
 Performing contracts on supervision of construction of state-funded works that they designed
 Failing to participate in acceptance activities requested by POs

 Performing the next designing step when the previous step is not yet approved.
 Designating construction supplies, material and equipment manufacturers in design dossiers. 20,000 - 30,000
 Failing to include technical standards and utilities of construction equipment, materials and components 30,000 – 40,000
in design dossiers
6-31
 Failing to prepare a maintenance procedures manuals for works for which such a process is required.
Art 25 Contractors or organizations  Violation on construction rules 1,000 – 30,000
and individuals  Implement construction works inconsistent with licenses
 Implement construct works without construction licenses 2,000 – 30,000
 Conduct construction at variance with approved designs 30,000 – 40,000
 Implement construction disregarding work suspension order 300,000- 500,000
 Failing to cover construction sites, let construction materials drop in surrounding areas or store 1,000 – 10,000
construction materials not at prescribed places:
 Organizing construction works in violation of regulations on construction, resulting in subsidence or 2,000 – 30,000
cracks of adjacent works:
 Organizing construction works in violation of regulations on work quality management, resulting in 5,000 – 40,000
collapse of adjacent works:
Art 26 Construction contractors  Violation on safety of construction 20,000 – 30,000
 Failing to equip sufficient labor protection devices
 Failing to devising technical solutions and organizing construction without taking labor protection
assurance measures
 Failing to put up safety signboards or construction site covers;
 Failing to purchase insurance as required.
 Violating regulations on dismantlement of construction works 30,000 – 40,000
Sanction
(thousand VND)
Art 27 Construction contractors  Violation of regulations on construction quality management 10,000 – 15,000
 Failing to inspect the quality of construction materials or components or use inspection results of
unaccredited laboratories;
 Committing any of the following acts: failing to make construction completion drawings as required or 15,000 – 20,000
make construction completion drawings not true to actual construction; keeping no construction diaries
as required; failing to compile or archive quality management documents as required; or violating
regulations on construction warranty
 Using construction materials or components or technological equipment without certificates 10,000 – 20,000
 Failing to set up quality management systems or organize the construction supervision. 80,000 – 100,000
Article 28 Construction supervision  Violation of regulation on construction supervision 20,000 – 30,000
consultants  Failing to conduct construction supervision under signed contracts
 Falsifying supervision results. 40,000 – 50,000

Art 29 Other  Violations 30,000 – 40,000
contractors/consultants,  Conducting quality inspection without satisfying the specified eligibility requirements
organizations and  Certifying the satisfaction of the force-bearing safety condition or quality standard conformity of
individuals construction works
6-32
 Conducting experimenting activities without satisfying the specified eligibility requirements 30,000 – 40,000
 Performing experiments, supplying experimental data and results
 Failing to archive dossiers in the process of experiment, sample receipts and experimental result slips
 Conducting verification without satisfying specified eligibility requirements 30,000 – 40,000
 Conducting verifications in contravention of regulations
 Reporting inaccurate verification results.
Electricity or water  Continuing supply of electricity or water to works under violation of construction rules 20,000 – 30,000
suppliers or neighboring
households
Organizations and  Organizing trainings on construction supervision or cost estimation skills and grant certificates of 30,000 – 40,000
Individuals training in contravention of regulations
Organizations and  Organize training on construction supervision skills or cost estimation and grant certificates of training 50,000 – 60,000
Individuals without permission of the MOC
Art 30 Organizations and  Violation on the selection of contractors/consultants Articles 65 and 66 of
Individuals Decree 58/2008
(Note) Prepared by JICA Project Team
6.4.4 Overseas practices – MLIT practices in Japan
There are administrative sanctions and penalties prepared for construction company’s
dishonest behaviors which fall into the following categories.
(1) Framework of legal penalties
1) Framework
Penalties against law violations in infrastructure construction fall into the following four
categories. They are developed in accordance with the roles and the responsibilities of
stakeholders.
 Penalties to the violations against general laws
 Penalties to the violations against construction procedures
 Penalties to the violations against engineer qualifications
 Penalties to the violations against government official-related laws
Representing violations against laws are criminal penalties against criminal acts which is
processed by police, inspectors and a court of law. A principle of the legal penalty is to give
penalties against illegal behaviors in the past. Penalties are in general sentenced by courts
based on the penalty clause prescribed in the law. As seen in Figure 6.4.1, laws deemed to
represent each category are illustrated in the figure. Sections following the figure explains the
outlines and the penalties prescribed in these laws.
Criminal Law (*)
A-1: To the violations against general (*)

Anti-Monopoly Act
laws
Other laws
Construction Business Law (*)
Building Standards Law (*)
A-2: To the violations against

construction procdedure laws Labor Safety and health Law (*)
Waste Management and Public Cleaning Law

(*)
Framework of
Legal Penalties Other laws
Law on Professional Engineers (*)
A-3: To the violations against engineer

Law on Architect (*)
qualification laws
Other laws
Government Officals' Law (*)
A-4: To the violations against

Government Officals' Ethics Act
government offical-related laws
National Compensation Law

(Note) (*): Laws which have penalty provisions.
Figure 6.4.1 Framework of Legal Penalties (Practices in Japan)
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2) General Law Penalties (A-1)

Of many general laws, laws including regulations relevant to infrastructure construction are
shown below;
a. Criminal Law
The law stipulates penalties against obstruction of competitive bidding, illegal bid-rigging,
bribery, fraud and other violations.
b. Law on Prohibition of Private Monopolization and Assurance of Fair Trade (Anti-

monopoly Law)
The law stipulates the principles of how to assure fair and competitive commercial activities in
the market mechanism and prescribes penalties against illegal behaviors. The framework of
this law is shown in Table 6.4.5, Table 6.4.6 also shows penalties prescribed in the law.
Table 6.4.5 Framework of Anti-monopoly Law (Practices in Japan)

Chapter Section Articles Provisions
Chapter 1 Art 1 – Art 2 General Provisions
Chapter 2 Art 3 – Art 7.2 Prohibition of private monopolization and unfair trade
Chapter 3 Art 8 – Art 8.3 Business entities
Chapter 3.2 Art 8.4 State of monopolization
Chapter 4 Art 9 – Art 18 Share hold, executives with concurrent posts, merge
and absorption and business transfer
Chapter 5 Art 19 – Art 20 Unfair trade
Chapter 6 Art 21 – Art 23 Exe mption of application
Chapter 7 Art 24 – Art 26 Proposal of injunction and damage compensation
Chapter 8 The Fair Trade Commission of Japan
Section 1 Art 27 – Art 44 Foundation, roles and organizations
Section 2 Art 45 – Art 70.22 Procedures
Sections 3 Art 71 – Art 76 Miscellaneous
Chapter 9 Art 77 – Art 88 Law suite
Chapter 10 Art 88.2 Miscellaneous
Chapter 11 Art 89 – Art 100 Penalties
Chapter 12 Art 101 – Art 118 Survey on violations
6-34
Table 6.4.6 Penalties prescribed in Anti-monopoly Law (Practices in Japan)

Articles Violations or Misconducts Objective Person Sanctions
Art 45  Accept bribes in conjunction with  Registered agencies  3 years to 7 years in
company management status
evaluations, etc. for the evaluation of imprisonment
company operation
Art 46  Offer bribes in conjunction with  Anyone who offer  Less than 3 years imprisonment,
company management evaluations, bribes. or
etc.  Less than 2 million JPY fine
Art 89  Persons who commit private  Anyone  Less than 3 years in
monopolization or unfair trade. imprisonment or
 Person who limit competition in  Less than 5 million JPY fine
dealing trade
Art 90  Persons who made unfair  Anyone  Less than 2 years in
international trade imprisonment or
 Less than 3 million JPY fine
Art 90  Companies which procure stocks  Company  Less than 1 years in
against provisions imprisonment or
 Executives who got concurrent posts  Less than 2 million JPY fine
 Others
Art 90.2  Improper procedures or false  Anyone  Less than 2 million JPY fine
statement
Art 95  Violations against Article 89  Companies  Less than 500 million JPY fine
provisions which include
commitment of private
monopolization and unfair trade
 Violations against Article 90, item 3  Companies  Less than 300 million JPY fine
provisions regarding violations
against cease and desist order
3) Construction-related Law Penalties (A-2)
The following laws stipulate procedures of infrastructure construction including penalties;
a. Construction business law
Construction business law aims to enhance the capacity of construction companies and the
quality of construction contracts, thereby encourage sound construction businesses, assure
construction work quality and protect clients. The law proposes all construction companies to
take construction business permissions before entering the business as shown in Chapter 2 of
Table 6.4.7 which shows the framework of this law. Table 6.4.8 also shows penalties
prescribed in the law.
6-35
Table 6.4.7 Framework of Law on Construction Businesses (Practices in Japan)

Chapter 1 Art 1 - Art 2 General Provisions
Chapter 2 Permission of construction businesses
Section-1 Art 3 - Art 4 General
Section-2 Art 5 - Art 14 Permission of general construction businesses
Section-3 Art 3 & Art 4 Permission of designated construction
businesses
Chapter 3 Construction work contracts
Section-1 Art 18 - Art 24 General
Section-2 Art 24.2 – Art 24.7 Responsibilities for main contractors
Chapter 3.2 Art 25 – Art 25.26 Settlement of Dispute in construction work
contracts
Chapter 4 Art 25.27 – Art 27.22 Construction work quality assurance
(Designation of Technical Supervisor or
Chief Engineer)
Chapter 4.2 Art 27.23 – Art 27.36 Examination of construction company
management
Chapter 4.3 Art 27.37 – Art 27.38 Foundations and associations
Chapter 5 Art 28 – Art 32 Supervision
Chapter 6 Art 33 – Art 39.3 Central Council on Construction Businesses
Chapter 7 Art 39.4 – Art 44.5 Miscellaneous
Supplement
Table 6.4.8 Penalties prescribed in Construction Business Law (Practices in Japan)

Articles Violations or Misconducts Objective Person Penalties
Art 45  Accept bribes in conjunction with  Registered agencies for  3 years to 7 years in
company management status
evaluations, etc. the evaluation of company imprisonment
operation
Art 46  Offer bribes in conjunction with  Anyone who offer bribes.  Less than 3 years
company management evaluations, imprisonment, or
etc.  Less than 2 million JPY fine
Art 47  Violations of construction business  Construction companies  Less than 3 years
deals without business permission imprisonment, or
 Improper contracts with  Less than 3 million JPY fine
subcontractors
 Improper businesses deals against
business suspension
 Improper business deals against
business prohibition
 Construction business permits with
false statements, etc.
Art 48  Violations against preservation of  Registered agencies for  Less than 1 years
confidences related to engineer engineer qualification imprisonment, or
qualification examination examinations and  Less than 1 million JPY fine
 Violations against preservation of lectures.
6-36

confidences related to company
management status evaluations, etc.
Art 49  Violations at registered examination  Registered agencies for  Less than 1 years
organizations, etc. the evaluation of company imprisonment, or
operation.  Less than 1 million JPY fine
 Registered agencies for
engineer qualification
examinations and
lectures.
Art 50  False statement on general  Construction companies  Less than 6 months
construction business permits, etc. imprisonment, or
 Less than 1 million JPY fine
Art 51  Violations of training organizations,  Managing directors of  Less than 500 thousand JPY
etc. registered agencies for fine
engineer qualification
examinations and
lectures.
Art 52  Violations of not assigning chief  Construction companies  Less than 1 million JPY fine
engineer or supervising engineer to
their construction projects, etc.
 Violation of submitting false statement
to company management status
evaluation, etc.
Art 53  Violations of making subcontracts of  Managing directors of (Against companies)
the works without business companies concerned with  Less than 100 million JPY
permission, etc. violations fine
Art 54  Improper management of accounting  Construction companies  Less than 100 thousand JPY
Art 55 documents, etc. fine
 Others
(Note) Violations or misconducts show some of the representatives in the Law and do not show all contents.
Prepared by JICA Project Team
b. Building Standards Law
Building Standard Law stipulates minimum standards about building areas, facilities,
structures and the purposes of use in order to protect lives, health and properties of the people.
Framework of the law is shown in Table 6.4.9 and the clauses of penalties are shown in Error!
Reference source not found.Table 6.4.10.
Table 6.4.9 Framework of Building Standards Law (Practices in Japan)

Chapter 1 Art 1 – Art 18.3 General Provisions
Chapter 2 Art 19 – Art 41 Building site, building structures, building
facilities
Chapter 3 Land use zone of city planning area
Section 1 Art 41.2 – Art 42 General
Section 2 Art 43 – Art 47 Distance between building facilities and
roads/walls
Section 3 Art 48 – Art 51 Use of building facilities
Section 4 Art 52 – Art 60 Building site and structures
6-37

Section 4.2 Art 60.2 Urban renewal special area
Section 5 Art 61 – Art 67 Fire prevention zone
Section 5.2 Art 67.2 Special disaster prevention district
Section 6 Art 68 Landscape preservation zone
Section 7 Art 68.2 – Art 68.8 District planning area
Section 8 Art 68.9 Building site, building structures, building
facilities for the areas other than city planning
area or semi city planning area.
Chapter 3.2 Art 68.10 – Art 68.26 Examination on building facility design
conformity (same as design certificate (same as
construction permit))
Chapter 4 Art 69 – 77 Agreement on the land use for building facility
Chapter 4.2 Designated organization for design verification for
design certificate and others
Section 1 Art 77.2 – Art 77.17 Building officer for design verification
Section 2 Art 77.18-Art 77.35 Designated organization for design verification
Section 3 Art 77.35(2) – 77.35 Designated organization for structure check
(15)
Section 4 Art 77.36 – Art 77.55 Organization involved in design verification etc.
Section 5 Art 77.56 – Art 77.57 Organization involved in structure check
Chapter 4.3 Art 57.58 – 77.65 Registration of organization for design
verification
Chapter 5 Art 78 – Art 83 Building Work Review Council
Chapter 6 Art 84 – Art 97.6 Miscellaneous
Supplement
Table 6.4.10 Penalties prescribed in Building Standards Law (Practices in Japan)

Articles Violations or Misconducts Those who are Penalties
sanctioned
Art 98  Violations against administrative suspension  Facility owners  Less than 3 years
order for construction works  Designers imprisonment, or
 Violations against technical standards for the  Contractors  Less than 3 million JPY fine
facilities with specified heights.
 Violations against fire-protection technical
standards
 Other violations
Art 99  Violations against provisions relevant to  Facility owners  Less than 1 years
Art 100 construction permits, middle-term inspection,  Contractors imprisonment, or
final inspection, suspension of use.  Designers  Less than 1 million JPY fine
 Violations against administrative order to
illegal building facilities
 Violations against technical standards on
structural durability
 Violations against technical standards on
building facilities (floor, drainage, fire-
extinguisher, water supply, stairways, ceiling
etc.
 Violations of the agencies registered for
construction permit examination against
improper examination and procedures
 Other violations
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Articles Violations or Misconducts Those who are Penalties

sanctioned
Art 100  Violation of construction business deals  Managing  Less than 1 years
without business permission directors or staffs imprisonment, or
 Improper contracts with subcontractors of the  Less than 1 million JPY fine
 Improper businesses deals against business examination
suspension agencies
 Improper business deals against business responsible for
prohibition selecting
 Construction business permits with false examiners of
statements, etc. building design
certificates
 Managing
directors or staffs
of the registered
agencies obliged
to examine
building facility
structural safety.
Art 101  Violations against provisions stipulating that  Contractors  Less than 1 million JPY fine
building design and construction should be  Facility owners
managed by Architect qualification holders.  Designers
 Violations against regular maintenance
reporting on structural defects and
deterioration for specified facilities
 Violations against technical standards for
specified facilities (ground height, window
space, toilets, drainage, floor-area ratio,
height limit, etc.)
 Violation of building facility designer for
improper application of technical standards
 Violations against land use
 Other violations
Art 102  Violations against specified procedures  Contractors  Less than 500 thousand JPY
 False statement of specified legal procedures  Facility owners fine
 Designers
 Other violations
Art 103  Violations against specified procedures  Managing  Sanctions against managing
 Other violations directors of the directors who belong to the
examination registered construction permit
agencies examinations agencies
responsible for  Less than 500 thousand JPY
selecting fine
examiners of
building design
certificates

Art 104  Violations against specified procedures  Representatives Serious violations: Less than
 Other violations of companies 100 million JPY fine,
concerned with  Other violations: Same as
violations those stipulated in each
Article.
Art 105  Violations against specified procedures  Managing  Less than 300 thousand JPY
 False statement of specified legal procedures directors of the fine
 Other violations examination
agencies
responsible for
selecting
examiners of
building design
certificates
(Note) Violations or misconducts show some of the representatives in the Law and do not show all. Prepared by
JICA Project Team
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c. Labor Safety and Health Law
The law intends to establish labor safety standards, to define clear responsibilities between
stakeholders and to encourage voluntary programs for promoting labor safety and health,
thereby to enhance comprehensive plans of reducing labor accidents and to assure labor safety
and health for labor. Framework of the law is shown in Table 6.4.11 and penalties are shown
in Table 6.4.12.
Table 6.4.11 Framework of Labor safety and Health Law (Practices in Japan)
Chapter 1 Art 1 - Art 5 General provisions
Chapter 2 Art 6 – Art 9 Labor safety and health plans
Chapter 3 Art 10 – Art 19.3 Management structure for labor safety and health
Chapter 4 Art 20 – Art 36 Measures to prevent danger and health obstruction for labors
Chapter 5 Regulation on machinery and dangerous and harmful articles
Section 1 Art 37 – Art 54.6 Regulation on machinery
Section 2 Art 55 – Art 58 Regulation to handle dangerous and harmful articles
Chapter 6 Art 59 – Art 63 Measures for the work of labor
Chapter 7 Art 64 - Art 71 Measure to encourage health preservation
Chapter 7.2 Art 71.2 - Art 71.4 Measures to establish healthy workplace
Chapter 8 Art 72 – Art 77 License
Chapter 9 Labor safety and health improvement plan etc.
Section 1 Art 78 – Art 80 Labor safety and health improvement plan
Section 2 Art 81 - Art 87 Labor safety and health consultants
Chapter 10 Art 88 – Art 100 Supervision
Chapter 11 Art 101 – Art 115 Miscellaneous
Chapter 12 Art 115.2 - Art 123 Penalties
Table 6.4.12 Penalties prescribed in Labor Safety and Health Law (Practices in Japan)
Art 115.2-4  Accept bribes in conjunction  Board members or staffs of  5 years in imprisonment
with inspection tasks. inspection agencies who
received bribes.
Art 115.3  Offer bribes in conjunction  Board members or staffs of  Less than 3 years
with inspection tasks inspection agencies who imprisonment, or
offered bribes.  Less than 2.5 million JPY fine
Art 116  Violations of manufacturing,  Anyone who committed  Less than 3 years
selling and providing violations imprisonment, or
specified toxic or harmful  Less than 3 million JPY fine
materials.
Art 119  No assignment of  Project owners  Less than 6 months
comprehensive safety and imprisonment, or
health managers, safety  Less than 500 thousand JPY
managers and health fine
managers to the tasks
specified in the law.
Art 120.4  Rejection of on-the-spot  Anyone who committed  Less than 500 thousand JPY
inspections to be violations fine
implemented by labor safety
and health inspectors
(Note) Violations or misconducts show some of the representatives in the Law and do not show all contents.
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d. Waste Management and Public Cleaning Law (Waste Management Law)
Waste Management Law aims to control discharge and process of wastes in a proper way,
thereby preserving living environment and and ensuring sanitation for the public. Framework
of laws covers the handling procedures of two wastes including non-industrial and industrial
wastes. Framework of the law is summarized in Table 6.4.13 and Table 6.4.14 shows the
penalties prescribed in the law.
Table 6.4.13 Framework of Waste Management Law (Practices in Japan)

Chapter 1 Art 1 - Art 5.8 General provisions
Chapter 2 Non-Industrial Waste
Section 1 Art 6 – Art 6.3 Treatment of non-industrial waste
Section 2 Art 7 – Art 7.5 Treatment business of non-industrial waste
Section 3 Art 8 - Art 9.7 Treatment facilities of non-industrial waste
Section 4 Art 9.8 – Art 9.10 Special case
Section 5 Art 10 Export of non-industrial waste
Chapter 3 Art 20 – Art 36 Industrial Waste
Section 1 Art 11 – Art 13 Treatment of industrial waste
Section 2 Art 13.2 - Art 13.16 Treatment center of industrial waste
Section 3 Art 14 – Art 14.3 Treatment business of industrial waste
Section 4 Art 14.4 – Art 14.7 Treatment business of special industrial waste
Section 5 Art 15 – Art 15.4 Treatment facilities of industrial waste
Section 6 Art 15.4.2 – Art 15.4.4 Special case
Section 7 Art 15.4.5 - Art 15.4.7 Import and export of industrial waste
Chapter 3.2 Art 15.5 – Art 15.16 Treatment center of waste
Chapter 3.3 Art 15.17 – Art 15.19 Changes in land use where waste is placed
underground
Chapter 4 Art 16 – Art 24.6 Miscellaneous
Chapter 5 Art 25 - Art 34 Penalties
Table 6.4.14 Penalties Prescribed in Waste Management Law (Practices in Japan)

Art 25  Violations of transporting, disposing  Anyone who  5 years in imprisonment or
exporting and treating non-industrial or committed violations  Less than 10 million JPY fine
industrial waste without permission
Art 26  Violations of committing treatment of  Anyone who  Less than 3 years imprisonment,
non-industrial or industrial waste to others committed violations. or
without following standards.  Less than 3 million JPY fine
Art 28  Violations of changing land use without  Anyone who  Less than 1 years imprisonment,
permission committed violations or
 Less than 500 thousand JPY fine
Art 29  Violation of using treatment facilities for  Anyone who  Less than 6 months imprisonment,
non-industrial waste or industrial waste committed violations or
without permission  Less than 500 thousand JPY fine
Art 30  Violations of not assigning waste material  Anyone who  Less than 300 thousand JPY fine
treatment managers committed violations
Art 31  Violations of information management  Board members of the  Less than 300 thousand JPY fine
center or waste material treatment center center or staffs who
committed violations
(Note) Violations or misconducts show some of the representatives in the Law and do not show all -contents.
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4) Penalties Shown in Engineer Qualification Laws (A-3)
Of many engineer qualifications applied to infrastructure construction in Japan, professional

engineer qualifications and architect qualifications will be herein introduced as representing
qualifications.
a. Professional Engineer Law
Professional engineer qualifications (PEs) aims at raising qualified engineers who can
contribute to the enhancement of science and technologies and to the development of socio-
economy in Japan with the names of professional engineers. Currently, the following 21 PE
qualifications are available under Professional Engineer Law. Also, each of PE qualification
has an Associate PE system, which is equivalent to the 2nd class qualification to the 1st class PE.
 Mechanical Engineering
 Marine and Ocean Engineering
 Aerospace Engineering
 Electrical & Electronics Engineering
 Chemistry Engineering
 Textiles Engineering
 Metals Engineering
 Mining Engineering
 Civil Engineering
 Water Supply & Sewerage Engineering
 Sanitary Engineering
 Agriculture Engineering
 Forest Engineering
 Fisheries Engineering
 Industrial Engineering
 Information Engineering
 Applied Science Engineering
 Biotechnology & Bioengineering
 Environment Engineering
 Nuclear & Radiation Engineering
 Comprehensive Technical Management
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Table 6.4.15 shows the framework of the law and Table 6.4.16 shows penalties prescribed in
the law.
Table 6.4.15 Framework of Professional Engineer Law (Practices in Japan)

Chapter 1 Art 1 – Art 3 General provisions
Chapter 2 Art 4 – Art 31 Professional engineer examinations
Chapter 2.1 Art 31.2 Particular cases of professional engineer
qualifications
Chapter 3 Art 32 – Art 43 Registration of professional engineers
Chapter 4 Art 44 – Art 47.2 Roles and responsibilities for professional
engineers
Chapter 5 Deleted
Chapter 6 Art 54 – Art 55.2 Japan Professional Engineer Association
Table 6.4.16 Penalties prescribed in Professional Engineer Law (Practices in Japan)

Articles Violations or Misconducts Those who are sanctioned Penalties
Art 59  Against preservation of  PEs who commit violations  Less than 1 year imprisonment,
confidentiality or
Art 60  Against preservation of  Any examination agencies who  Less than 1 year imprisonment,
confidentiality commit violations or
Art 61  Illegal use of PE’s  Anyone who commits  Less than 1 year imprisonment,
names violations or
Art 62  Illegal use of PE names  Anyone who commits  Less than 300 thousand JPY fine
violations
Art 63  Illegal examination  Representatives and staffs of  Less than 200 thousand JPY fine
procedures examination agencies who
Art 64 commit violations.
(Note) Violations or misconducts show some of the representatives in the Law and do not show all items.
b. Law on Architect
Architects are defined as vocational qualifications which allow engineers to design and to
supervise construction works for building facilities with the name of architects. There are
currently three (3) types of qualifications available; the first class architect, the second class
architect and the wooden structure architect. Table 6.4.17 shows the framework of the law and
Table 6.4.18 shows penalties prescribed in the law.
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Table 6.4.17 Framework of Law on Architects (Practices in Japan)

Chapter 1 Art 1 – Art 3.3 General provisions
Chapter 2 Art 4 – Art 11 Architect certificates
Chapter 3 Art 12 – Art 17 Examinations
Chapter 4 Art 18 – Art 22.3 Roles and responsibilities for architects
Chapter 5 Art 22.4 Japan Architect Association
Chapter 6 Art 23 – Art 27 Architect offices
Chapter 7 Art 27.2 – Art 27.5 Architect Office Association
Chapter 8 Art 28 – Art 33 Architect Review Committee
Table 6.4.18 Penalties stipulated in Architects Law (Practices in Japan)

Articles Violations or Misconducts Those who are Contents of Sanctions
sanctioned
Art 38  Illegal use of Architect names in the  Anyone who commits  Less than 1 year
businesses without holding Architect violations. imprisonment, or
qualifications.  Examination committee  Less than 1 million JPY fine
 Illegal entitlement of Architect member
qualifications  Architect offices
 Violations against responsibilities for
Architect qualification holders
 Illegal publication of design certificate
without checking structural safety for
specified facilities.
 Illegal registration when opening architect
offices.
 Information leakage of examination
contents of Architect qualifications,
Art 39  Violations against Architect management  Architect management  Less than 1 year
procedures agency imprisonment, or
 Improper handling of examination  Examination agencies  Less than 1 million JPY fine
management for Architect
qualifications
Art 40  Violations against Architect management  Architect management  Less than 1 year
procedures agency imprisonment, or
 Less than 1 million JPY fine
Art 41  Improper handling of various procedures  Anyone who commits  Less than 300 thousand JPY
Art 42 violations fine
Art 43
Art 44  Improper handling of various procedures  Anyone who commits  Less than 100 thousand JPY
violations fine
(Note) Violations or misconducts show some of the representatives in the Law and do not show all items.
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5) Government official-related Law Penalties (A-4)
a. Government Official’s Law
The Government Official’s Law is that stipulating fundamentals for government officials
including status, right and obligation, person empowered to appoint, personnel organization
and so forth. To the violations caused by government officials, penalties prescribed in general
laws will be first applied and then, penalties regulated in the government official’s law and
ethics law will be applied.
Table 6.4.19 Framework of Government Official’s Law (Practices in Japan)

Chapter 1 Art 1 – Art 2 General provisions
Chapter 2 Art 3 – Art 26 National Personnel Authority
Chapter 3 Public service regulations
Section 1 Art 27 – Art 32 General
Section 2 Art 33 Employment examinations
Section 3 Art 62 Salaries
Section 4 Art 70.2 – 70.4 Employee performance evaluation
Section 5 Art 71 – Art 73 Efficiency
Section 6 Art 74 Disciplinary punishment
Section 7 Art 96 – Art 106 Public services
Section 8 Art 106.2 – Art 106.22 Retirement
Section 9 Art 107 – Art 108 Pension system
Section 10 Art 108.2 – Art 108.7 Government staff association
Table 6.4.20 Penalties prescribed in Government Official’s Law (Practices in Japan)

Articles Violations or Misconducts Those who are sanctioned Penalties
Art 82  Violations against Government  Anyone who committed  Discharge from duties
Official’s Ethics law violations
 Inconsistent or negligence of  Suspension of duties
duties
 Improper behavior as  Salary reduction
government officials
 Warning
Art 109  Violations against important  Anyone who committed  Less than 1 year imprisonment, or
official responsibilities violations  Less than 500 thousand JPY fine
Art 112  Official misconducts  Anyone who committed  Follow criminal law first
violations  Less than 3 years imprisonment
(Note) Violations or misconducts show some of the representatives in the Law and do not show all items. (Note)
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b. Government Official’s Ethics Act
Government Official’s Ethics Act intends to preserve ethics of government official over public
works and assure public confidence towards public works. To the violence against ethics,
penalties prescribed in Government Official’s Law are in principle applied.
c. National Compensation Law
National Compensation Law stipulates that government organizations including agencies

should take responsibilities of compensation for any losses caused by government officials to
the public including those intentional and by professional negligence. This indicates that if
public facilities, including roads, bridges, rivers, dams and so forth, are not properly managed
in construction and maintenance and give damages to the public, government organizations
including agencies should take responsibilities of compensation for for any losses caused by
these defects.
(2) Framework of MLIT sanctions
 Compiled in a guideline format and opened to the public
In addition to the above-mentioned penalties against the violations of laws, MLIT developed
its own sanction guidelines and published information to the public, to cope with violations in
construction. In fact, these are the intra-organization guidelines for MLIT including its related
agencies, however, many local governments including their agencies agree to apply these
guidelines to their violation incidents. Some have developed their own guidelines similar to
MLIT guidelines.
 Consisting of two sanctions
MLIT sanctions consist of the following two sanctions, as shown in Figure 6.1.1; (1)
Suspension of construction business operation, and (2) Suspension of new project participation.
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A: To the violations against laws based on judicial decisions by law courts
False statement
Blanket subcontracting
S-1:
Suspension of B: To the breaches of Non-assignment of technical supervisor /
Company's Business construction contracts chief engineer
Operation
Defects by crude construction works
MLIT
Sanction Missing of construction system diagram
Standards
Subcontract with companies without
business permission
S-2:
Suspension of
Company's New Accidents which involve the public
Project Participation C: To serious accidents
Labor accedents which involve project
D: To the dishnonarable Corporation tax law (*)

(Note) (*): Laws which have penalty provisions. acts by Company board
members Other laws
Figure 6.4.2 MLIT Sanction Guidelines (S-1 & S-2)
 Applied to the same violations and accidents
In principle, both sanctions are applied to the following violations and accidents;
- Breaches of construction contracts (B case in the figure),
- Serious accidents (C case), and
- Dishonorable behaviors by company’s board members (D case).
In addition, they are also applied to the legal violations (A case in the figure) in accordance
with judicial decisions made by law courts. As seen in Figure 6.4.2, violations against laws in
the figure are regarded as high priority issues to any other administrative sanctions. Further
details of these sanctions are stated as follows:
1) Sanctions based on the suspension of construction business operation
MLIT including local government governors are given authority to give a business permission
to construction companies as stipulated in Construction Business Law. A sanction of
suspending business operation is applied to all companies which have business permissions on
the basis of Construction Business Law. Periods of business suspension may vary dependent
upon the magnitude of violations and accidents, as shown in Table 6.4.22.
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2) Sanctions based on the suspension of new construction project participation
A sanction of suspending business operation is for all companies which wish to undertake
MLIT construction projects and which registered in the MLIT company registration system.
Types of violations and accidents to which sanctions are mobilized are shown in Figure 6.4.2.
Table 6.4.21 summarizes penalties and sanctions stated above. In the worst case, a company
may receive all penalties and sanctions when they are given a construction business
permission from MLIT or a local governor and when they are register as a company wishing to
participate in state-budget construction projects. Examination on the penalties and the
sanctions is conducted in order from STEP-1 to STEP-3 as shown in the table.
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Table 6.4.21 Summary of Penalties and Sanctions (MLIT Practices in Japan)
Step Violation type Violator Contents of penalties/sanctions Decision Maker
 Against general laws, construction procedure laws, engineer Anybody who committed  Imprisonment or fines Judicial decision by law court
STEP-1 qualification laws and government-official-related laws (A) violations against laws based on penalty provisions
prescribed in laws
STEP-2  Against general laws, construction procedure laws, engineer Company which received  Suspension of construction MLIT decision based on MLIT
qualification laws and government-official-related laws (A) construction business permits businesses for a specified period sanction standards on business
 Breaches of constructs (B) from MLIT suspension
 Accidents/Incidents (C)
 Dishonorable acts by company board members (D)

STEP-3  Against general laws, construction procedure laws, engineer Companies which registered as  Suspension of participation MLIT decision based on MLIT
qualification laws and government-official-related laws (A) new construction project in the new construction sanction standards on construction
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 Breaches of constructs (B) participants with MLIT. projects for a specified project suspension
 Accidents/Incidents (C) period
 Dishonorable acts by company board members (D)

A: Violations against general laws, construction procedure laws, engineer qualification laws and government-official-related laws as shown in Figure 6.4.1 and Figure 6.4.2.
B/C/D: Violations shown in Figure 6.4.2.
Table 6.4.22 Administration Sanctions Against Construction Violations and Accidents (MLIT Practices in Japan)
Sanction: Suspension of Construction Businesses Sanction: Suspension of Participation in the New Construction Projects
Violation/Incident Violator Period Violation/Incident Violator Period
 Against Criminal Law (Obstruction of Representatives 1 year  Against Criminal Law (Obstruction of Representatives 4 – 12 months
competitive bidding, illegal bid-rigging, Other staffs 60 – 120 days competitive bidding, illegal bid-rigging, Other staffs 2 – 6 months
bribery, fraud and other violations. bribery, fraud and other violations.
 Against Anti-Monopoly Law
 Against Building Standards Law Representative More than 7  Against Anti-Monopoly Law (Vicious Companies 6 - 36 months
days case)
Other staffs More than 3  Against Anti-Monopoly Law Companies 2 - 9 months
days
 Against Labor Safety and Health Law Representative More than 7  Obstruction of competitive bidding, illegal Companies 2 - 12 months
 Against Waste Management Law days bid-rigging
 Other laws Other staffs More than 3  Against Construction Business Law Companies 1 - 9 months
days

 Dishonorable acts to construction  Dishonorable acts to construction contracts
contracts
- False statement in tender documents Companies More than 15 - False statement in the contract dossiers Companies 1 – 6 months
days
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- False statement in company Companies More than 30 - Defects by low quality construction Companies 1 – 6 months
registration documents days works
- Blanket subcontracting Companies More than 15 - Violation against construction contracts Companies 2 weeks – 4
days months
- Non assignment of supervising Companies More than 15
engineer or chief engineer days
- Defects by low quality construction Companies More than 7
works days
- Missing of construction system Companies More than 7
diagram days
- Subcontracts with companies Companies More than 7
without business permissions days
 Labor accidents Labor accidents
- Accidents involving the public Companies More than 7 Accidents involving the public Companies 1 – 3 months
days
- Accidents involving project staff Companies More than 3 Accidents involving project staff Companies 2 weeks – 4
days months
(Note) Sanctions in the above table show representing information of the laws, so that they do not show all information. Prepared by JICA Project Team
6.4.5 Comparison of law penalty and sanctions between two countries
Comparison was made on the current practices from the viewpoints shown below, between
Japan and Vietnam. Table 6.4.23 shows the summary of comparison.
 Sanction structure
 Related laws
 Prescription
 Violation classifications
 Articles in Vietnam; based on Decree 23.
 Violators
 Contents of penalties and sanctions
 High priority violations
 Information release
6-51
Table 6.4.23 Comparison of Law Penalty and Sanction Rules between Two Countries
Focus Points Practices in Vietnam Practices in Japan
(1) Sanction structure Sanctions are represented by law penalties shown in Decree 23, Sanctions consists of law penalties and administration sanctions
Decree 64 and Circular 24
(2) Related laws  Construction law  Criminal Law
 Law on Government Organization  Anti-monopoly Law
 Housing Law  Construction Business Law
 Law on Real Estate Business  Building Standards Law
 Law on Civil Servants  Labor Safety and Health Law
 Government Ordinances  Waste management and Public Cleaning Law
 Law on Professional Engineers
 Law on Architect
 Government Officer’s Law
 Government Officer’s Ethics Acts
 Other laws

(3) Prescription Law penalties for all regulations under Construction Law are Law penalties are prescribed in each law.
integrally prescribed in Decree 23 and Decree 24. Administration sanctions were developed by MLIT in the form of guidelines
and opened to the public in addition to law penalties.
(4) Violation classifications  Violation on construction investment formulation (Art 7)  Law penalties
 Violation on work designs and cost estimates (Art 8) (1) Violations against general laws
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 Violation on construction investment project management (Art 9)  Obstruction of competitive bidding

(Note )  Violation on commencement of projects (Art 10)  Illegal bid-rigging
Articles in Vietnam; based on  Violation on construction orders (Art 11)  Bribery
Decree 23.  Violation on ground clearance (Art 12)  Fraud
 Violation on construction supervision (Art 13, 28) (2) Violation against construction procedure Law
 Violation on construction work quality management (Art 27, 14)  Construction business operation without licenses
 Violation on facility maintenance (Art 15)  Violation of registered examination agency
 Violation on take-over test (Art 16)  False statement to construction permits
 Violation on engineer eligibility requirements (Art 17)  Failing to assign chief engineers and technical supervisors
 Breaches on bid and contract dossiers (Art 18)  Violation on construction permits, mid-term and final inspection
 Violation on the use of invalid data (Art 19)  Violation of design and supervision without architects.
 Violation on acceptance and payment (Art 21)  Violation of not assigning safety professionals to sites.
 Violation on construction survey (Art 6, 22) (3) Violations against engineer qualification laws
 Violation on construction planning (Art 23)  Illegal use of PE or Architect names
 Violation on construction designs (Art 24)  Administration sanction (MLIT case)
 Violation on construction procedures (Art 25, (1) Above law violations
 Violation on construction safety (Art 26) (2) Breaches of construction contracts
 Violation on the selection of contractors/consultants (Art 30)  False statement
 Non-assignment of technical supervisors and chief engineers
 Defects by crude construction works
 Missing of construction diagram
 Subcontract with companies without business permissions
(3) Serious accidents
Focus Points Practices in Vietnam Practices in Japan
 Accidents involving the public
 Accidents involving project staff
(4) Dishonorable acts by company board members
 Violation against corporation tax law
(5) Violators  Project owner  Anyone who committed violations
 Project owner for state-funded projects  Registered agency for company evaluation
 Facility owner  Examination agencies (including representatives)
 Contractor  Construction companies
 Consultant  Consultant companies (including representatives)
 Surveyor  Contractors
 Construction Planning Consultant  Facility owner
 Construction supervision consultant  Professional engineers
 Electricity and water suppliers or neighboring households  Architects (Designers)
 Other organization and individuals
(6) Contents of penalties and Fines  Law penalties
sanctions  Imprisonment

 Fines
 Administration sanction (MLIT Case)
 Suspension of business operation for a specified period
 Suspension of new project participation for a specified period
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(7) High priority violations  Organizing take-over tests for uncompleted volumes  Law penalties
 Reporting untruthful or invalid survey documents and data  Bribes to company registration (for evaluation of company
 Violation on the period of construction planning preparation management )
 Violation of construction designs  Business operation without business licenses
 Implementation of construction works disregarding work  Violations against building technical standards
suspension order  Building construction without permission
 Failing to organize construction supervision  Building facility operation without mid-term and final inspection.
 Organizing acceptance of uncompleted works  Violation of manufacturing, selling and providing toxic materials.
 Conduct construction works at variance with specified technical  Violations of transporting, disposing, exporting and treating non-
standards industrial and industrial wastes.
 Improper application of construction regulations and standards  Illegal use of PE and Architect names
 Administration sanctions (MLIT case)
Against Criminal Law, Anti-monopoly Law and Construction Business
Law
(8) Information release Information is released on MOC website. Information is released on websites by MLIT, other ministries and ministerial
agencies.
6.4.6 Recommendations
Current status survey on the sanctions in Vietnam has clarified that the legal framework of
sanctions under Construction Law in Vietnam have been well prepared. In this section, some
recommendations are made on the enhancement of sanction systems based on the current
status status survey and the comparison of sanctions system in between Japan and Vietnam.
(1) Review of purposes of sanctions
In general, a meaning of sanctions may provide negative impacts to the public. However,
sanctions are expected to give positive effects not only to the society, but to the construction
industry in encouraging healthy growth of construction industry, if they are properly applied.
The following purposes are often incorporated in the relevant documents stipulating violations
and sanctions.
It is therefore recommended to define the objectives of sanctions at the beginning of Decree 23,
the General Provision.
 To punish misconducts and dishonorable act

 To raise credibility of the public to construction
 To prevent occurrence of misconducts and dishonorable acts
 To protect project and facility owners
 To encourage healthy growth of construction industry
(2) Enhancement of audit and inspection systems
Provisions on violations and sanctions in construction under Construction Law have been well
stipulated as shown in Decree 23. It is therefore recommended to strengthen detection
functions of violations by enhancing audit and inspection systems. However, it is impractical
to apply audits or inspections to all construction projects, so that it is recommended to delegate
functions to relevant stakeholders as shown in Table 6.4.24.
Table 6.4.24 Delegation of Audit and Inspection Functions

Audit/ Points of
Classification Examinees
inspection Body audit/inspection
MOC Construction  Based on a random sampling  Priority-1
Audit  POs of central government important projects inspection points
 POs of provincial-level People’s Committee’s
important projects
 Large-scale private-sector construction projects
Delegation of Construction  Based on an inspection plan  Priority-1
inspections to Inspection  In principle all POs inspection points
Sector  POs under sector management ministries
Management  Private-sector projects
Ministries
Delegation of Construction  Based on an inspection plan  Priority-1
inspections to Inspection  POs under Provincial-level People’s Committees other inspection points
DOCs than important projects.
 Private-sector projects other than large-scale projects.
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(3) Preferential treatment of important violations
It is fairly hard to keep watching a large number of construction projects underway nationwide
from wider viewpoints, so that preferential treatment of important violations is needed.
Preferential treatment allows MOC to concentrate on important violations and to take a
measure of step-by-step expansion of treatment. In this project, it is recommended to classify
violations into the following three (3) categories and apply inspections explained in the
previous section to the Priority-1 violations as preferential treatment.
1) Priority-1 Violations: Proactive sanctioning against violations with penalties
Actively monitor violations by means of an audit or inspections and apply sanctions if

violations are detected. Priority-1 violations comprise important violations which may provide
serious impacts on the public, surrounding environment and regional socio-economy, if
violations have occurred. These violations include in general criminal violations, institutional
violations and those related to permission/approval of procedures such as building projects
construction permits and so forth, as described below. MOC is encouraged to monitor the
violations by means of an audit or inspections and to make judgments on the imposition of
sanctions. This may allow MOC to focus more on important violations and save its workload
for inspections or an audit.
 Improper selection of contractors and consultants by private monopolization and unfair

trade
 Give or accept bribes to give approval
 False statement for participating in bidding and signing construction contracts
 Construction of building facilities at variance with Construction permits
 Opening of building facilities without final inspections
 Other important violations
2) Priority-2 Violations: Reactive sanctioning against violations with penalties
Active monitoring is not applied, but apply sanctions if violations are detected. This can be
applied to the violations of other than those in Priority-1.
3) Priority-3 Violations; Sanctioning by warning
Active monitoring is not applied, but provide warning if violations are detected.
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(4) Review of sanction contents
It is recommended to review the contents of sanctions concerned with Priority-1 violations

stated above. In general, a magnitude of sanction need to be set, taking account of expected
damages, seriousness and impacts to the society. For example damages, seriousness and
impacts to the society caused by those violations , of the priority-1 violations, those against the
variance with the approved designs in construction permits are deemed serious, but current
sanctions does not balance with expected.
(5) Enhancement of connectivity between violations and sanctions
Definitions of violations stipulated in Decree 23 are fairly wide and general and may need to
be further broken down in order to enhance connectivity with sanctions. It is recommended to
refer to the names of regulations, article numbers and item numbers which can specify
violations.
(6) Simplify legal framework by delegating technical provisions to contract dossiers
It is recommended to delegate technical provisions, which are included in Construction Law,

Decrees and Circulars and stipulate details of construction work procedures including
construction work management and construction quality assurance, to contract dossiers
including contract conditions, specifications, bill of quantities and drawings.
 This can simplify regulations under Construction Law and enhance public understanding
to the regulations.
 Contract dossiers can define further information which is detailed enough and more suited
to each construction project.
 It is possible to flexibly select contract conditions including specifications in response to

project requirements.
In order to make it feasible, it is recommended to stipulate provisions which define items to be

developed in the contract dossiers. Potential provisions to be transferred to contracts dossiers
are as follows:
 Construction supervision
 Construction work quality management
 Take-over test
 Breaches on bid and contract dossiers
 Acceptance and payment
 Construction procedures
 Construction safety
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(7) Define sanctions against breaches of contract dossiers
Under the current Construction Law, sanctions are to be imposed to the violations against
regulations, but there are no sanctions to be imposed to the breaches of construction contracts,
which lead to light look of construction contracts. Nowadays, making contracts and then
clarifying all construction conditions is becoming important and indispensable for all
construction projects., so that it is recommended to clearly define sanctions against breaches of
contracts, in particular contract conditions and specifications.
(8) Enhance quality of sanctions to serious violations
Current regulation of sanctions, Decree 23, in principle impose fines to violators in the
construction sector. Decree 64 stipulates sanctions against violations of construction permits
separately, consisting of revocation and cancellation of construction permits. However, the
amount of fine seems to be fairly low to the expected profits they could make in their
construction projects. In addition, contractors, if they commit violations, they are allowed to
participate in other construction projects immediately after they finish payments. It is therefore
recommended to give violators more substantial and practical disciplines than fines.
The Project recommends to apply suspension of construction project participation, prohibiting

construction companies from participating in the next projects for a specified time period, if
they commit serious violations. It is important to select appropriate time periods balanced with
the seriousness of violations. Table 6.4.22 shows an example of application, containing
interrelation between violations and suspension periods of construction project participation
shown in the MLIT case in Japan.
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CHAPTER 7 DEVELOPMENT OF CONSTRUCTION COMPANY

REGISTRATION SYSTEM AND CONTRACTOR
WORK PERFORMANCE EVALUATION SYSTEM
(ACTIVITY - 3)
7.1.1 Development of Construction Company Registration System and Construction Package

Database System
(1) Concept for Development
As contractors and consultants are key stakeholders in construction management and their
competencies are most influential in the quality of construction, it is essential to select a
capable construction contractor and consultant in construction quality management.
The Construction Activities Management Department (CAMD) of the Ministry of

Construction (MOC) is planning to develop a construction contractor grading system as a
future system, incorporating evaluation and grading of contractor’s competence and then
providing work opportunities to the companies accordingly to their given grades. CAMD has
already got in touch with developing a construction contractor and consultant registration
system, paving the way to the future contractor grading system. However, it is expected that
the grading system will not work effectively unless the contractor registration system and a
contractor performance evaluation system function well.
With this view point, the Project recommends to enhance the existing contractor/consultant
selection system in Vietnam, employing a step-by-step approach shown below. Outputs of
each step can eventually contribute to enhancing the quality of the existing contractor
selection system by providing relevant information to the system. Figure 7.1.1 also shows a
schematic view of this plan.
 Step-1; Improve company registration systems, one for construction contractors and the
other for construction consultants companies, and develop a construction package
database system
 Step-2; Develop a construction contractor performance evaluation system
 Step-3; Develop a construction contractor grading system (Future plan)
It is noted that the contractor evaluation system should be built up on the construction
package database system as shown in the figure. Also, Table 7.1.1 shows a road map for the
future development.
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PLAN 3.1
Construction Contractor
& Consultant
Registration System Construction
Contractor Grading
System
PLAN 3.3
PLAN 3.2
Construction Package
Performance Evaluation
Database System
system
STEP - 1 STEP - 2 STEP - 3
Enhancement of Contractor/Consultant Selection System
Figure 7.1.1 Step-by-Step Approach

for Enhancing Contractor/Consultant Selection System
Table 7.1.1 Road Map
Plan
Road Maps (Years)
1-2 3-4 5-
3.1 Improvement of construction contractor &

Activity-3
consultant registration system
Enhance
contractor/ 3.2 Develop construction package database system
consultant
selection system
3.3 Develop construction contractor performance
evaluation system
Implementation of construction contractor

grading system (Future plan)
Figure 7.1.2 shows inter-relation between the above three systems. Three systems, which are
inter-related each other, can not only contribute to the PQ and tendering processes, but also
can be used in the planning and the implementation of construction projects.
7-2
each contractor each package
contractor/ construction
consultant package
registration database
system system
(CRG- 1/2) (CPDB)
each package
performance support system

evaluation 1) qualification database
2) violation database
system
Benefits
similar projects in the past, contractor and consultant experiences

Planning
and performance are available.
contractor and consultant data, works experiences and performance

PQ / Tender
could be searched for selection of best bidder.
technical capability & financial situation and past performance on

Construction contractor and consultant could be searched for comparison on
past and current projects.
Figure 7.1.2 Synergy between Three Systems
(2) Methodology
The Project develops two company registration systems, one for construction contractor
registration and the other for construction consultant registration, and a database system for
construction package. The following are the outline of these systems. Also, Table 7.1.2
summarizes the focus points of these systems.
1) Construction Contractor Registration System (CRG-1)
At present, a computer system for the purpose of construction contractor registration is

already operational with computer web-site data registration in MOC. The following contains
the methodologies to improve this system.
 Review the existing construction contractor registration system and analyze problems.
 Develop framework of improvement plans including a data verification method for
enhancing data reliability
 Develop improvement plans including implementation guidelines
 Develop computer software for operation
 Develop software operation guidelines
 Implement trial case studies.
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2) Construction Consultant Registration System (CRG-2)
As is the case of the above mentioned construction contractor registration system, currently a
computer system for construction consultant registration is also operational in MOC with
computer web-site data operation. Methodologies herein adopted follow those for the
construction contractor registration system.
3) Construction Package Database System (CPDB)
The construction package database system is the most fundamental construction package data
database which will play an important role in providing construction package information to
construction contractor/construction consultant registration system and to contractor work
performance evaluation system.
The Project develops a construction package database system including its database
configurations, computer software and an operation guideline.
 Develop a framework of the database including system configurations
 Develop computer software
 Develop software operation guidelines
Table 7.1.2 Focuses of the Project
Activity-3.1 Activity-3.2
Construction Contractor &

Construction Package Database System
Consultant Registration System
 Develop improvement plan for enhancing data  Develop improvement plans
reliability (Verification methods of company  Develop database configurations
information)  Develop computer software
 Develop computer software for operation  Develop software operation guideline
 Develop software operation guidelines  Conduct trial studies
 Conduct trial studies
(3) Outputs
Outputs for this activity are shown in Table 7.1.3.
Table 7.1.3 Project Outputs

Construction Contractor/Consultant Company Construction Package Database System
Registration System
 Recommendation on the improvement plans for the  Recommendation on the construction package database
construction company registration system and the system
consultant company registration system.  Computer software for the system operation
 New computer software for the two systems.  Software operation guidelines
 Operation guidelines
7-4
7.1.2 Development of Contractor Work Performance Evaluation System
(1) Concept for Development
Contractor work performance evaluation system is to evaluate contractor’s work performance

with appropriate indexes prepared for the system and to feedback evaluation results to the
contractor selection to be hereafter implemented for the purpose of preventing incompetent
contractors from participating in the state-budget projects. It is also very much beneficial to
raise contractor’s awareness towards construction project management, quality management
and safety management by giving the sense of being evaluated, and to raise project owner’s
awareness towards construction work supervision, directing their eyes to the construction
projects.
With these reasons, much focuses of developing the system is placed on the selection of
appropriate indexes for evaluation, standardization of evaluation formats, systematization of
evaluation activities and development of synergy between relevant systems. Many
stakeholders are expected to be involved in this evaluation system, so that all processes
should be carefully developed in order to ensure efficiency of operation.
(2) Methodology
1) Selection of Evaluation Indexes
The Project recommends that evaluation indexes shown in Table 7.1.4 shall be applied at an
initial stage of implementation in order to mitigate work load to the evaluators. Evaluation
indexes should be reviewed and adjusted after assessing implementation of evaluation.
Table 7.1.4 Evaluation Indexes
Category Evaluation Index Description

 Whether capable engineers were assigned in conformity with
 Capacity of engineers
the contract document?
Manpower input
 Whether capable managers were assigned in conformity with
 Capacity of managers
the contract document?
Management  Schedule management  Whether the project was managed on schedule?

capacity  Safety management  Whether the project was managed without accidents?
 Whether the products were constructed following technical

 Dimensional tolerance
standards?
Quality of
products  Overall quality  Whether the overall quality was ensured?
 Workmanship  Whether the products are in good appearance?
7-5
2) Develop Rating Methods of Contractor’s Work Performance
Three to five-point rating system with scoring method was discussed in this Project,
following overseas practices like Japan, Hong Kong and Malaysia. Discussion was made on
the use of weighing factors to the MOC’s focus points such as safety management and
overall quality as needed.
3) Selection of Evaluator
In order to ensure quality and fairness of evaluation, the Project recommends the application
of multiple evaluators, which consists of project owner, professional state authority member
organization and so forth. Study will be made through discussion with MOC counterparts,
trying to find out the most suitable evaluators based on the comparative study.
4) Selection of Construction Packages for Evaluation
Discussion will be done on the application of this evaluation to the big construction packages
first which may require high in construction quality. A step-by-step expansion is
recommended.
5) Management of Evaluation Data
To share the evaluation results as common information between stakeholders, it is

recommended to centralize data management. MOC is recommended to be a focal point of
information including data integration, management and dissemination to relevant
stakeholders.
6) Development of Computer Software
To facilitate operation, computer software is developed to meet the following conditions; (1)
to disseminate information of evaluation formats and evaluation guidelines to evaluators, (2)
to register evaluation results, and (3) to manage and disseminate the results of evaluation to
relevant stakeholders.
7) Trial Case Study
Trial case studies were implemented, selecting some infrastructure types and project owners.
Detail plans of this trial study were discussed with MOC counterpart members.
(3) Outputs
Outputs for this activity are shown in Table 7.1.5.
7-6
Table 7.1.5 Project Outputs
Construction Contractor Performance Evaluation System
 Evaluation guidelines
 Computer software
 Software operation guidelines
7.2 DEVELOPMENT OF CONSTRUCTION CONTRACTOR REGISTRATION

SYSTEM
7.2.1 Objectives
The followings are the objectives set out for the construction company registration and the
construction package database system.
 To provide project owners/employers with general information on construction

contractors and consultants as well as construction packages
 To assist project owners/employers and management agencies for selection of

construction contractor and consultant at prequalification and tender stage by providing
information on bidders as well as construction packages implemented by them
 To assist management agencies for managing project during planning, feasibility study,
project management, survey, design, design verification, supervision, construction,
inspection, certification and assessment by providing information on construction
contractor / contractors or consultant / consultants (in case of joint venture) as well as
construction packages implemented by them
 To assist to classify construction contractors and consultants into several groups in

capability by providing information on construction contractors and consultants as well
as construction packages implemented by them
 To improve capabilities and activities of construction contractors and consultants through

submission of company information and construction package information by them
 To allow construction contractors and consultants with less papers to be submitted in

prequalification & tender stage
7.2.2 Overseas Practices
In order to have improvement of construction contractor registration system, case studies

were carried out by reviewing similar system in Japan and Singapore.
7-7
(1) Registration System in Japan
1) Registration System
There are two kinds of registration in Japan, which are as follows.
 Construction Business Permit: Article 3 in Construction Business Act
 Business Evaluation: Article 27 in Construction Business Act
2) Construction Business Permit
a. Business Permit
Anyone who wishes to start and engage in construction business of both public and private
sectors needs to obtain a permit from the minister of Ministry of Land, Infrastructure,
Transport and Tourism (MLIT) or the governor of prefecture where the business is operated.
The permit of construction business is classified into 28 fields as below.
Table 7.2.1 Fields of Construction Business (28 fields)
Civil Works Steel Metal Works

Building Works Windowpane Works
Carpentries Painting Works
Plaster Waterproofing Works
Earthworks (incl. Scaffolding & Concrete Works) Interior Finishing Works
Stonemasons Equipment Installing Works
Roof Works Thermal Protection Works
Electric Works Telecommunication Works
Plumbing Works Landscape Gardening Works
Masons Boring Works
Steel Structural Works Fixture Works
Reinforcement Works Water Facilities Works
Paving Works Fire Facilities Works
Dredging Works Garbage Disposal Facilities Works
For a business to be able to operate in the administrative boundaries of more than 2

prefectures, companies must obtain permit from the minister of MLIT. And, the governor of
prefecture issues the permit to business within the administrative boundary of the prefecture.
The following small-scale construction works do not require the permits.
 Building works of less than 15 million yen or wooden houses with total floor area of less
than 150 m2
 Other construction works with construction cost of less than 5 million yen
7-8
b. Classification of Permit
The permit is classified into 2 categories:
- Ordinary construction business permit; Other than the below

- Special construction business permit; This allows a subcontracting of more than 30
million yen.
c. Validity of Permit
- 5 years
d. Contents of Application for Permit
- Trade name or name of applicant

- Name and address of business office
- For a corporation, capital amount and names of directors
For a private person, his /her name and name of manager, if any
- Construction business field to be applied for permit
- Type of the business, when an applicant operates other businesses
Documents to be submitted
- Record of past construction works

- Document showing the amount of the construction works executed in last 3 fiscal
years
- Document showing number of employees
- Declaration that applicant has no criminal records and abide by laws and regulations
concerned
- Others
e. Conditions for Permit
 Criteria 1：Chief administrator
Applicant should assign a chief administrator for a construction work at a full time basis.
The chief administrator should satisfy any one of the following requirements:
- To have more than 5 years management experience for the applied field of
construction business;
- To have more than 7 year-management experience for fields other than the applied
field of construction business;
- To have more than 7 year-experience as assistant manager for the applied field of
construction business;
 Criteria 2: Technical expert
Applicant should assign a technical expert at each office on a full time basis. The
technical expert should satisfy any one of the following requirements:
7-9
In case of ordinary construction business permit,
- To have completed designated school education of construction and have more than
5 years practical work experience for construction works after high school, and to
have more than 3 years after university
- To have more than 10 years practical work experience for the applied field of
construction works
- The minister recognizes applicant to possess equivalent qualifications (i.e. to have
required national license, etc.)
In case of special construction business permit,
- In addition to the above criteria, to have more than 2 years practical work experience
in supervising the construction works of more than 45 million yen
- To have passed technical qualification tests administered by the minister
 Criteria 3: Financial resources
Applicant should have financial resources, which are sufficient and enable to carry out
construction works.
In case of ordinary construction business permit, the applicant should satisfy any one of
the following requirements:
- The share holders’ equity is more than 5 million yen;

- To be able to raise more than 5 million yen;
- 5 years business career prior to an application
In case of special construction business permit, applicant should satisfy all of the
following requirements:
- The deficit does not exceed 20 % of the capital.

- The current ratio is more than 75 % of the capital.
- The capital is more than 20 million yen, and the shareholders equity is more than 40
million yen.
 Criteria 4: Honesty
Applicant should not undertake unfair or dishonest acts when entering and executing a
contract.
 Disqualification criteria
Application may not be accepted if false declarations are found in the application
documents or if 5-year have not passed since revocation of their construction business
permit.
7-10
3) Business Evaluation
In addition to obtaining the business permit, business evaluation is required to the contractors
who wish to participate in public construction works.
(a) Contractors intending to participate in public works shall have business evaluation on
their companies.
(b) Business evaluation shall be carried out in management scale, technical capability and
social responsibility.
(c) Management scale shall be analyzed and evaluated by designated organizations, whereas
rests (technical capability and social responsibility) shall be by contracting organizations.
(d) Management scale shall be evaluated with the items in page 1 of Appendix_7-1-1 and
financial data (to be attached).
(e) Technical capability shall be evaluated with the items in pages 2 to 5 of Appendix_7-1-1
and other back-up data (to be attached).
(f) Social responsibility shall be evaluated with the items in page 6 of Appendix_7-1-1 and
other papers (to be attached).
(g) Evaluation point shall be calculated with the formula below.
P = 0.25 X1 + 0.15 X2 +0.2 Y + 0.25 Z + 0.15 W
Where X1; score based on total amount of projects completed

X2; score based on net worth and operation income
Y; score calculated with figures representing financial situation
(Y is calculated with another formula with eight sub items)
Z; score based on number of technical staff with qualification and total amount
of projects completed as prime contractor
W; score based on social welfares etc.
(h) Evaluation is usually carried out with the data at the point of fiscal year end (majority of
Japanese contractors end their fiscal year on March 31) and audited financial data is
available three months after the end of fiscal year. Therefore, most applicants will submit
application in July to September every year.
(i) Validity of the business evaluation is 1 year 7 months. As a fiscal year is 12 months,
practically business evaluation shall be carried out every year.
(j) Contractors shall then be ranked with the business evaluation point and subjective
evaluation by contracting organizations.
(k) When false information is provided by contractor for application of business evaluation
and the result of evaluation is used for qualifying the contractor, such contractor shall be
suspended for business in 30 to 45 days, depending on seriousness of false information.
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(l) If false information is very serious and repeated, the contractor might be disqualified for
tender participation.
Appendix_7-1-1 provides more information of Business Evaluation for Contractor

Registration System in Japan.
(2) Registration System in Singapore
1) Function & Scope of Registration
(a) Registration is for public sector procurement only.
(b) Six major groups of registration:
- Construction Workheads (CW)
 CW 01 general building 7 grades

 CW 02 civil engineering 7 grades
- Construction Related Workheads (CR) 6 grades

- Mechanical & Electrical Workheads (ME) ditto
- Maintenance ((MW) ditto
- Supply Workheads (SY) ditto
- Regulatory Workheads (RW) no grade
As construction contractors are categorized in CW 01 and 02, those workheads are

further explained in details below.
2) Application Details
 Procedure: to download application forms (about 8 pages) from website

(www.bca.gov.sg) and submit them
 References: to submit references from auditors, bankers and clients/consultants

supervising applicant
 Processing time: 2 weeks after receipt from applicant
 Outcome: Result is notified and published in registry website, if successful.
3) Registration Requirements
(a) Track Record and Performance;
- Track records in last three years with references from clients etc.
Requirements for grades to be met (refer to Table 7.2.2 below)
(b) Financial Capacity;
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- Audited financial report to be submitted, which is issued within one year
(c) Personnel Resources;
- Full time personnel resources

- Requirements for grades to be met (refer to Table 7.2.2 below)
(d) Registration to Account & Corporate Regulatory Authority
4) Conditions of Registration
 The Building and Construction Authority (BCA) under the Ministry of National
Development (MND) shall process applications.
 Validity: three years
 Applicant shall submit declaration at application, including sentence “…false declaration

or false information provided is a serious offence which may result in penalties including
debarment of my firm from participating in public sector tenders”. BCA may take the
courses of action to false declaration or information, such as (a) downgrading of
registration grades and (b) de-registration or suspension from the Contractors
Registration System.
Table 7.2.2 Registration Requirements for CW
S$: Singapore Dollar, m: million

Financial Track records ( three years)
status (paid- Other
Grade Personnel & Management CW 01 CW 02
up capital & requirements
net worth) (building) (civil)
A1 S$ 15.0m 16 degree professionals S$ 150.0m S$ 150.0m Financial

8 technical qualifications (of which 75.0m (of which 75.0m accounts to
ISO9001/14000 in Singapore) in Singapore) submit annually
OHSAS18000
A2 S$ 6.5m 8 degree professionals S$ 65.0m S$ 65.0m Financial
4 technical qualifications (of which 32.5m (of which 32.5m accounts to
ISO9001, OHSAS18000 in Singapore) in Singapore) submit annually
B1 S$ 3.0m 4 degree professionals S$ 30.0m S$ 30.0m Financial
2 technical qualifications accounts to
ISO9001,OHSAS18000 submit annually
B2 S$ 1.0m 2 degree professional S$ 10.0m S$ 10.0m Financial
1 technical qualification accounts to
ISO9001,OHSAS18000 submit annually
C1 S$ 0.3m 1 degree professional S$ 3.0m S$ 3.0m
1 technical qualification
C2 S$ 0.1m 1 degree professionals or S$ 1.0m S$ 1.0m
2 technical qualifications
C3 S$ 25,000 1 technical qualification - -
Tendering limit for each grade is shown in Table 7.2.3.
7-13
Table 7.2.3 Tendering Limit for CW01 and CW02

S$: Singapore Dollar
Grade A1 A2 B1 B2 C1 C2 C3
Tendering Limit
Unlimited 85.0 40.0 13.0 4.0 1.3 0.65
(S$ million)
Appendix_7-1-2 provides more information of Contractor Registration System in Singapore.
(1) Registration System
The Construction Activity Management Department (CAMD) of the Ministry of

Construction (MOC) started to have construction related company registration system. The
registration system is implemented, based on the Decision No. 02/2008/QD-BXD dated on
February 20, 2008. The system has two data bases for contractors and consultants. As of
October 2010, about 70 contractors have been registered. Registration was not implemented
as compulsory system. Professional qualifications are not required to submit. Regulations
relevant to the systems are shown below;
(a) There is stipulation in Article 36 of Decree 12 in regard to field of construction works;
- Construction
(b) There are stipulations for qualification of individuals and companies in Decree 12;
[Individual]
- Architect : Article 38
- Engineer : Article 39
- Supervision : Article 40
- Construction site chief commander: : Article 52
[Company]
- Construction organization: : Article 53
The followings are the problems identified in the current status survey (for both construction
contractor and consultant registration system) conducted in this Project.
 It is not clear how the system is implemented and utilized (there is no benefit for
registered contractors and consultants).
 Data provided by registered contractors and consultants are not consistent and therefore,
those could not be compared among registered contractors and consultants.
7-14
 Data provided by registered contractors and consultants are not reliable, as there are no
tools and back-ups to countercheck those data.
 Organization structure for managing and maintaining the system is insufficient, as there
is not enough staff to assign for the system.
 Registration is mainly to be done through website.
7.2.4 Comparison of Contractor Registration Systems between Three Countries
Brief comparison of contractor registration systems between three countries, Vietnam, Japan
and Singapore, is made and summarized in Table 7.2.4 below.
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Table 7.2.4 Comparison of Contractor Registration System
Items Vietnam Japan (permit) Japan (evaluation) Singapore
1 Name of company Required Required Required Required
2 Address, contact and website Required Required Required Required
3 Representative office Required Required Required Required
4 Decision of establishment Required - - -
5 Business registration certificate MPI certificate - Business permit number ACRA number
SIN Type of company - - - Partnership/private limited
/pubic listed/branch office
6 Activity fields Select out of 5fields Select out of 28 fields Select out of 28 fields Select out of 6 groups with
certain grades
7 Financial figures Required Financial statement to be Financial statement to be Audited financial statement
a. charter capital Financial statement not submitted submitted within a year

b. Turnover of each year (three recent years) obliged to submit Financial statement to be
c. revenue after tax of each year (three recent year) submitted every year
JPN Certificate of tax payment - Required - -
JPN Main banks - Required - -
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8 Total number of staff Required Chief administrator with All technical experts with Certain number of technical
management of construction site Backup data is not experience qualification experts with qualification and
university degree or post university required A few technical experts education certificate
college – intermediate with qualification
skillful technical staff Total number of staff
9 Specialized machinery and execution equipment Required - - -
owned by the organization
10 Quality management system Required, if any ISO is compulsory in - ISO is compulsory in public
public works works for higher grades
11 Typical works in three recent years Required Total amount of completed Total amount of completed Certain track records with
projects in three years projects in three years endorsement of employer
Total amount as prime
contractor
12 Implementing works Required - - -
13 Strong fields of organizations Select out of 5 fields - - -
14 Prize-won works Required, if any - - -
15 Violations in construction activities Required, if any - Required -
JPN Other social matters - - Social insurance etc. -
JPN/SIN Validity - 5 years 1 year 7 months 3 years
7.2.5 Improvement of Existing Registration System in Vietnam
Improvement of the existing system is made, taking the following basic concepts of
improvement into consideration (which are in common for contractor and consultant
registration system);
 Project owners for public works are requested and for private works are encouraged to
select construction contractors and consultants from the registered companies.
 New system will request applicants to provide data in accordance with the specified items,
so that provided data are able to compare among registered contractors and consultants.
 New system will request applicants to submit back-up data (financial statement, copy of
professional qualification, contract agreement, final acceptance etc.) in order to verify the
important items by themselves, such as turn-over, profit, staff qualification, contract
completion etc.
 Professional qualification database currently maintained by CAMD of MOC shall become

solid enough to utilize it as checking system on submitted data.
 Submission may be allowed by several ways, such as through web-site, e-mails and / or
post (hard copy basis).
 Fee will be collected from applicants in order to have financial base for managing
organization to have sufficient staff for managing and maintaining the systems.
Table 7.2.5 summarizes recommendations developed in this Project.
Table 7.2.5 Recommendations of Registration System
Items Contents Remarks
System
a Registration Compulsory
b Administration CAMD of MOC Same as consultant registration
c Validity 1 year
d Ranks - To introduce later
Items to provide
1 Name of company Required
2 Address, contact and website Require

3 Representative office Required
4 Decision of establishment Required
5 Business registration certificate DPI certificate Copy of latest certificate to be
submitted
6 Investment certificate Required Copy of latest certificate to be
submitted
7 Type of company limited liability / share holdings /
(to be selected) partnership / private enterprise / joint
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venture / others
8 Activity fields building / industry / urban

(to be selected) infrastructure / transport / agriculture
& rural development
9 Financial figures a. Paid-up capital Financial statement to be submitted

b. Equity
c. Turnover Certificate of tax payment to be
d. Profit after income tax submitted
e. Enterprise income tax
10 Staff information Number (total, management, Copy of certificate of qualifications
university decree etc.) (architect, engineer etc.) to be
Professional staff submitted
11 Construction site chief commander Copy of certificate of qualifications to
be submitted
12 Specialized machinery and
execution equipment owned
13 Quality management system Own system / ISOs Copy of certificate to be submitted
14 Typical works Three packages in each field Contract agreement and final
acceptance to be submitted
15 Ongoing works Three packages in each field Contract agreement to be submitted
16 Prize-won works
17 Others Free statement
18 Name providing information
19 Commitment Commitment letter to be submitted
Related database:
 Qualification database (architect, engineer, construction supervision, project managers

etc.)
 Construction Package Database System to be developed, which is detailed in Section 7.4
Recommendations of improvement on current CAMD system are shown below.
 Submitted data from contractors shall be verified by themselves with additional

information, details of which are shown in the table above.
 Database for qualifications (architect, engineer etc.) and violation in construction

activities will be useful tools for the system and shall be regularly updated and maintained.
 Database for construction packages will be proposed by the Project, which shall also be
useful for the system.
The followings are the functional and database requirements recommended for the system.
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(1) Functional Requirements
 Contractors shall register company information in accordance with items below, if those
intend to tender for construction works.
 Company information consists of three data, such as [company basic data], [financial
data] and [technical data], some of which shall be verified with back-up data to be
submitted.
 Company information shall be renewed, when any changes in its management status,
contact or any other pertinent particulars occur or when one year passes after registered /
renewed.
 System shall be accessible only from limited organizations (project owners/employers in

public and private works), whereas registered company names are seen in website.
 If information provided by construction contractor for registration is found false at later

stage, such contractor may result to de-listing from the registration system.
(2) Database Requirements
1) Financial Data
 Financial statement (possibly audited one) shall be submitted.
 Important figures are 1) paid-up capital, 2) equity, 3) turnover in each construction field,
4) profit after income tax and 5) enterprise income tax with certificate of tax payment.
 The above figures will be criteria for contractor classification.
2) Professional Staff and Manager List
 The following items shall be included; 1) name, 2) ID, 3) university, 4) professional

details, 5) works experiences (three works) and 6) years of experiences.
 Format of Professional Staff List is shown in Table 7.2.6 below.
 Copy of certificate shall be enclosed.
 Number of qualified staff will be criteria for contractor classification.
3) Typical Works in Three Years
 The following items shall be included; 1) package name; 2) location; 3) project name; 4)
project category, 5) work grade,6) JV details,7) contract amount,8) dates of
commencement & completion, 9) project owner name and 10) result of evaluation at
completion (if any).
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 Copy of contract agreement and final acceptance shall be enclosed for verifying dates of
commencement and completion.
 Format of List of Completed Works is shown in Table 7.2.6 below.
 The amount of works will be criteria for contractor classification.
4) Ongoing Works
 The following items shall be included; 1) package name; 2) location; 3) project name; 4)
project category, 5) work grade,6) JV details,7) contract amount,8) dates of
commencement & completion and 9) project owner name.
 Copy of contract agreement shall be enclosed for verifying dates of commencement and
completion.
 Format of List of Ongoing Works is similar to List of Completed Works.
*Appendix_7-1-3: Draft Circular for Construction Contractor and Consultant Registration

System
*Appendix_7-1-4: Note & Format for Construction Contractor Registration System
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Table 7.2.6 Format of Professional Staff List and List of Completed Works for Contractor Registration System

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7.2.6 MOC Proposal for Registration System in Vietnam
In accordance with the stipulation of new Decree 15 in 2013, MOC has prepared the circular
(draft) on Publicized Management of Information on Capacities of Entities, Individuals
Operating in Construction Sector for construction contractor and consultant. On the MOC
draft, the following comments have been given based on the knowledge and proposal
throughout the actions under the Project
(1) It is recommended to add the following sentence in clause c) of item 1 in Article 5.
… when finding the application dossiers insufficient, DOCs shall request the entities provide
more information, which shall be reported to CAMD MOC.
(2) It is recommended to add the following sentence in clause c) of item 21 in Article 5.
During checking when CAMD finds the application dossiers insufficient, CAMD shall request
the entities provide more information, which shall be informed to relevant DOCs.
(3) Item 1 in Article 6 stipulates that periodically in 6 months or …, entities and individuals
are responsible to provide adjusted information as regulated in this Circular. It seems too
often and it is recommended to extend the period to one year.
(4) It is strongly recommended to add the following sentence in item 3 in Article 8.
When CAMD considers necessary, CAMD shall request the entities provide back-up data for
verification of the information already posted.
(5) Item 4 in Article 8 stipulates the cases of deletion of entities information from the
registration list and it is recommended to add the following case.
… or without updating application one year after information publicized or…
(6) It is strongly recommended with the followings in Appendix 1;
- Data from contractors and consultants to be separated, as features of works are

different. In this view, item 7. fields of activities, 10. numbers of specialized officials
and 12. list of typical works shall be provided with two kinds of table (x-1for
contractor and x-2 for consultants). Entities having department of contractor and
consultant shall submit 7-1 & 7-2, 10-1 & 10-2 and 12-1 & 12-2 for contractor and
consultant.
- Item 8: Information for financial matter shall be not only capital but also equity,
turnover in each field, profit after tax and enterprise income tax (similar to those
required in PQ and/or tender).
- Item 12: Works experience and on-going shall be separated in different tables.
- Item 12: Dates of commencement and completion shall be provided in each work,
possibly together with back-up data (contract agreement and final acceptance).
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- Item 12: Works experience and on-going shall be provided in each field, limited to
certain number, say 3 works.
(7) It is strongly recommended with the followings in Appendix 2;
- Item 8: Information for financial matter shall be not only capital but also equity,
turnover in each field, profit after tax and enterprise income tax (similar to those
required in PQ and/or tender).
- Item 12: Works experience and on-going shall be separated in different tables.
- Item 12: Dates of commencement and completion shall be provided in each work,
possibly together with back-up data (contract agreement and final acceptance).
- Item 12: Works experience and on-going shall be provided in each field, limited to
certain number, say 3 works.
The latest draft circular with the above comments (italic) are shown below. It is expected that
MOC would finalize the circular in due course.
CIRCULAR
ON PUBLICIZED MANAGEMENT OF INFORMATION

ON CAPACITIES OF ENTITIES OPERATING IN CONSTRUCTION SECTOR
Minister of Construction enforce the circular on publicized management of information on capacities of entities,
individuals operating in construction sector:
Chapter 1 GENERAL PROVISIONS
Article 1. Scope of governing

This circular stipulates the provision, management, announcement and utilization of information on
operating capacities of entities of domestic and abroad (hereinafter referred as “entities operating in
construction sector”) participating activities in construction sector as: FS formulation, Project
management, Construction planning, Design, Design verification, Survey, Construction execution,
Construction supervision, Construction testing, Inspection.
Article 2. Objects of governing

Entities of domestic and abroad who have registered for operating in construction sectors in Vietnam
follow stipulations in this Circular to provide and publicize their information through MOC website.
Chapter 2 INFORMATION ON OPERATING CAPACITIES
Article 3. Principles in provision and utilization of information on operating capacities

1. Entities operating in construction sector in Vietnam are responsible for publicizing information
on operating capacities as stipulated in Appendix of this Circular.
Entities operating in construction sector are inclusive of:
a) Enterprises, entities with business registration (business license) related to operations in
construction sector in accordance with regulations.
b) Other entities, such as: cooperatives; research institutes; profession schools, universities;
Associations; Business Associations… that are established in accordance with regulations and
those with operating functions related to activities in construction sector.
2. Information provided by entities operating in construction sector are directly related to their
7-23
operating capacities in construction sector.

3. Organizations, individuals are encouraged to refer to information on capabilities which is posted
in DOCs’ website and MOC website.
4. Information on operating capabilities of these entities which is posted in MOC website serves as
the basis for PO’s reference on capacities and experiences during contractor/consultant selection
for state budget packages/services.
Article 4. Responsibility for providing information

1. The legal Representative of Entities operating in construction sector stipulated in Clause a, b
Item 1 in Article 3 of this Circular is accountable for the truthfulness, exactness of information
when providing information for posting in DOCs’ website and MOC website.
2. Profession associations, entities, individuals are responsible for reporting to MOC on variation or
inexactness of information from Entities operating in construction sectors.
3. Local DOCs are responsible for checking, reviewing dossiers of Entities operating in
construction sector.
ULR: www.moc.gov.vn
Article 5. Responsibility for posting information

1. Sequence of provision of information:
a) Entities operating in construction sector send dossiers in writing to local DOC, and in soft file
to that DOC’s email address. (at the province where they obtained business license).
b) Application dossiers are as following formats:
- Appendix 1: For entities operating in construction sectors.
- Appendix 2: For entities operating in Design Verification, Design Appraisal.
- Appendix 3: For entities operating in Construction quality inspection (testing)
c) After checking the truthfulness of application dossiers, and when finding the application
dossiers insufficient, DOCs shall request the entities provide more information, which shall be
reported to CAMD MOC. Otherwise, DOCs directly input data on the database of MOC website.
Concurrently, DOCs send hard copy and soft copy to the following address:
CAMD-MOC
Address: 37 Le Dai Hanh, Hai Ba Trung Dist. Hanoi.
Email: [email protected]
2. Posting information:
a) All information, data is collected through documents in writing and attached soft file provided
by entities.
b) Within 30 working days since the receipt of sufficient application dossiers, DOCs directly
input data into database system of MOC website and link this to DOCs’ website.
c) CAMD, act as contact point with the assistance of Information Center, conduct checking,
review on application dossiers, checking and adjustment on data on entities’ capabilities which is
posted on MOC website. During checking when CAMD finds the application dossiers
insufficient, CAMD shall request the entities provide more information, which shall be informed
to relevant DOCs.
Article 6. Information renewal

1. Periodically in one year or when there is change in deputies and above, project managers, team
leaders, site managers, entities and individuals are responsible to provide adjusted information as
regulated in this Circular.
2. DOCs are responsible for updating information and sending application in hard copy and soft
copy to CAMD to update and posting.
Chapter 3 IMPLEMENTATION
Article 7. Responsibilities of relevant stakeholders

1. MOC will take the prime responsibility and coordinate with relevant stakeholders in:
a) Receiving and posting information, data provided by entities operating in construction sectors.
b) Regularly keeping track, managing, checking the access, utilization and operation of information
7-24
system on capacities of entities, individuals participating in activities in construction sector

through MOC website.
2. Ministries, sectors, PPCs cooperate with MOC to check relevant information on:
a) Entities operating in construction sector which are under their jurisdiction.
b) Violations by entities operating in construction sectors to construction projects under their
jurisdiction.
c) Violations by entities operating in construction sectors to construction projects under their
local territories.
Article 8. Inspection and violation handling

1. CAMD-MOC is the focal point, takes prime responsibilities and coordinates with Ministries,
sectors, localities, Associations, Business Associations, mass media to check, process information
during posting information into MOC website.
2. DOC is the focal point assisting PPC, takes prime responsibilities and coordinates with relevant
organizations to check the reliability of information of entities operating in construction sector in
their territories and timely reports to MOC.
3. CAMD periodically conducts inspection on posted information in random manner in cooperation
with DOCs. Inspection can be done with partners of registered entities, individuals. When CAMD
considers necessary, CAMD shall request the entities provide back-up data for verification of the
information already posted.
4. Entities, individuals participating in activities in construction sector shall be put in list of
violations and be released in MOC website if they commit violation in activities in construction
sector or provide false information. or without update applications one year after information
publicized or when changing status.
Article 9. Transition handling

Based on guidance in this Circular, Entities that already provided information in accordance with
Decision no. 02/2008/QD-BXD dated on February 20th, 2008 provide information and data again and
send to MOC to continue publication.
Article 10. Enforcement

This Circular takes effect since……2013 and replaces Decision no.02/2008/QD-BXD.
During implementation, in case of problems or difficulties, entities, individuals are requested to send
comments to MOC for studying and reasonable revision.
APPENDIX 1
ANNOUNCEMENT OF INFORMATION ON CAPACITIES OF ENTITIES/INDIVIDUALS IN

CONSTRUCTION ACTIVITIES
1. Name of organization:
2. Address of headquarter:
- Telephone No. Fax No.
- Email: Website:
3. Address of representative office or branch office (if any):
4. Legal representative:
- Full name:
- Job title:
5. Decision of Establishment:
- No.: , date of issue , Agency signing the decision:
6. Business Registration Certificate:

- No.: , date of issue , Issuing Agency:
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7. Fields of construction activities:

7.1 Construction contractors
Fields of activities
Construction Execution
Type of
Construction Work
Buildings
Industrial works
Transport works
Works of Agriculture and Rural
Development
Infrastructure works
7.2 Construction consultants
construction work quality

Construction Supervision
Construction Investment
Specialized construction
Design of Construction
Design of Construction
Inspection (Testing) of
Construction Survey
Formulation of FS
Fields of
Management of
activities
Planning
Project
Work
tests
Type of
Construction
Work
Buildings
Industrial works
Transport works
Works of
Agriculture and
Rural Development
Infrastructure
works
(Tick “” for the field of activities entities being involved in construction activities)
8. Financial Figures:
(1) Charter capital,
(2) Equity,
(3) Turnover in each field and total,
(4) Profit after enterprise income tax,
(5) Enterprise income tax
9. Number of officials of the entity (only who engage in paying social insurance):…….persons
Of which:
+ Those that have post-graduate education:
+ Those that have university education:
10. Number of specialized officials: …..persons

10.1 Construction Contractors
No. Fields of activities Quantity
1. Site Manager
2. Architect
3. Engineer
Total
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10.2 Construction Consultants

No Fields of activities Class 1 Class 2 Quantity
1. Team Leader of FS Formulation
2. Director of Project Management
Consultancy
3. Survey Manager
4. Construction Design Manager
5. Construction Design Subject Manager
6. Manager of Design Verification
7. Architect
8. Engineer
9. Construction Supervisor
10. Head of Laboratory
Total
11. Is quality management system available?  Yes  No

- ISO No.
- Certifying Agency:
12. List of typical construction works which have completed in each field (maximum three works in
each field)
Commenceme
Grade of CW
Construction
Participation
Name of PO
Value of the
Type of CW
(Activity) to
Completion
Work (CW)
carry out
Location
Name of
Form of
nt date
Work
Scale
work
date
No.
12.2 Construction consultants

Commenceme
Grade of CW
Participation
Construction
Name of PO
Value of the
Type of CW
(Activity) to
Work (CW)
Completion
carry out
Location
Name of
Form of
nt date
Work
Scale
work
date
No
13. List of typical construction works which are being implemented in each field (maximum three
works in each field):
Commencemen
Work (Activity)
Grade of CW
Construction
Participation
Name of PO
Value of the
Type of CW
to carry out
Completion
Work (CW)
Location
Name of
Planned
Form of
t date
Scale
work
date
No
7-27
13.2 Construction Consultants
Construction Work
Value of the work

Work (Activity) to
Completion date
Commencement
Grade of CW
Participation
Name of PO
Type of CW
carry out
Location
Name of
Planned
Form of
Scale
(CW)
date
No
14. Indicate the fields which are the entity’s strong points:
15. Names of construction works which were awarded:

No. Name of CW Form of Award Note
16. List the violations caused by consulting activities:
Entity, Individual commit that the above-mentioned information is true and take full accountability
in case of variation.
OPINIONS OF DOC NAME OF ENTITY

(Opinions, signatures, and stamp) (Signature, stamp)
APPENDIX 2
ANNOUNCEMENT OF INFORMATION ON CAPACITIES OF ENTITIES/INDIVIDUALS IN

CONSTRUCTION ACTIVITIES
1. Name of organization:
2. Address of headquarter:
Telephone No. Fax No.
Email: Website:
3. Address of representative office or branch office (if any):
4. Legal representative:
- Full name:
- Job title:
5. Decision of Establishment:
No.: , date of issue , Agency signing the decision:
6. Business Registration Certificate:

No.: , date of issue , Issuing Agency:
7-28
7. Fields of construction activities:
Verificatio
Verificatio
Verificatio
n on Basic
Appraisal
Technical
Technical
Field of activities
Detailed
Design
Design
Design
Design
n on
n on
on
Types of
construction works
Buildings
Industrial works
Transport works
Works of Agriculture
and Rural Development
Infrastructure works
(Tick “” for the field of activities entities being involved in construction activities)
8. Financial Figures:
(1) Charter capital,
(2) Equity,
(3) Turnover in each field and total,
(4) Profit after enterprise income tax,
(5) Enterprise income tax
9. Number of officials of the entity (only who engage in paying social insurance):…….persons
Of which:
+ Those that have post-graduate education:
+ Those that have university education:
10. Number of specialized officials: …..persons

Qualific Issuing Date of
No Field of activities Class 1 Class 2
ation no. agency issuance
1 Survey Manager
Construction Design
2
Manager
Construction Design
3
Subject Manager
Manager of Design
4
Verification
5 Architect
6 Engineer
(Tick “” on Class 1 or Class 2)
11. Is quality management system available?  Yes  No

- ISO No.
- Certifying Agency:
12. List of typical construction works which have completed (maximum three works in each field)
Value of the work
Work (Activity) to
Completion date
Commencement
Grade of CW
Construction
Participation
Name of PO
Type of CW
Work (CW)
carry out
Location
Name of
Form of
Scale
date
No
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13. List of typical on-going works (maximum three works in each field)
Completion date
Commencement
Work (Activity)
Grade of CW
Construction
Participation
Name of PO
Value of the
Type of CW
to carry out
Work (CW)
Location
Name of
Planned
Form of
Scale
work
date
No
14. Indicate the fields which are the entity’s strong points:
15. Names of construction works which were awarded:

No. Name of CW Form of Award Note
16. List the violations caused by consulting activities:
Entity, Individual commit that the above-mentioned information is true and take full accountability
in case of variation.
OPINIONS OF DOC NAME OF ENTITY

(Opinions, signatures, and stamp) (Signature, stamp)
MOC is currently revising the construction law, which is targeted to approve in the assembly
in year 2014 and the circular for registration system might be modified to fit with the revision
of construction law. In addition, construction package database and contractor work
performance evaluation system would be incorporated in the revised law.
7.3 DEVELOPMENT OF CONSTRUCTION CONSULTANT REGISTRATION SYSTEM
7.3.1 Objectives
The objectives for the construction consultant registration system are stated in Section 7.2.1
together with those for the construction contractor registration and the construction package
database system.
Case studies for improvement of construction consultant registration system were carried out
by reviewing similar system in Japan and Singapore.
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(1) Registration System in Japan
1) Criteria for Registration of Construction Consultants
 Consultant shall have a registered professional in each field of operation.*
 Consultant shall have capital 5 million yen and net worth 10 million yen as minimum.
* There are 21 fields of operation for consultant, such as 1) river, coastal & ocean
engineering, 2) port, harbor & airport engineering, 3) electric power civil engineering, 4)
road engineering, 5) railway engineering, 6) water supply & industrial water supply, 7)
sewerage, 8) irrigation drainage& rural engineering, 9) forest civil engineering, 10)
fisheries civil engineering, 11) waste management, 12) landscape engineering, 13) urban
& regional planning, 14) geology, 15) soil mechanics & foundation, 16) materials &
structure, 17) tunnel engineering, 18) construction planning, management & cost
estimates, 19) environmental assessment &management for construction, 20) mechanical
engineering, 21) electrical & electronics engineering.
2) Items to Submit for Registration
(a) Applicant profile: name, address, representatives etc.
(b) Business registration certificate
(c) Field of operation: to be selected from 21 fields* in the above
(d) Engineering managers: to be nominated in each field of operation with professional

qualification
(e) Track records: 5 works in each field of operation in recent 3 years
(f) Yearly turnover: figures in each field of operation in recent 3 years
(g) Number of staff: number in each field of operation, classifying several qualification
(h) CVs of representatives of applicant
(i) Financial statement of most recent year
(j) Commitment
3) Application Procedure
(a) Applicant shall obtain application forms (18 pages) and after fill up, submit them together
with back-up data to the Ministry of Land, Infrastructure, Transport and Tourism (MLIT).
(b) Application shall be reviewed and registered in registration within 90 days, which is
managed and maintained in MLIT, if provided information is in order.
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4) Consultant Duty after Register
(a) Consultant shall submit current status (similar items in application forms) every year
within 4 months after fiscal year.
(b) Information in registration shall be updated time to time, when certain items are changed.
(c) Information in registration shall be renewed after 5 years from registration or renewal.
5) Other Important Matters
(a) Registration is not compulsory for consultants.
(b) MLIT manages and maintains registration data after those are submitted and registered.
(c) Central and local governments are allowed to request information of registered
consultants, when selecting consultant.
(d) When there is false information and/or missing information for important items in
application forms and supporting documents for Consultant Registration submitted by
consultant, such consultant shall not be accepted for registration.
Appendix_7-1-5 provides more information of Consultant Registration System in Japan.
(2) Registration System in Singapore
1) Function & Scope of Public Sector Panels of Consultants (PSPC)
(a) Registration is for public sector procurement only.
(b) Five major disciplines in PSPC are as follows.
- Architectural (Arch) Consultancy 4 panels

- Civil & Structural (C&S) Engineering Consultancy 4 panels
- Mechanical & Electrical (M&E) Engineering Consultancy 4 panels
- Quantity Surveying (QS) Consultancy 4 panels
- Project Management (PM) Consultancy 2 panels
* Site Investigation Works are categorized in Construction Contractors as CR 15.
2) Application Details
- Procedure: to download application forms (13 pages) completely from website

(www.bca.gov.sg), fill in and submit them
- Project performance assessment: to submit from clients of projects applicant
undertook
- Processing time: 2 weeks after receipt from applicant
- Outcome: Result is notified and published in website (name only), if successful.
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3) Registration Requirements
(a) Track Record and Performance;
- Track records in last five years with a Certificate of Statutory Completion (CSC) and
performance assessment from clients
- Requirements for panels to be met (refer to Table 7.3.1 below)
(b) Personnel Resources;
- Full time personnel resources

- Requirements for panels to be met (refer to Table 7.3.1 below)
(c) Registration to Account & Corporate Regulatory Authority (ACRA)
(d) Additional Requirements:
- ISO certificate, professional indemnity insurance and training requirement for certain
panels
4) Conditions of Listing
(a) The Building and Construction Authority (BCA) under the Ministry of National
Development (MND) shall process applications.
(b) Validity: up to March 31 of each year
(c) Criteria of each panel for participating project size
(d) Applicant shall submit declaration at application, including sentence “…false declaration
or false information is a serious offence and may also result in penalties to my firm
including the suspension of my firm from participating in public sector tenders”. BCA
may take the courses of action to false declaration or information, such as (a) lowering the
eligibility of firm from the current panel listed and (b) de-listing from the Public Sector
Panels of Consultants.
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Table 7.3.1 Listing Requirements for PSPC (1)

Panel Architectural Consultancy C&S Engineering Consultancy
Company Company to be licensed with Board Company to be licensed with Track Record
for 1-4 of Architect. Professional Engineers Board (common)
Other criteria Personnel Others Personnel Others
1  4 registered  Professional  4 registered  Professional  S$ 15m
professionals indemnity professionals indemnity / 5 years
 2 staffs attending insurance  1 staff attending insurance
training  ISO 9001/14001 training  ISO 9001/14001
2  3 registered  ISO 9001  3 registered  ISO 9001  S$ 5m
professionals professionals / 5 years
 2 staff attending  1 staff attending
training training
3  2 registered  2 registered  S$ 1.5m
professionals professionals / 5 years
 1 staff attending  1 staff attending
training training
4  1 registered  1 registered
professional professional
 1 professional  1 professional
Listing Requirements for PSPC (2)
Panel M&E Engineering Consultancy Quantity Surveying Consultancy Track Record

Company Company to be licensed with (common)
-
for 1-4 Professional Engineers Board
Other criteria Personnel Others Personnel Others
 4 registered  professional  4 degrees, 1 of  ISO 9001/14001  S$ 15m
professionals indemnity which completed  / 5 years
1
 1 staff attending insurance project above
training  ISO 9001/14001 S$15m
 3 registered  ISO 9001  3 degrees, 1 of  ISO 9001  S$ 5m
professionals which completed  / 5 years
2
 1 staff attending project above
training S$5m
 2 registered  2 degrees. 1 of  S$ 1.5m
professionals which completed  / 5 years
3
project above
S$1.5m
 1 registered  1 degree
4 professional  1 diploma
 1 professional
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Listing Requirements for PSPC (3)
Panel Project Management Consultancy Track Record

Personnel Others
 4 degrees, 1 of which  ISO 9001/14001  3 projects (each more than
1 completed project above 8m) / 5 years
S$50m
 3 degrees, 1 of which
2 completed project above
S$3m
Tendering limit in each PSPC and panel is shown below.
Table 7.3.2 Tendering Limit

Panel ARCH C&S M&E QS PM
1  S$ 10 – 65million project  any value
2  S$ 3 – 10million project  up to S$ 10million project
3  up to S$ 10million project
4  up to S$ 3million project
special  more than S$ 65million project, depending on particular requirement
Appendix_7-1-6 provides more information of Consultant Registration System in Singapore.
(1) Registration System
(1) There are two systems for construction consultant registration currently implemented in
Vietnam,
- One is the system for field of design, project management, formulation of FS, survey
and supervision by CAMD based on Decision 02 of 2008.
- The other is the system for field of inspection, assessment and certification of force-
bearing safety conditions & quality standard conformity of construction works by the
State Authority of Construction Quality Inspection (SACQI) based on Circular 03 of
2011.
(2) CAMD system is not compulsory for consultants and as a result only about 60 companies
have registered the system as of October 2010.
(3) SACQI system is also not compulsory and about 40 companies have submitted their
application as of November 2011.
(4) There are stipulations in Article 36 of Decree 12 & 83 in regard to field of consultant
works;
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- Formulation and evaluation of project: feasibility study : within CAMD system

- Management of project: project management : within CAMD system
- Construction planning design: planning : within CAMD system
- Construction design: designing : within CAMD system
- Construction survey : within CAMD system
- Construction supervision : within CAMD system
- Specialized construction testing : within SACQI system
- Quality inspection : within SACQI system
- Certification of force-bearing safety : within SACQI system
- Certification of quality conformity : within SACQI system
(5) There are stipulations for qualification of individuals and companies in Decree 12;
[Individual]
- Architect : Article 38
- Engineer : Article 39
- Supervision : Article 40
- Project formulation manager : Article 41
- Construction survey manager : Article 45
- Construction design manager : Article 47 & 48
[Company]
- Project formulation consultant : Article 42

- Project management consultant : Article 43 & 44
- Construction survey consultant : Article 46
- Construction design consultant : Article 49 & 50
- Construction supervision consultant : Article 51
In order to understand differences between two systems, the comparison of data requirements
in CAMD and SACQI system is shown in Table 7.3.3.
Table 7.3.3 Comparison of Data Requirements in CAMD and SACQI System
Decision 02: Consultant Registration System in CAMD Circular 03: Consultant Registration System in
(design, PM, FS, survey, supervision) SACQI(inspection, assessment & certification)
1 Name of company 1 Name of company
2 Address, contact & website 2 Address, contact & website
3 Representative office 3 Representative office
4 Decision of establishment 4 Decision of establishment
5 Business registration 5 Business registration
certificate certificate
6 Type of enterprise Limited liability
/ share holdings
/ partnership /
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Decision 02: Consultant Registration System in CAMD Circular 03: Consultant Registration System in
(design, PM, FS, survey, supervision) SACQI(inspection, assessment & certification)
private
enterprise / joint
venture / others
6 Field of operation Design / PM / FS / survey 7 Field of operation Inspection /
(to be selected) / supervision / others (to be selected) certification /
assessment /
others
Type of construction works Building /
(to be selected) industrial /
transport /
irrigation /
infrastructure
7 Financial figures (three years) a) charter capital b)
turnover c) profit
8 Number of staff a) post university b) 8 Number of staff a) university b)
university c) college d) qualification
managing level certificate c)
managing level
9 Quality management system 9 Quality management system
10 Laboratory for inspection a) code b)
decision c) list
of testing
10 Typical works (three years) Three works in each field 11 Typical works (three years) a) work name b)
selected (work name / for inspection, certification & location c) type
scope / location / investor) assessment / grade d) scope
11 Ongoing works
12 Strong field (to be selected) Design / PM/ FS / survey /
supervision / others
13 Prize-won works
14 Name of registration Position / contact Commitment Company
representative
Based on the above comparison and consideration on general consultant works, Construction Consultant
Registration System has been prepared with some improvements of CAMD system and reference to SACQI
system.
The problems identified in the survey for both contractor and consultant registration system
are shown in Section 7.2.3.
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7.3.4 Comparison between Three Systems
Consultant registration systems in Vietnam, Japan and Singapore are compared in Table 7.3.4.
Table 7.3.4 Comparison of Consultant Registration System
Items Vietnam (decision 02) Japan Singapore

System
a Registration Voluntary Voluntary Compulsory for public
works
b Administration CAMD of MOC Regional Bureau of MLIT BCA under MND
c Validity Not specified 5 years March 31 of every year
d Ranks - - 4 or 2 ranks
Items to provide
1 Name of company Required Required Required
2 Address, contact & Required Required Required
website
3 Representative office Required Required Required
4 Decision of establishment Required - -
5 Business registration DPI certificate Business permit ACRA number
certificate
5’ Type of enterprise (required in system under Required Required
circular 3)
6 Field of operation (to 5 fields (design / PM / FS / 21 fields (kind of works: 4 disciplines (Arch / C&S
be selected) survey / SV) refer to Japan system) / M&E / QS / PM)
(submit individually)
6’ Type of construction (required in system under - -
works circular 3)
7 Financial figures Required Required together with Turn-over only in each
financial statement field
8 Number of staff a) education b) manager a) education a) education
b) manager b) qualification (copy of
c) qualification qualification)
(copy of qualifications) c) training course
8’ Manager for engineering - Manager to be nominated -
in each fields
9 Quality management Own system - ISO 9001 / 14001 in
system higher rank
9’ ISO certificate required in
system under circular 3)
10 Typical works Three works in each field Total turn-over in each Required together with
in three / ten years field in recent three years “completion certificate” &
“client’s assessment”
11 Ongoing works Required - -
12 Strong field (to be 5 fields (design / PM / FS / - -
selected) survey / SV)
13 Prize-won works Required - -
14 Name of registration Required (commitment Required with Required with
required in system under commitment commitment
circular 3)
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7.3.5 Improvement of Registration System
Based on the case studies and comparison among the current system in Vietnam, Japan and
Singapore, the following Table 7.3.5 is prepared, showing recommended ideas of the new
consultant registration system in Vietnam. The basic concepts of improvement are similar to
those applied to the construction contractor registration system stated in Section7.2.5.
Table 7.3.5 Recommendations of Registration System

System
a Registration Compulsory
b Administration CAMD of MOC Same as contractor registration
c Validity 1 year
d Ranks - To introduce later
Items to provide
1 Name of company Required
2 Address, contact & website Required
3 Representative office Required
4 Decision of establishment Required
5 Business registration certificate DPI Certificate Copy of latest certificate to be
submitted
6 Investment certificate Required Copy of latest certificate to be
submitted
7 Type of company Limited liability / share holdings /
(to be selected) partnership / private enterprise /
joint venture / others
8 Field of operation Planning / FS / PM / survey / design
(to be selected) / design verification / SV /
inspection / certification /
assessment
Type of construction works building / industry / urban
(to be selected) infrastructure / transport /
agriculture & rural development
9 Financial figures a. Paid-up capital Financial statement to be
b. Equity submitted
c. Turnover
d. Profit after income tax
e. Enterprise income tax Certificate of tax payment to be
submitted
10 Staff information Number (total, management,
university decree etc.)
Number of Professional*1 staff
11 Manager*2 for engineering Number of each manager Copy of certificate of
qualifications to be submitted
12 Quality management system Own system / ISOs Copy of certificate to be
submitted
13 Typical works Three works in each field Contract agreement and final
acceptance to be submitted
14 Ongoing works Three works in each field Contract agreement to be
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submitted
15 Prize-won works
16 Others Free statement
17 Name proving information
18 Commitment Commitment letter to be
submitted
*1: architect (article 38), engineer (ditto 39), supervisor (ditto 40), project manager and cost estimator set in
decree 12.
*2: FS manager (article 41), survey manager (ditto 45) and design manager (ditto 47/48) in decree 12.
Recommendations of improvement on current CAMD system are shown below.
 Submitted data from consultants shall be verified by themselves with additional

information, details of which are shown in the table above.
 Database for qualifications (architect, engineer, supervisors etc.) and violation in

construction activities will be useful tools for the system and shall be regularly updated
and maintained.
 Database for construction packages will be proposed by the Project, which shall also be
useful for the system.
The followings are the functional and database requirements recommended for the system.
(a) Consultants shall register company information in accordance with items below, if those
intend to tender for construction works.
(b) Company information consists of three data, such as [company basic data], [financial
data] and [technical data], some of which shall be verified with back-up data to be
submitted.
(c) Company information shall be renewed, when any changes in its management status,
contact or any other pertinent particulars occur or when one year passes after registered /
renewed.
(d) System shall be accessible only from limited organizations (project owners/employers in
public and private works), whereas registered company names are seen in website.
(e) If information provided by construction consultant for registration is found false at later
stage, such consultant may result to de-listing from the registration system.
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a. Financial Data
- Financial statement (possibly audited one) shall be submitted.

- Important figures are 1) paid-up capital, 2) equity, 3) turnover in each operation field,
4) profit after income tax and 5) enterprise income tax with certificate of tax payment.
- The above figures will be criteria for consultant classification.
b. Professional manager list
- The following items shall be included; 1) name, 2) ID, 3) university, 4) professional

details, 5) works experiences (three works) and 6) years of experiences.
- Format of Manager List is shown in Table 7.3.6 below.
- Copy of certificate shall be enclosed.
- Number of qualified staff will be criteria for consultant classification.
c. Typical Works in Three Years
- The following items shall be included; 1) package name; 2) location; 3) project name;
4) project category, 5) work type, 6)work grade,7) JV details,8) contract amount,9)
dates of commencement & completion and10) project owner name.
- Copy of contract agreement and final acceptance shall be enclosed for verifying dates
of commencement and completion.
- Format of List of Completed Works is shown in Table 7.3.6 above.
- The amount of works will be criteria for consultant classification.
d. Ongoing Works
- The following items shall be included; 1) package name; 2) location; 3) project name;
4) project category, 5) work type, 6) work grade,7) JV details,8) contract amount,9)
dates of commencement & completion and 10) project owner name.
- Copy of contract agreement shall be enclosed for verifying dates of commencement
and completion.
- Format of List of Ongoing Works is similar to List of Completed Works.
*Appendix_7-1-3: Draft Circular for Construction Contractor and Consultant Registration

System
*Appendix_7-1-7: Note &Format for Construction Consultant Registration System
7.3.6 MOC Proposal for Registration System in Vietnam
As stated in Section 7.2.6 , MOC has prepared the draft circular on Publicized Management
of Information on Capacities of Entities, Individuals Operating in Construction Sector for
construction consultant as well.
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Table 7.3.6 Format of Professional Manager List and List of Completed Works for Consultant Registration System

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7.4 DEVELOPMENT OF CONSTRUCTION PACKAGE DATABASE SYSTEM
7.4.1 Objectives
The objectives for the construction package database system are stated in Section 7.2.1
together with those for the construction contractor and consultant registration system.
In order to formulate construction package database system, case studies were carried out by
reviewing similar system in Japan and Singapore.
(1) Construction Package Database System in Japan
There are two systems, which are (1) Construction Records Information System (CORINS)
and (2) Technical Consulting Records Information System (TECRIS) in Japan. These are
managed and maintained by the Japan Construction Information Center (JACIC) authorized
by MLIT.
1) CORINS:
 Construction records of the public works were started to provide in March 1994 for those
contracts more than 50 million yen.
 Record collection was extended to the contract amount more than 25 million yen after
1997 and further extended to the contract amount more than 5 million yen after 2002.
 Retrieval system of construction engineer career for individual engineers has been
operated since August 2005.
 As of March 2010, 131,000 contractors provide information and 3,188,000 packages are
in database.
 Nine hundred twenty three (923) public organizations use the CORINS as of March 2010.
2) TECRIS:
 Research and design works in civil engineering field were started to provide in 1995 for
those contracts more than 5 million yen.
 Technical consulting works and geographical survey works were added in 1993 and 1996
respectively.
 Record collection was extended to the contract amount more than 1 million yen from
February 2008.
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 As of March 2010, 10,000 consultant firms provide information and 940,000 service
works are in database.
 Four hundred twenty four (424) public organizations use the TECRIS as of March 2010.
Figure 7.4.1 shows schematic diagram of CORINS and TECRIS in delivering information.
Figure 7.4.1 Construction and Technical Consulting Records Information System
Appendix_7-1-8 provides Brochure of JACIC, including Construction Package Database

System in Japan.
(2) Construction Package Data in Singapore
 Tendering section in each project owner keeps general information on construction

package, when contract is tendered and awarded.
 Project owners have detail information on construction packages, when awarded and
probably when complete.
 Contents of information may vary package by package, so that those are difficult to
compare.
 Public Procurement Agency in MPI keeps general information on construction package,

when contract is tendered and awarded.
 Project owners have detail information on construction packages, when awarded and
probably when complete. The detail information may be delivered to their managements
(decision makers) and state authorities, depending on project owners.
 Contents of information may vary package by package, so that those are difficult to
compare.
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7.4.4 System Development for Construction Package Database
Based on the studies on the foreign practices and current status in Vietnam, new Construction
Package Database System was developed. The followings are the functional and database
requirements recommended for the system;
 Project owner /employer shall submit construction package information in accordance

with items below.
 Package information consists of two data, [basic data] and [technical data], some of which
shall be verified with back-up data to be submitted.
 Package information shall be provided by contractor or by all contractors (in case of joint
venture) to project owner /employer, and then reviewed, supplemented and submitted by
them, within one month after award.
 Package information shall be updated and provided by contractor or by all contractors (in
case of joint venture), to project owner /employer, and then reviewed, supplemented and
submitted by them, when contents in the database change substantially.
 Package information shall be finally revised, confirmed and provided by contractor or all
contractors (in case of joint venture) to project owner /employer, and then reviewed,
supplemented and submitted by them, when project is over.
 Database shall be accessible only from limited organizations (project owner/employer in

public and private works), whereas construction package names are seen in website.
 Basic data consists of the followings; 1) construction package name, 2) type of

construction work, 3) grade of construction work, 4) category of project, 5) location, 6)
investor / employer, 7) design company; 8) supervision company,9)construction
contractor including JV details, and 10) contract brief.
 Technical data consists of the followings; 1) features of construction package, 2) scope of

construction package, 3) special features of construction package, 4) quantity of major
works, 5) staff of contractors (assignment schedule to be enclosed), 6) subcontractors 7)
contract amount (details to be enclosed), 8) detail schedule, 9) detail of land acquisition
and 10) result of performance evaluation at completion, if any.
 Back-up data such as certificate of qualification for assigned staff, contract agreement and
schedule shall be enclosed for verification.
*Appendix_7-1-9: Draft Circular for Construction Package Database System

*Appendix_7-1-10: Note & Format for Construction Package Database System
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7.5 OPERATION AND ROADMAPS FOR CONSTRUCTION COMPANY

REGISTRATION SYSTEM AND CONSTRUCTION PACKAGE DATABASE
SYSTEM
(1) Operation Issues
In regard to operation issues for the systems, the Project recommends the followings, to which
MOC proposes different ones in some extents, shown in Table 7.5.1. Further and detail
discussion on the issues shall be made in MOC.
Table 7.5.1 Operation Issues
Issues Project Recommendations MOC Proposal
1 Verification of Back-up data shall be submitted for Submission of back-up data is under
submitted data important items, such as financial consideration.
statement, professional qualification,
contract agreement and final acceptance.
2 Dissemination of Seminars and workshops to stakeholders Similar to recommendation.
systems shall be held prior to implementation.
3 Application of All public works are to be applied. Similar to recommendation
systems
4 Management 1) CAMD of MOC CAMD together with DOC of PPC shall
organization 2) DOC of PPC manage the system.
3) Others
In case of 2) or 3), overall responsibility
shall still remain to CAMD and training to
them shall be arranged in advance.
5 Data in website Only limited information shall be in All information shall be in website.
website.
Project owners only can access to all data,
which is practice in Japan and Singapore.
6 Fee for application Fee for registration and construction Fee collection is under consideration.
package database system shall be paid by
applicants for maintaining whole systems.
(2) Roadmaps
In accordance with the new Decree 15, there is an article for construction company
registration (CRG) system and no stipulation for construction package database (CPDB)
system. MOC is currently revising the construction law and CPDB is maybe specified in the
new law. Assuming CPDB is incorporated in the law, future roadmap is drawn for both
systems and shown in Table 7.5.2 below.
The map indicates that construction company registration system will be implemented at the
end of year 2013 and construction package database system will be in year 2015.
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Table 7.5.2 Roadmap for Registration System and Construction Package Database
System
2011 20 12 2013 2014 2015
Descrition
I II III IV I II III IV I II III IV I II III IV I II III IV
CRG-1/CPDB CRG-2
1 Set up of Frameworks
CRG-1 / CPDB CRG -2
2 Trials of Systems
CPDB C RG-1/2
3 Design of Computer System
CRG/CPDB
4 Trials of Computer System
5 Decree 209 Issue

CRG
6 Circular for CRG System
7 Implementation of CRG System
8 Further Consideration of CPDB System

CPDB
9 Circular for CPDB System
10 Implementation of CPDB System
7.6 DEVELOPMENT OF CONTRACTOR WORK PERFORMANCE EVALUATION

SYSTEM
The contractor performance evaluation system for Vietnam was developed by studying
overseas practice and the proposed framework. The following sections describe overseas
practices and developed idea for the evaluation system to be applied in Vietnam.
7.6.1 Overseas Practice
In Vietnam, contactor performance has never been evaluated and evaluation result has never
been reflected to PQ examination. Therefore, at first, oversea practices such as Japan, Hong
Kong, Malaysia, and Singapore were introduced in order to show MOC what contractor work
performance evaluation is, which helps MOC understand the contractor performance
evaluation system.
(1) Example of Japan
1) Purpose
The one main purpose of contractor performance evaluation in Japan is to select proper
contractors matching scale and types of construction packages at PQ examination. In order to
select proper contractors, project owners evaluate contractors in terms of work performance in
addition to managerial factors. Also, there is the other purpose that contractors’ awareness
towards quality enhancement is raised by reflecting work performance evaluation to PQ
examination for next bidding. To appropriately execute that, the government (MLIT) enforced
the law and guideline related with work performance evaluation system.
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2) Evaluation Procedure
Work performance evaluation in Japan is conducted in line with the following procedures.
 Project owners designate three evaluators.
 Project owners hold the evaluation meeting with the evaluators and contractor at the end
of construction work.
 The evaluators conduct evaluation in line with “Guideline for Performance Evaluation of
Construction Work”.
 Contractor’s work performance is preserved in the construction package database system

with relevant information regarding the package.
 Contractor’s work performance can be referred in the procedure of next bidding to select
contractors, coupled with other factors such as financial data (capital, annual turnover and
profit) and managerial data (the number of engineer, contractor experience, and
experience of site manager).
3) Evaluation Indexes
The work performance is mainly evaluated in terms of the eight categories with detailed
criteria, by checking documents and completed work sites (see Table 7.6.1). The main
categories to be evaluated consist of organization with manpower, management with schedule
and safety, and quality with parameter, material, and appearance. The auxiliary categories
consist of technical capability, originality, social responsibility, failure to conforming laws
and regulation, and incentive points for value engineering. Thanks to detailed criteria, the
checking points have become clear and this fact has facilitated any evaluator to evaluate the
construction works appropriately and uniformly. Also, since project owners have unique
criteria and weighted points, they can arrange the original score distribution of detailed
criteria to match project owner’s point of view and the character of construction sites.
Appendix_7-2-1 to 7-2-4 provides the Japanese evaluation sheet, which shows further detail
of evaluation indexes.
4) Rating of Contractor’s Work Performance
Principally, five-grade rating with scoring method is used, where the ration of how many
detailed criteria the construction works meet decide the score. For example, if the
construction works meet over 80% or more of the detailed categories in one subcategory; this
subcategory is evaluated as grade ‘a’ which means maximum points are awarded. These detail
criteria are evaluated by evaluators’ check about the contract document, specification, design
drawings and the completed construction site.
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By using the scoring method, one can quantitatively measure the contractor work
performance evaluation and can match easily grades or types of construction works with
contractor’s capability.
Table 7.6.1 Example of Evaluation Index and Score in Japan
No Category Assistant Manager Chief Manager Inspection Manager

1 Organization +4.5 - -
2 Management +6.5 +25 +5
3 Quality +4 - +30
4 Technical Capability +13 - -
5 Originality +7 - -
6 Social Responsibility - +10 -
Failure to conform to laws and - 0 ～ (-20) -
7
regulations
8 Incentive points for value engineering - - -
Basic score +65 +65 +65
Maximum score 100 100 100
5) Evaluators
The project owner shall select three evaluators from project owner’s side and independent
department. One engineer, inspection manager, shall be selected from the independent
department to ensure fairness and transparency of evaluation. 2 engineers, chief supervisor
and assistant supervisor who directly get involved in the construction works shall be selected
from the construction office to evaluate daily work status. Also evaluators don’t need to get
specific qualifications and are selected in terms of knowledge and experiences.
Table 7.6.2 shows the outline of evaluators in Japan.
Table 7.6.2 Outline of Evaluators in Japan
No Evaluator Dep. Org Role Qualification

1 Chief supervisor Construction Office in Project Evaluate the work from daily In-house
charge of construction Owner supervision engineer
site No qualification
2 Assistant supervisor
3 Inspection Manager Quality Control Team Evaluate the work from the
Independent from third party’s standpoint
construction site Ensure fairness and
transparency
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6) Packages to be Evaluated
“The Guideline for Performance Evaluation of Contracted Work” was issued by MLIT on
March 30th, 2001 has explained that Project owners shall principally evaluate construction
packages of more than 5 million yen (approximately US$ 50 thousand) and give the
calculated evaluation score to the contractor.
Appendix_7-2-5 provides this Guideline for Performance Evaluation of Contracted Work.
The left side of the following flow (see Figure 7.6.1) shows the process from bidding notice
to final inspection and the right side show the flow of the database systems related to bidding
procedure. Work performance is evaluated at the final inspection and this evaluation result is
preserved by the project owner for PQ examination of bidding. At the same time, the
contractor registers the evaluation result with other project information on “Construction
Package Database System” which has been managed by the third party organization called
“Japan Construction Information Center” (JACIC).
As for construction company information, construction companies submit the company

information to project owners. Project owners shall preserve the company information by
themselves.
Biding Notice
Construction Company Registration System
[Operated by PO]
Short Listing at PQ
Selection of Contractors for

attending bidding
Construction Package Information Database

Biding System [Operated by JACIC]
Decision of Contractor
Construction
Contractor Performance Evaluation Database
System [Operated by PO]
Final Inspection
Figure 7.6.1 Interrelation between Bidding Process and Systems
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8) Data Utilization
The data on construction package information with evaluation data are used as well as
construction company information by each project owner, in order to grasp the contractor’s
capability and make the shortlist of applicants for PQ examination.
9) Relative Law
MLIT have organized the law and guideline concerned with the contractor performance
evaluation system and applied it to the construction packages nationwide.
Appendix_7-2-6 to 7-2-8 provides the construction act, the action plan, and the guideline
issued by MLIT.
a. Japanese Construction Business Act (issued on May, 2, 2008) specifies;
- Contractors must be examined on managerial criteria when they directly intend to

make a contract with public corporation.
- Contractors must apply for examination of managerial factors to the relevant
ministry-designated authorities.
- Managerial factors must be examined by the relevant ministry- designated authorities.
- The relevant ministry- designated authorities must inform companies of the
examination results.
- The results are available to apply for public works bid.
b. The Action Plan on Reform of Bidding and Contracting Procedures for Public
Works (approved by the Cabinet on January 18, 1994) specifies;
- Selecting trustworthy companies are essential through objective procedures to secure

high quality and efficient public works and increase the benefit for tax payers.
- Project owners shall use the results of managerial factor evaluation conducted in line
with the Construction Business Act, which ensures that all tenderers for public works
are evaluated objectively in terms of their business conditions.
- Technical conditions including past performance of similar works and experienced
and fully qualified engineers are set up at each organization to determine if
companies have an ability to implement contract of works,
c. Guideline for Performance Evaluation of Contracted Work (issued on March, 30,

2001) specifies;
- Evaluation shall be conducted for packages with the contract price of 5 million yen or
over.
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- Evaluation shall be conducted in terms of performance (status of construction, quality

of finished work) and technical level (technical difficulties such as requirements for
particular types of structures, technical characteristics)
- Each evaluator shall independently evaluate the supervisor, the inspection and other
relevant factors for each construction works accurately and fairly.
- Evaluator shall conduct evaluation upon the completion of construction.
(2) Example of Hong Kong
1) Purpose
The purpose of work performance evaluation system in Hong Kong is to provide a ready
indication of contractors’ performance standard for reference by the project office and tender
evaluation. To do that, the governmental organization, “Environment, Transport and Works
Bureau” issued the circular on work performance evaluation system.
Appendix_7-2-9 provides the circular on work performance evaluation sheet in Hong Kong.
After construction work has been completed, the performance is evaluated in terms of the
following eleven categories (Table 7.6.3). The heaviest score of 25 is put on site safety, but
the score appears to be evenly distributed. It means that there is no classification between the
main and auxiliary categories.
Five-grade rating with scoring method is used, where evaluators judge the grades in each
category. For example, if evaluators consider workmanship should fall on “good”, the
maximum sore of 15 multiplied by 0.75, which is 11.25, is awarded to the workmanship
indexes (Table 7.6.3)
Also, [the sum of Contactor’s Score/Sum of Maximum Score] *100 is recognized as the
performance score of the evaluated package, and weighed average of the performance scores
of all the reports during three years is recognized as contractor’s performance rating.
Table 7.6.3 Evaluation Indexes in Hong Kong
No. Asset of Performance Maximum Score

1 Workmanship 15
2 Progress 15
3 Site Safety 25
4 Environmental Pollution Control 15
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No. Asset of Performance Maximum Score

5 Organization 10
6 General Obligations 5
7 Industry Awareness 5
8 Resources 10
9 Design 10
10 Attendance to Emergency 10
11 Attitude to Claims 5
Total 125
Table 7.6.4 Grade and Score

5-Grade of the respective item Contractor’s score
Very good 1.0 x maximum score
Good 0.75 x maximum score
Satisfactory 0.5 x maximum score
Poor 0.25 x maximum score
Very Poor 0
4) Relative Law
Environment, Transport and Works Bureau in the Government of the Hong Kong Special
Administrative region issues “Technical Circular (Works) No.3/2007 (issued on 12 March
2007)” mainly specifies;
 Performance System is compulsory.
 The performance score of a contractor’s performance report is determined by the

percentage of the score attained by the contractors.
 Departments of Environment, Transport and Works Bureau shall be responsible for

uploading all contractors’ reports to the Contractor Management System (CMIS)
(3) Example of Malaysia
1) Purpose
The purpose of work performance evaluation in PLUS (Expressway Operation Company in

Malaysia) is to select proper contractors at next tendering.
Appendix_7-2-10 provides the work performance evaluation indexes in PLUS.
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Work performance evaluation is conducted according to the following procedure by PLUS.
 Project owners designate one evaluator.
 The evaluators conduct evaluation at the end of construction work.
 Contractor’s work performance is scored based on the evaluation sheet.
The work performance is evaluated in terms of the following 7 categories, which are
manpower with professional and general labor, machinery, work program, quality of work,
management, response time and overall. However, the Project was not able to get the detailed
information on how they evaluate performance and mark the scores.
Five-grade rating with scoring method is used, where evaluators judge performance and
decide the score. For example, if the management is extremely bad, 1 point will be awarded.
If the performance far exceeds expectations, 5 points will be awarded.
5) Evaluators
One evaluator will be selected from the headquarters of the project owner side in charge of
the construction works.
(4) Example of Singapore
1) Purpose
The purpose of work performance evaluation system in Singapore is to measure the quality
level achieved in a completed package. To do that, the governmental organization,
CONQUAS (The Construction Quality Assessment System) was designed by the Building
and Construction Authority (BCA) in conjunction with major public sector and various
leading industry professional bodies. CONQUAS has the following three objectives.
 To have a standard quality assessment system for construction packages.
 To make quality assessment objective by measuring constructed works against

workmanship standards and specification and using a sampling approach to suitably
represent the whole package.
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 To enable quality assessment to be carried out systematically within reasonable cost and
time.
Appendix_7-2-11 provides the work performance evaluation system, called “Quality

Assessment System” which shows the further detail of evaluation indexes.
 The evaluator should select the actual locations to be evaluated prior to each evaluation.
Selection of samples shall be based on drawings and location plans. The samples shall be
distributed as uniformly as possible.
 The scoring will be done on the works that are inspected for the first time. Rectification
and correction carried out after the evaluation will not be re-scored. The objective of this
practice is to encourage contractors “doing things right the first time.”
 When the evaluation items do not comply with the corresponding CONQUAS Standards,
it is considered failed.
Evaluation components cover most general aspects of general building works. These consist
of the following three parts.
 Structural works
 Architectural works
 Mechanical & Electrical (M&E) works
Each component is further divided into different items, and the evaluation indexes exclude
works such as piling, heavy foundation and sub-structure works which are heavily equipment-
based, buried, or covered and usually called under separate contracts or sub-contracts.
The building is assessed primarily on workmanship standards through inspection. The

evaluation is done throughout the construction process for structural and M&E works and on
the completed building for architectural works. Apart from site inspection, the evaluation also
includes tests on the materials and the functional performance of selected services and
installations.
The weights are allocated for Structural, Architectural, and M&E works. The weight system,
which is aimed at making CONQUAS score objective in representing the quality of a building,
is a compromise between the cost proportions of the three components in the various
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buildings and their aesthetic consideration. The scoring method with the sum of points
awarded to each component of buildings is applied.
As it is impractical to assess all elements in a building, CONQUAS uses a sampling system

for evaluation. The sampling system, which is based on the gross floor area of the building,
will ensure that the evaluation adequately represents the entire building.
5) Evaluator
Evaluators from BCA undergo a rigorous training program. They are required to attend
BCA’s in-house CONQUAS training and calibration program to ensure competency and
consistency in evaluation.
(5) Comparison between Each Country
Table 7.6.5 shows the comparison evaluation indexes only between Japan and Hong Kong,
because the example of Singapore specializes in building works and also the Project did not
get detailed information on the example of Malaysia. Among 14 categories used in Japan and
Hong Kong, it was found that nine categories are used in both countries.
Table 7.6.5 Comparison List of Evaluation Indexes
No Criteria Japan Hong Kong Singapore
1 Quality X X X
2 Progress X X ---
3 Site Safety X X ---
4 Environmental Pollution Control X X ---
5 Organization X X ---
6 General Obligations X X ---
7 Industry Awareness --- X ---
8 Resources X X ---
9 Design --- X ---
10 Attendance to Emergency X X ---
11 Attitude to Claims X X ---
12 Level of Technical Capability X --- ---
13 Originality X --- ---
14 Value Engineering X --- ---
Table 7.6.6 shows the comparison among three countries, Japan, Hong Kong, and Singapore
on essential items of the evaluation system. The most characteristic points are that the system
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in Singapore is applied only for Building packages and not used for tender evaluation. This is
because Japan and Hong Kong uses a variety of evaluation indexes compared to Singapore
where they evaluate only quality. Since the system in Japan and Hong Kong have the purpose
of selection of the contractor, these evaluation methods are more suitable for Vietnam where
they have the same purpose.
Table 7.6.6 Comparison among Three Countries, Japan, Hong Kong, and Singapore
No System Items Japan Hong Kong Singapore

1 Organizer PO PO PO
2 Entities to be evaluated Contractor Contractor Contractor
3 Applied Project Investment with Over Construction Building
5 million yen
($60 thousand )
4 Purpose Selection of Contractor Selection of Contractor Benchmark of
workmanship
5 Evaluators PMU (Representative, No information BCA assessor
Quality Control Dep.)
6 Timing of implementation After completion of After completion of After completion of
construction works construction works construction works
7 Evaluation index Resource Resource Workmanship
Management Management
Quality Quality
8 Evaluation Technique Scoring Method Scoring Method Scoring Method
with 5 grades with 5 grades on each standard-based
9 Data Management PO ETWB (Gov. Bureau) BCA (Gov. Authority)
7.6.2 System Development for Contractor Work Performance Evaluation in Vietnam
(1) MOC’s Role
MOC shall officially establish contractor performance evaluation system to select the proper
contractor. At the same time MOC shall officially arrange the appropriate bidding
environment where appropriate information on construction companies and construction
packages with evaluation results are provided to project owners. The effective systems shall
be considered and established by MOC.
(2) Information Database System for PQ
Since there have been many construction companies and many construction packages, these
information needs to be managed systematically and efficiently provided to the project
owners. Therefore, MOC who has responsibility for construction works nationwide needs to
establish the efficient information provision system. The Project agreed that the following
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three information database systems shall be introduced nationwide, and managed by MOC.
The outlines of these systems are as follows.
1) Construction Company Registration System (refer to Section 0 and 7.3 )
Builds up database for information (financial and technical data) on construction companies
2) Construction Package Database System (refer to Section 7.4)
Builds up database for information (contract amount / term / package type) on completed
construction packages
3) Contractor Performance Evaluation System
Build up database for information on work performance of construction package evaluated

in terms of construction resource / management / quality
Here in this Activity 3.2, the Project is focusing on the Contractor Performance Evaluation
System. Therefore, the following sections specialize on Contractor Performance Evaluation
System.
(3) Contractor Performance Evaluation System
This system will build up the database for information on work performance of construction
package which is evaluated in terms of contractor’s abilities. Only if their works are accepted,
the discrepancy among contractor’s capability will not be measured and project owners
cannot select the proper contractors and rank the contractors in the future. It is meaningful
that project owners evaluate contractor’s completed works.
(4) Purpose
If project owners apply work performance evaluation system, they are able to accomplish the
following two primary purposes.
1) Select Capable Contractors at PQ examination
Selection of proper and capable contractors matching construction work scale and type
enables contractors to work efficiently and construct the structure with better quality.
Although in current PQ examination of Vietnam, financial factors such as capital, turnover

and profit and managerial factors such as the number of qualified engineers and the past
experiences are evaluated to select contractors, these factors do not express contractors’
practical construction capability. If project owners incorporate the data of contractor work
performance evaluation into these previous data, more capable contractors will be selected at
PQ examination.
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2) Raise Contractors’ Awareness to Quality Enhancement
Work performance evaluation encourages contractors to raise contractors’ awareness towards

quality enhancement, by improving their working activities in order to take advantage of PQ
for next bidding. This fact makes contractors always conscious about evaluation indexes
during daily construction procedure. As a result, they are expected to assign capable site
managers and labor forces, reduce accidents, and keep structure in high quality.
(5) Advantage
For supervising authority (SA) and project owners, the following advantages are expected to
be produced by contractor performance evaluation system.
 Evaluation system facilitates project owners to select contractors at PQ examination,

leading saving.
 Selecting the capable contractors causes higher structure quality and maintenance cost is
reduced.
 Accumulation of evaluation data is utilized for the ranking of construction companies in

the future.
Also, for the contractors, the following advantages will be expected to be produced.
 Since contractors are fairly evaluated at PQ, they will acquire the construction works
matching their capabilities.
 Contractors will increase their capabilities by using evaluation standard and then
understanding the important points during construction works.
(6) Verification
In Japanese case, MLIT conducted the study on verification of evaluation tendering method.
In FY 2005, the Quality Assurance Act was enforced and full implementation of the
evaluation method started. Along with the introduction and spread of evaluation, work
performance evaluation scores are becoming higher from year to year, which indicates the
possibility of this evaluation method being related to an improvement of quality because of
excluding incompetent contractors and improving contractors’ awareness. It was reported that
73.2 points of average score for FY 2005 on all types of construction works managed by
MLIT has increased by 2.3 pints to 75.5 points for FY 2010.
(7) Evaluation Procedure
As a result of discussion with C/P, the Project agreed that the evaluation procedure in
Vietnam was as follows. The major procedure is as follows.
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 Project owners designate three evaluators immediately after acceptance by project owners
and inspection by supervising authorities.
 Project owners hold the evaluation meeting. The designated evaluators and the contractor
compulsorily participate in the evaluation meeting.
 Contractor’s work performance is scored by evaluators.
 Project owners input and preserve the evaluation data on "Contractor Performance
Evaluation System”.
 Project owners register the evaluation data on "Construction Package Database System"
with relevant information regarding the package
 The evaluation data can be referred in the PQ examination to select contractors coupled
with other factors such as financial data (capital, annual turnover and profit) and
managerial data (the number of engineer, experience of contractors, and experience of site
manager).
Figure 7.6.2 shows the process of evaluation data which is made at final inspection,
registered on construction package database system and used for selecting contractors at the
PQ examination.
Construction
Evaluation at Final
DATA Package DATA PQ
Inspection
System
Figure 7.6.2 Flow of Evaluation
(8) Evaluation Indexes
1) Category and Subcategory
Since any construction work requires the components such as sufficient finance, capable staff,
machinery to meet the required specification, and management skill to bring success in
completion of projects, these components need to be examined when the Project want to
know how the contractor implemented the project. As a matter of fact, quality of completed
structure should be evaluated as one of key factors to know the contractor’s ability. Here the
Project clarified these components into three categories, construction resources such finance,
manpower, and machinery, and construction management (schedule, safety) and quality. Then,
each category was broken into detail.
The following comments show the result of discussion with C/P about the necessity of each
subcategory for the work performance evaluation.
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a. Resources
 Financial status
Finance status, which contains capital, turnover and profit, is evaluated in the tendering
documents at PQ examination. Therefore, it is concluded that finance is not necessary as a
component of work performance evaluation.
 Manpower ability
The practical ability of manpower, which contains site manager, technical manager and
workers, cannot be evaluated in the tendering documents of PQ examination. Since their
abilities seriously affect the result of work performance, it is concluded to evaluate them
after completion of the construction works.
 Machinery performance
The number, performance, and allocation of machinery are evaluated in “Request for
Proposal” in the tendering document. Since MOC points out that large discrepancy of the
number and performance of machinery between “Request for Proposal” and the actual
construction site often can be seen, it is concluded that machinery is one of necessary
components for work performance evaluation. However, project owners have to pay
attention to that the machinery plan written in “Request for Proposal” is not compulsory
for the contractor to implement the construction works. If the contractor can implement
the construction works based on the proper machinery plan, the point will not be deducted.
b. Management ability
The practical ability of construction management, which contains processes of general

procedure, schedule and safety, is not evaluated in the tendering documents of PQ
examination. Since the management ability seriously affects the result of work
performance, it is concluded to evaluate them after completion of the construction works.
c. Quality control ability
The practical ability to control quality, which contains parameter, quality of material, and
appearance of structure and schedule and safety is not evaluated in the tendering
documents of PQ examination. Since the quality control ability seriously affects the result
of work performance, it is concluded to evaluate them after completion of the
construction works.
In addition to such primary categories, projects can be seen from other viewpoints. The
following components are raised as additional based on overseas practice.
- Advanced technical skill (supporting organization for more complex structure,

construction under severer conditions of nature)
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- Originality (improvement on housing environment for workers)

- Social responsibility (cleaning activity at neighboring areas, construction site tour for
neighboring residents)
Japan has adopted additional categories because most contractors who can join the state-
funded projects have already the capability to complete construction works at the level to
meet the standard in the basic evaluation indexes (manpower, management, quality). If
they want to see the visible difference between contractors, such additional categories
should be evaluated. On the other hand, these additional ones have not been evaluated in
Malaysia that is still a developing country. The Project agreed that in Vietnam, additional
categories are not to be evaluated as the first step. In the near future, when contractors’
capability improves and most of contractors can complete the construction at the level to
meet the standard in the evaluation indexes, these categories should be applied.
2) Standards
The key point is to make appropriate standards to prevent one-sided evaluation and guide
evaluators to fairly evaluate work performance. As a result of the discussion with C/P, the
Project agreed that the following supporting items and standards were built up in each
category (see Table 7.6.7). These standards were selected in terms of evaluating necessary
abilities for general construction works under the Vietnam current construction system.
Although checking points of resources and management abilities are common in any type of
construction packages, quality control abilities are different between each type of construction
works. At this moment, the Project agreed that the standards are made for only category of
quality corresponding with road, bridge, hydropower, and building that are supposed to be
selected as trial packages, because it is impossible to make the quality standards for all types
of construction works during the JICA Project.
From this time forward, it is important that MOC shall collaborate with other supervising
ministries to compile the evaluation indexes for all type of construction works.
Table 7.6.7 List of Supporting Items and Standards

Category Subcategory Supporting Items/ Standard
Construction Site manager  Understanding, Management, Communication
resources Technical staff  Understanding, Management
Skilled Worker  Quantity, Quality
Machinery  Performance
 Comparison with Request for Proposal, Method Statement,
Actual site
Management General  Procedure
 Task allocation
 Dossiers
 Approval on method statement
 Environment
 Cleaning on the site
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Category Subcategory Supporting Items/ Standard

 Contribution to local community
Schedule  Procedure
 Method statement
 Control
 Delay, Period
 Complaint
 Staff holiday
 Challenging situation
Safety  Procedure
 Method statement
 Temporary structure
 Control
 Preventive measure
 Dangerous behavior
 Patrol
 Safety Patrol
 Improvement on dangerous spot
 Inspection
 Temporary structure
 Training
 Accident
 Injured worker, dead worker
Quality Parameter  Inspection
 Size, Position
 Record
 Hidden Part
 Direction
 Repair in writing
Quality  Inspection
 Quality (Set-up for each type of structure)
 Direction
 Repair in writing
Workmanship  Appearance (Set-up for each type of structure)
3) Scoring Method
As a result of discussion with C/P, the Project agreed that three-grade rating with scoring
method was used, where evaluators were able to judge each standard and mark the score of it.
Although five-grade rating with scoring method is used in Japan, Hong Kong, and Malaysia,
it is concluded that three-grade rating is more suitable than five-grade, because the standard
was broken down into detail and had each score so that the points to be revised was made
clear.
Three evaluators mark the sore in accordance with the evaluation sheet. Then, the sum of
three scores is calculated again on the scale of 100 marks. It is regarded as the final score of
the contractor’s construction package awarded by the project owner.
4) Weighing Factor
Based on the discussion with C/P, it is concluded that every category should be improved but
at this moment, quality control abilities should be directly paid attention to than other
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categories. Resources and management cannot be improved promptly since it takes long time
to train the capable managers and change settled management system. On the other hand,
quality control abilities can be improved by conducting inspection and maintenance
appropriately, and the contractor can use these improved abilities as soon as possible one next
construction package.
Therefore, 50% ratio was allocated to the category of quality, and the remaining 50% was
allocated to resources (25%) and management (25%). As a reference to weighing factors, the
Project shows other countries’ weighing factors at Table 7.6.8. It turned out that each country
has an original weighing factor and it is considered that each country is under the situation
where the points to be improved on contractors are different.
Table 7.6.8 Comparison List of Weighing Factor
Country Resources Management Quality Others

Japan 5 40 35 20
Hong Kong 20 60 10 10
Malaysia 25 40 10 25
Vietnam 15 35 50 0
5) Evaluator
According to Article 24 of Decree 15, project owners shall select eligible contractors, check
the actual capacities of contractors, conditions for the commencement of construction
facilities, the construction process, methods, materials, and equipment.
Therefore, project owners are the most suitable personnel to evaluate contractors’ capability
because project owners supervise whole construction works and they are the entities that shall
use the results of work performance evaluation to select eligible contractors.
At the same time, the Project needs to consider how transparency and fairness are secured,
because the evaluation shall be reflected to the tendering for state-funded construction
packages. One way to secure them is that the personnel shall be selected from independent
organization which does not directly contact with the contractor during construction works.
The Project agreed that suitable evaluators were selected from the two sides, the project
owner and independent sides.
a. Project Owner
The Project agreed that one representative from project manager or project management unit
(PMC) or project management consultant (PMC) in charge of construction works and one
representative of supervising consultants (SC) in charge of the construction site are selected
as evaluators of the project owner side based on the following reasons.
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 Project owners are supposed to employ PMC or PMU who manages whole tasks from
schedule, quality to safety management in construction works, in case project owners
don’t have capability to directly manage construction works according to Decree12. Thus
PMU or PMC personnel become the appropriate evaluator in term of their obligation at
the construction site.
 Project owners are supposed to employ SC to conduct quality inspection and safety
management day by day according to Article 24 of Decree 15, which tells that SC shall
prepare the organizational structure, work plan with responsibilities and tasks, quality
control plan. Thus, SC personnel becomes the appropriate evaluator in terms of
familiarity with the events on the construction sites regarding both management and
engineering,
b. Independent Organization
The Project agreed that the official from State Authority (SA) is selected by the project owner
as one evaluator of the independent side bases on the following reasons.
 The official of SA does not directly contact with the contactor to secure fairness and
transparency of evaluation
In addition to this reason, it is more preferable for the evaluator to know the knowledge of the
construction packages.
 The official of SA who takes a responsibility for design appraisal and inspection
according to Article 21 and 32 of Decree 15 is under the advantageous environment
where they get information under their jurisdiction. Thus they have the knowledge of
construction projects enough to evaluate them.
According to Article 41 of Decree 15, supervising authorities related to 4 ministries such as

MOC, MOT, MOARD, and MOIT have their quality control divisions and they have been
deployed to take responsibilities for construction packages in their administrative area.
Thus as for these 4 Ministries, the Project proposes that the officials from quality control
divisions who take a responsibility for design appraisal and inspection are selected as
evaluators.
As for other ministries, they don’t have the professional quality control divisions and then at
this moment MOC and DOC take responsibilities for design appraisal and inspection of their
construction projects according to Article 21 and 32 in Decree 15. Considering this situation,
the evaluator as SA shall be assigned from MOC and DOC who is in charge of design
appraisal and inspection. The following table (Table 7.6.9) shows the proposed deployment
of evaluators.
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Table 7.6.9 Deployment of Evaluator
No Grade SA Evaluator
PO/PMU SC SA
1 S, I MOC/ MOT/ PO representative Chief SC  Quality Control Division in
MOARD /MOIT in charge of MOC/MOT/MOARD/MOIT
construction works  In charge of design appraisal and
or inspection
2 II DOC/DOT/ PMU representative  Quality Control Division
DOARD/DOIT  In DOC/DOT/DOARD/DOIT in
charge of design appraisal and
inspection
3 S, I Other Ministries  SACQI (*1) in MOC
 In charge of design appraisal and
inspection
4 II Department  Quality Control Division in DOC (*1)
under  In charge of design appraisal and
Other Ministries inspection
(*1) in the case of No. 3&4, the official of quality control divisions under MOC and DOC is supposed to be
assigned as one evaluator for the projects under other Ministries. The Project proposes that the process for other
Ministries to assign the official of MOC should be permitted by both Ministries and the coordination system should
be organized under new Circular.
(9) Guideline for Contractor Performance Evaluation System

Guideline for contractor performance evaluation system is provided hereinafter.
1) Purpose
This guideline specifies the provisions regarding contractor performance evaluation

(hereinafter referred to as Evaluation) for construction packages owned by project owners. It
aims to ensure fair and transparent evaluation, and to facilitate an appropriate appointment of
contractors at prequalification examination of tendering and raising contractors’ awareness
towards quality enhancement.
Besides, project owners with private construction packages evaluation shall be encouraged to
be conducted for the principal contractors at the end of construction works who made the
contract of private construction packages.
2) Applied Projects
Evaluation shall be conducted for the principal contractors at the end of construction works
who made the contract of state-funded construction projects with grade Special, I and II
specified in Circular 33. It is not required to evaluate the contractors who transferred all jobs
to sub-contractors or delegated all jobs to other contractors before completion of construction
works.
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3) Contents of Evaluation
Evaluation shall be conducted in terms of contractor’s abilities regarding the following three
contents throughout the construction process and on the completed construction works.
(1) Construction Resources indicating manpower and machinery
(2) Construction Management indicating schedule and safety
(3) Quality Control indicating parameter, quality and workmanship
The project owner shall utilize “Work Performance Evaluation Sheet” corresponding with the
project type attached behind this guideline.
4) Evaluator and Evaluation Standpoint
Evaluation stated in Article 3 shall be conducted by the following persons (hereinafter

referred to as Evaluator). Two persons shall be assigned from project owner’s standpoint and
one person shall be assigned as follows:
(1) Project Owner Side
One project owner’s representative in appropriate position who takes a responsibility for
the construction package shall be assigned. Project owner’s representative, Director of
PMU or PMC is expected to be the most suitable evaluator.
One supervising consultant’s representative who takes a responsibility for construction

works shall be assigned. For example, chief supervising consultant is expected to be the
most suitable evaluator.
(2) Independent Organization Side
One official of supervising authority who takes a responsibility for design appraisal and
inspection over acceptance of POs specified in Article 20 and 32 of new Decree 15 and
have at least seven year experiences in quality control department of construction works
shall be assigned.
Ministries other than four Ministries such as MOC, MOT, MARD, and MOIT have not
established their own construction quality department yet. Therefore, they shall assign the
official of MOC or DOC, who takes a responsibility for design appraisal and inspection,
as the evaluator of supervising authority.
However, this may not be the case that project owners accept another person as a suitable
evaluator since the person’s ability is comparable with the person as describe in preceding (1)
and (2).
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5) Evaluation Method
(1) Each evaluator shall independently evaluate the relevant categories for each construction
work accurately and fairly.
(2) Project owners shall set up the evaluation meeting, call for the organizations concerned of
evaluators and the site manager of the contractor, and inform schedule and the meeting
place of them immediately after project owners accepted work completion.
(3) During the evaluation meeting, evaluators shall select samples of construction works to
be evaluated in order to enable evaluation to be carried out within reasonable cost and
time, and check the dossiers and the completed construction site of selected samples. The
samples shall be selected as uniformly as possible throughout the whole construction
works. When evaluators are not able to determine the score of standards only from the
dossiers provided and the construction site, evaluators are able to ask any question to
other evaluators and the contractor.
(4) Evaluators shall utilize the work performance evaluation sheet as prescribed in this
guideline and evaluate their allocated standards prescribed in this evaluation sheet. At the
same time, evaluators shall pick up the standards out of the category of “quality” related
to the construction works implemented based on the contract.
(5) Project owners may design the weight ratio of each construction work among the
category of “quality” based on the ratio among the final contract amount of each
construction work.
(6) If it is required to revise the work evaluation sheet prescribed in this guideline due to
special features of construction works, project owners may add or eliminate standards to
this original evaluation sheet in the guideline and also arrange the score distribution. In
cases where any revision was made as described in the preceding sentence, project
owners shall promptly inform the contractor of this revision.
(7) The scoring with 3-grades for every standard of the evaluation sheet shall be done on the
works that are evaluated for the first time. Rectification and correction carried out after
the evaluation should not be re-scored.
(8) Project owners shall average the scores given by two sides, the project owner and the
independent organization side. This average score on the scale of 100 full marks shall be
recognized as the final score decided by project owners.
6) Timing of Evaluation
Project owners shall conduct the evaluation at the same time as the inspection specified in
Article 32 of Decree 15.
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(1) The evaluation data shall be registered on “Contractor Performance Evaluation System"
and preserved by project owners.
(2) The evaluation data with other related package information will be linked with
“Construction Package Database System”.
8) Notice of Evaluation Results
Project owners shall promptly notify the evaluation results to the contractors who undertook
the evaluated work upon the receipt of evaluation results from evaluators.
9) Request for Explanation
(1) Contractors who have been notified of the evaluation results may request its explanation
in writing from the project owner within 14 days (holidays included) from the receipt of
the notification.
(2) If explanation was requested as prescribed in (1) above, the project owners shall provide
the explanation to the contractor in writing as prescribed in the previous paragraph.
10) Payment
Project owners shall pay transportation expense and allowance of evaluators, amount of
which can be decided by project owners.
The detail of Main Evaluation sheet is shown in Table 7.6.10 and appendixes from 1 to 4 are
shown in Table 7.6.11, Table 7.6.12, Table 7.6.13 and Table 7.6.14 in turn. Depending on
the work type to be evaluated, suitable appendix shall be used.
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Table 7.6.10 Work Performance Evaluation Sheet
PACKAGE INFORMATION EVALUATION INFORMATION EVALUATOR INFORMATION
PACKAGE NAME: EVALUATION DATE &TIME: NAME

LOCATION: PLACE for EVALUATION MEETING: JOB TITLE:
PROJECT OWNER: CONTRATOR NAME: TELEPHONE:
CONTRATOR NAME: REPRESENTATIVE OF PROJECT OWNER: EMAIL:
SUPERVISING AUTHORITY DEPARTMENT: EVALUATOR [name]: COMPANY NAME:
CONTRACT TERM: EVALUATOR [company]: ADDRESS:
BID AMOUNT: REPRESENTATIVE OF SUPERVISING CONSULTANT: SIGNATURE:
FINAL AMOUNT: EVALUATOR [name]:
SOURCE of FUNDING: EVALUATOR [company]:
SITE MANAGER: REPRESENTATIVE OF SUPERVISING AUTHORITY DEPARMENT:
CONSTRUCTION TYPE: EVALUATOR [name]:
COSNTRUCTION GRADE: EVALUATOR [company]: DATE & TIME:

Category Subcategory Supporting Items Standard Evaluators
Score
No Remarks
Input <3 steps> PMC
Category Full Score Subcategory Full Score Supporting Items Full Score Standard Full SC SA
Score /PMU
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The site manager accurately understood the contract, technical

Understanding 2 1
specification, shop drawing, legal regulation.
2 2 1 0 ○ ○
The site manager assigned a section manager and technical staff in each
Site Manager 6
Management 2 2
subcontractor’s site to oversee the site.
2 2 1 0 ○ ○
Construction Resources
The site manager communicated with a project owner according to

Communication 2 3 contract term; request, record of the meeting, construction diary, 2 2 1 0 ○ ○
acceptance form, technical advice.
The technical staff understood, technical issues, the technical
Understanding 2 4 specification, shop drawing and method statement, which has been 2 2 1 0 ○ ○
Technical reflected in the project implementation.
3
Staff
15 Management 1 5
The technical staff provided proper technical instructions to keep close
control of the subcontractor.
1 1 0.5 0 ○ ○
Quantity 2 6 The number of skilled worker on the site met the request for proposal. 2 2 1 0 ○ ○
Skilled Worker 3
The skilled workers dealt with the materials and equipments on the site
Quality 1 7
appropriately.
1 1 0.5 0 ○ ○
There was no trouble with the machinery because machinery with

8 sufficient performance, quality, quantity according to the request for 2 2 1 0 ○ ○
proposal was brought to accurately carry out the construction work.
Machinery 3 Performance 3
There was no trouble with the machinery caused by the method
9
statement on the machinery.
1 1 0.5 0 ○ ○
Contractor Performance Evaluation Sheet
Score
No Remarks
Input <3 steps> PMC
Score /PMU
The scope of task allocation and responsibility of staffs became clear in
10 the method statement. The organization chart of skilled workers was 1 1 0.5 0 ○ ○
reported to the project owner.
Procedure 3 Dossiers were appropriately recorded and submitted to the project

11
owner based on the contract.
1 1 0.5 0 ○ ○
General 5 The work plan was approved by the consultant before construction
12
work.
1 1 0.5 0 ○ ○

13 The construction site was kept tidy and neat every day. 1 1 0.5 0 ○ ○
2
Management (1/2)
Environment The contractor participated actively in local volunteer activities (e.g..

14 picking up trash, cleaning, road surface) to contribute to relationship local 1 1 0.5 0 ○ ○
communities.
7-71
15 The method statement on schedule was submitted to the project owner. 3 3 1.5 0 ○ ○
Procedure 6
35 16 Weekly and monthly schedule were submitted to the project owner. 3 3 1.5 0 ○ ○
The project was completed on time within the contract term without any
17
delay by the contractor's responsibility.
5 5 -7.5 -20 ○ ○
Schedule 20
18 The construction period has been shortened by making the new proposal. 3 3 1.5 0 ○ ○
The contractor communicated closely with local communities and dealt

Control 14 19
with any complaint for a smooth implementation of the project.
2 2 1 0 ○ ○
The contractor secured appropriatel staff holidays and recirded in

20
writing.
2 2 1 0 ○ ○
Although contractors experienced challenging situations like natural

21 disasters which seemed to affect the whole schedule, the contractor was 2 2 1 0 ○ ○
able to complete works ahead of time.
Score
No Remarks
Input <3 steps> PMC
Score /PMU
22 The statement method on the location of guard was archived. 2 2 1 0 ○ ○

Procedure 3
the shop drawing of the temporary structure (scaffolding and support
23
structures) were accepted by the project owner.
1 1 0.5 0 ○ ○
1 24 The appropriate preventive measures were taken against potential risks. 1 2 1 0 ○ ○

Control
Management (2/2)
There was no dangerous behavior against the labor safety law on the
1 25
site (no protector of helmet, safety clothes, unsafely driving).
1 2 1 0 ○ ○
26 Safety patrol was regularly implemented. ○ ○

7-72
1 1 0.5 0
Safety 10
Patrol 3 27 The results of safety patrol was always recorded and stored in the site. 1 1 0.5 0 ○ ○
The dangerous spot pointed out by the safety patrol was immediately
28
improved
1 1 0.5 0 ○ ○
The temporary structure (scaffolding and support structures) was

Inspection 1 29
inspected after they were assembled.
1 1 0.5 0 ○ ○
Safety training program was implemented for all workers in a timely

Training 1 30
manner.
1 1 0.5 0 ○ ○
0 31 There happened at least one injured worker during contract term. 0 0 -2.5 -5 ○ ○
Accident
0 32 There happened at least one dead worker during contract term. 0 0 -5 -10 ○ ○
Score
No Remarks
Input <3 steps> PMC
Score /PMU
The size of completed parts ranged within tolerance specified in the

2 33
specification.
2 2 1 0 ○ ○
The position of completed works was set up within torelance specified in

2 34
the specification.
2 2 1 0 ○ ○
Inspection
Quality
Results of the measurements of completed part of work were

Parameter 10 2 35
appropriately archived.
2 2 1 0 ○ ○
50

the measurement of hidden parts of work were properly archived with
2 36
photos.
2 2 1 0 ○ ○
No directions for the contractor to repair defect was issued in writing.
Direction 2 37 2 2 1 0 ○ ○
7-73
Inspection/ Input final score

Quality 40
Direction
40 38 Refer to appendix in each type of works 40
of the appendix
○ ○
Total 100 100 100 38 100
NOTES:
* The evaluator shall independently evaluate the standard above.
* The evaluator shall choose the appropriate score for the evaluated works following the standard between 3 values.
* The total score is automatically calculated when the evaluator completes marking the score of each standard.
Table 7.6.11 Appendix 1 of Work Performance Evaluation Sheet for Quality Section of Road Project
PACKAGE NAME EVALUATION DATE &TIME: NAME

LOCATION PLACE for EVALUATION MEETING: JOB TITLE:
PROJECT OWNER CONTRATOR NAME: TELEPHONE:
CONTRATOR NAME REPRESENTATIVE OF PROJECT OWNER: EMAIL:
SUPERVISING AUTHORITY DEPARTMENT EVALUATOR [name]: COMPANY NAME:
CONTRACT TERM EVALUATOR [company]: ADDRESS:
BID AMOUNT REPRESENTATIVE OF SUPERVISING CONSULTANT: SIGNATURE:
FINAL AMOUNT EVALUATOR [name]:
SOURCE of FUNDING EVALUATOR [company]:
SITE MANAGER REPRESENTATIVE OF SUPERVISING AUTHORITY DEPARMENT:
CONSTRUCTION TYPE EVALUATOR [name]:
COSNTRUCTION GRADE EVALUATOR [company]: DATE & TIME:

NOTE: * Weight = 40 / the total score evaluated roundoff to one dicimal place
The final score of quality is the total input score multiplied by the weight.
Category Subcategory Supporting Items Standard
Score
Weight Supporting No Input Remark of Evaluators
Category Full Score Subcategory Full Score Full Score Standard Full <3 steps>
(*) Items Score
7-74
Concrete or steel used for materials was confirmed appropriate according to the
1 4 4 2 0
specification.
Quality [Piling]
Depth of excavation, volume of removed soil, change in water level was kept within
2 4 4 2 0
the appropriate range written in the specification.
Inspection 16
20 1 Quality 20 3 Welding work was complied with the specifications. 4 4 2 0
4 Drain work was complied with the specification. 4 4 2 0
Direction 4 5 No directions for the contractor to repair defect was issued in writing. 4 4 2 0
APPENDIX 1: Evaluation Sheet for Quality Section of Road project (Attached with Contractor Performance Evaluation Sheet)
Score
(*) Items Score
1 No directions for the contractor to repair defect was issued in writing. 1 1 0.5 0
2 Appropriate surface protection was implemented according to the specification 1 1 0.5 0
Inspection 5 3 The soil was excavated or heaped up were complied with the specification. 1 1 0.5 0
Quality 6
Quality [Earthwork]
4 Appropriate compaction and shaping on slope were done in a appropriate timing. 1 1 0.5 0

5 Gradient of cut slope and embankment were complied with the specification. 1 1 0.5 0
10 1
Direction 1 6 No directions for the contractor to repair defect was issued in writing. 1 1 0.5 0
7-75
7 Surface had a smooth and fine finish. 1 1 0.5 0
Slop surface looks smooth with a surface protection such as a consistant vegetation
8 1 1 0.5 0
and concrete sprayed surface.
Workmanship 4 Appearance 4
9 Joints and edges of structures had a smooth and fine finish. 1 1 0.5 0
10 It had an excellent overall appearance. 1 1 0.5 0

Score
(*) Items Score
Testing of concrete mix formula was carried out, followed by trial mixing, as specified
1 1 1 0.5 0
by the shop drawings and specifications.
The strength, slump, and amount of air in concrete were checked and the results
2 1 1 0.5 0
were confirmed appropriate.
Transportation time, concrete casting speed, drop height of concrete mix, type of
3 vibrating compactor, and curing method were verified to meet the construction 1 1 0.5 0
requirements and weather conditions.

When removing formworks, it was ensured that the concrete had already set and
4 1 1 0.5 0
gained sufficient strength
Inspection 9
5 Mill sheet of rebars were confirmed upon inspection. 1 1 0.5 0
Quality [Reinforced concrete]
Quality 10
6 Tensile strength and bending strength of rebar were tested. 1 1 0.5 0

7-76
7 Welding work of rebar was carried out according to the specification. 1 1 0.5 0
15 1 8
Spacer bars were arranged into proper locations with sufficient thickness of concrete
covering.
1 1 0.5 0
9 Appropriate process was made for concrete joints. 1 1 0.5 0
Direction 1 0 10 No directions for the contractor to repair defect was issued in writing. 1 1 0.5 0
11 Concrete surface had a smooth and fine finish. 1 1 0.5 0
12 Joints and edges of concrete had a smooth and fine finish. 1 1 0.5 0
Workmanship 5 Appearance 5 13 structures of concrete were aligned neatly in a straight line. 1 1 0.5 0
14 There was no crack or water leakage in concrete structures 1 1 0.5 0

Score
(*) Items Score
1 1 1 0.5 0
by the drawings and specifications.
2 1 1 0.5 0
were confirmed appropriate.
Transportation time, concrete casting speed, drop height of concrete ix, type of
When removing formworks, it was ensured that the concrete had already set and

4 1 1 0.5 0
gained sufficient strength
Inspection 9 5 Mill sheet of rebars were confirmed upon inspection. 1 1 0.5 0

Quality [Prestressed Concrete]
Quality 10

7-77
15 1 8 Tensioning and grouting was properly implemented according to the specification. 1 1 0.5 0
9 Sheaths and grout hoses and anchorages were positioned appropriately. 1 1 0.5 0
Direction 1 0 10 No directions for the contractor to repair defect were issued in writing. 1 1 0.5 0
Workmanship 5 Appearance 5 13 Structures of concrete were aligned neatly in a straight line. 1 1 0.5 0
14 Surface of concrete slab was flat. 1 1 0.5 0

Score
(*) Items Score
1 Correct type of steel materials was used according to the specification. 1 1 0.5 0
2 Mill sheet of steel was confirmed before steel was used. 1 1 0.5 0
3 The measure for prevention of corrosion was implemented. 1 1 0.5 0
4 Welding work was carried out according to the specification. 1 1 0.5 0

Inspection 9 5 Tightness of bolts was checked and its record has been properly kept. 1 1 0.5 0
Quality 10
6 Bolt tension and measuring devices were correctly calibrated. 1 1 0.5 0
7-78
Quality [Steel]
The type, size and number of bolts and washers met the specification and shop
7 1 1 0.5 0
drawing.
15 1 8 Material of the painting or proactive layer was used according to the specification. 1 1 0.5 0
Painting was done in a good work environment according to the material

9 1 1 0.5 0
specification.
Electrical generator had sufficient electrical power output according to the

11 1 1 0.5 0
specification.
12 Steel surface was flat. 1 1 0.5 0
Workmanship 5 Appearance 5 13 Paint work was smooth and consistent. 1 1 0.5 0
14 Welding work was smooth and consistent. 1 1 0.5 0

Score
(*) Items Score
1 CBR value of roadbed was reviewed or measured. 1 1 0.5 0
Compound of materials such as ratio of water and cement content, and volume of
2 1 1 0.5 0
cement was archived.
3 Compaction of roadbed was done according to the specification. 1 1 0.5 0
4 Process on pavement joints was made according to the specifications 1 1 0.5 0

Inspection 9 5 Proof rolling of roadbed was done to detect and rectify defects 1 1 0.5 0
Quality [Asphalt pavement]
Quality 10 Trial mixing was conducted to verify that the asphalt mixture complied with the
design specifications
6 1 1 0.5 0
7-79
Temperature of mixture was strictly controlled (checked upon the dispatch from the
7 1 1 0.5 0
plant, arrival at the site, start of paving work)
Appropriate methods of paving and delivering mixture have been selected

15 1 8
considering weather conditions of the site
1 1 0.5 0
9 Bitumen was added as prescribed in the specification. 1 1 0.5 0
Direction 1 10 No directions for the contractor to repair defect were issued in writing. 1 1 0.5 0
11 Pavement surface was consistently flat. 1 1 0.5 0
12 Transition from pavement to structures was smooth. 1 1 0.5 0
Workmanship 5 Appearance 5 13 Thorough work was done on the end treatment of pavement. 1 1 0.5 0
14 Water was smoothly drained to the gutter and basin. 1 1 0.5 0
15 It has an excellent overall appearance 1 1 0.5 0

Score
(*) Items Score
Compound of materials such as ratio of water and cement content, and volume of
2 1 1 0.5 0
cement was archived.
4 1 1 0.5 0
by the drawings and specifications.
5 1 1 0.5 0
Inspection 9 were confirmed appropriate.

Quality [Concrete pavement]
Quality 10 Transportation time, concrete casting speed, drop height of concrete ix, type of

7-80
15 1 8 Tensile strength and bending strength of rebar were tested. 1 1 0.5 0
Workmanship 5 Appearance 5 13 Thorough work was done on the end treatment of pavement. 1 1 0.5 0

Table 7.6.12 Appendix 2 of Work Performance Evaluation Sheet for Quality Section of Bridge Project
PACKAGE NAME EVALUATION DATE &TIME: NAM

E


7-81

Score
No Remark of Evaluators
<3 steps>
Supporting Input
Category Full Weight (*) Score Subcategory Full Score Full Score Standard Full
Items Score
Concrete or steel used for materials was confirmed appropriate according

1 1 1 0.5 0
to the specification.
Quality [Piling]
Depth of excavation, volume of removed soil, change in water level was

2 1 1 0.5 0
kept within the appropriate range written in the specification.
Inspection 4
5 1 Quality 5 0 3 Welding work was complied with the specifications. 1 1 0.5 0
4 Drain work was complied with the specification. 1 1 0.5 0
APPENDIX 2: Evaluation Sheet for Quality Section of Bridge project (Attached with Contractor Performance Evaluation Sheet)

Score
<3 steps>
Supporting Input
Items Score
No directions for the contractor to repair defect was issued in
1 1 1 0.5 0
Quality [Earthwork]
writing.
2 The soil was excavated or heaped up met the requirements of specification. 1 1 0.5 0

Inspection 4
Appropriate compaction and shaping on slope were done in a appropriate
5 1 Quality 5 0 3
timing.
1 1 0.5 0
Appropriate surface protection was implemented according to the

4 1 1 0.5 0
specification
7-82

Score
<3 steps>
Supporting Input
Items Score
Testing of concrete mix formula was carried out, followed by trial mixing, as
1 1 1 0.5 0
specified by the shop drawings and specifications.
The strength, slump, and amount of air in concrete were checked and the
2 1 1 0.5 0
results were confirmed appropriate.
Transportation time, concrete casting speed, drop height of concrete mix,

3 type of vibrating compactor, and curing method were verified to meet the 1 1 0.5 0
construction requirements and weather conditions.

When removing formworks, it was ensured that the concrete had already
4 1 1 0.5 0
set and gained sufficient strength
Inspection 9

Quality 10 0
7-83
15 1 8
Spacer bars were arranged into proper locations with sufficient thickness
1 1 0.5 0
of concrete covering.
Direction 1 0 10 No directions for the contractor to repair defect was issued in writing. 1 1 0.5 0
Workmanship 5 0 Appearance 5 13 structures of concrete were aligned neatly in a straight line. 1 1 0.5 0


Score
<3 steps>
Supporting Input
Items Score
1 1 1 0.5 0
specified by the drawings and specifications.
2 1 1 0.5 0
Transportation time, concrete casting speed, drop height of concrete ix,

3 type of vibrating compactor, and curing method were verified to meet the 1 1 0.5 0

When removing formworks, it was ensured that the concrete had already
4 1 1 0.5 0
set and gained sufficient strength
Inspection 9

Quality 10 0
7-84
15 1 8
Tensioning and grouting was properly implemented according to the
1 1 0.5 0
specification.
9 Sheaths and grout hoses and anchorages were positioned appropriately. 1 1 0.5 0
Direction 1 0 10 No directions for the contractor to repair defect were issued in writing. 1 1 0.5 0


Score
<3 steps>
Supporting Input
Items Score
1 Correct type of steel materials was used according to the specification. 1 1 0.5 0
3 The measure for Prevention of corrosion was implemented. 1 1 0.5 0

Inspection 5 Tightness of bolts was checked and its record has been properly kept. 1 1 0.5 0
Quality 10 0
7-85
Quality [Steel]
The type, size and number of bolts and washers met the specification and
7 1 1 0.5 0
shop drawing.
Material of the painting or proactive layer was used according to the

15 1 8
specification.
1 1 0.5 0
Painting was done in a good work environment according to the material

9 1 1 0.5 0
specification.
11 There was no damage or rust on the surface of steel. 1 1 0.5 0
Workmanship 5 0 Appearance 5 13 Paint work was smooth and consistent. 1 1 0.5 0


Score
<3 steps>
Supporting Input
Items Score
Electrical generator had sufficient electrical power output according

1 1 1 0.5 0
Compound of materials such as ratio of water and cement content, and
2 1 1 0.5 0
volume of cement was archived.

4 Process on pavement joints was made according to the specifications 1 1 0.5 0
Inspection 9 5 Proof rolling of roadbed was done to detect and rectify defects 1 1 0.5 0
Quality [Asphalt pavement]
Quality 10 0
Trial mixing was conducted to verify that the asphalt mixture complied with
6 1 1 0.5 0
7-86
the design specifications
Temperature of mixture was strictly controlled (checked upon the dispatch

7 1 1 0.5 0
from the plant, arrival at the site, start of paving work)
Appropriate methods of paving and delivering mixture have been selected

15 1 8
considering weather conditions of the site
1 1 0.5 0
9 Bitumen was added as prescribed in the specification. 1 1 0.5 0
Workmanship 5 0 Appearance 5 13 Thorough work was done on the end treatment of pavement. 1 1 0.5 0


Score
<3 steps>
Supporting Input
Items Score
Compound of materials such as ratio of water and cement content, and

2 1 1 0.5 0
volume of cement was archived.

4 specified by the drawings and specifications. 1 1 0.5 0
Inspection 9 5 1 1 0.5 0
Quality [Concrete pavement]
Quality 10 0 Transportation time, concrete casting speed, drop height of concrete ix,
type of vibrating compactor, and curing method were verified to meet the
6 1 1 0.5 0
7-87
15 1 8 Tensile strength and bending strength of rebar were tested. 1 1 0.5 0
Workmanship 5 0 Appearance 5 13 Thorough work was done on the end treatment of pavement. 1 1 0.5 0

Table 7.6.13 Appendix 3 of Work Performance Evaluation Sheet for Quality Section of Hydropower Project
PACKAGE NAME EVALUATION DATE &TIME: NAME



7-88
Score
<3 steps>
Weight Supporting Input
Category Full Score Subcategory Full Score Full Score Standard Full
(*) Items Score
Appropriate measures were implemented to drain rainwater and
1 1 1 0.5 0
ground water.
The soil was excavated or heaped up met the requirement of
2 1 1 0.5 0
specification.
Appropriate compaction and shaping on slope were done in a
appropriate timing.
Quality [Earthwork]
Quality 6 0
Gradient of cut slope and embankment were complied with the
4 1 1 0.5 0
specification.
5 1 1 0.5 0
specification
10 1 No directions for the contractor to repair defect was issued in
Direction 1 6 1 1 0.5 0
writing.
7 Surface had a smooth and fine finish. 1 1 0.5 0
8 Joints and edges of structures had a smooth and fine finish. 1 1 0.5 0
Workmanship 4 Appearance 4
Slop surface looks smooth with a surface protection such as a
9 1 1 0.5 0
consistant vegetation and concrete sprayed surface.

APPENDIX 3: Evaluation Sheet for Quality Section of Hydro power project (Attached with Contractor Performance Evaluation Sheet)

Score
<3 steps>
(*) Items Score
Testing of concrete mix formula was carried out, followed by trial

1 1 1 0.5 0
mixing, as specified by the shop drawings and specifications.
The strength, slump, and amount of air in concrete were checked

2 1 1 0.5 0
and the results were confirmed appropriate.
Transportation time, concrete casting speed, drop height of concrete

3 mix, type of vibrating compactor, and curing method were verified 1 1 0.5 0

to meet the construction requirements and weather conditions.
When removing formworks, it was ensured that the concrete had

already set and gained sufficient strength
Quality 10 0
7-89
Welding work of rebar was carried out according to the

15 1 7
specification.
1 1 0.5 0
Spacer bars were arranged into proper locations with sufficient

8 1 1 0.5 0
thickness of concrete covering.

Direction 1 0 10 1 1 0.5 0
writing.


Score
<3 steps>
(*) Items Score
1 1 1 0.5 0
mixing, as specified by the drawings and specifications.
2 1 1 0.5 0

3 ix, type of vibrating compactor, and curing method were verified to 1 1 0.5 0
meet the construction requirements and weather conditions.

4 1 1 0.5 0
Inspection 9
7-90
Quality 10 0 5 Mill sheet of rebars were confirmed upon inspection. 1 1 0.5 0

7 1 1 0.5 0
specification.
15 1
8 1 1 0.5 0
specification.
Sheaths and grout hoses and anchorages were positioned
9 1 1 0.5 0
appropriately.
No directions for the contractor to repair defect were issued in
Direction 1 0 10 1 1 0.5 0
writing.


Score
<3 steps>
(*) Items Score
Correct type of steel materials was used according to the
1 1 1 0.5 0
specification.

Tightness of bolts was checked and its record has been properly
kept.
Quality 10
7-91

Quality [Steel]
The type, size and number of bolts and washers met the
7 1 1 0.5 0
specification and shop drawing.
Material of the painting or proactive layer was used according to
15 1 8
the specification.
1 1 0.5 0
Painting was done in a good work environment according to the

9 1 1 0.5 0
material specification.
Direction 1 10 1 1 0.5 0
writing.
11 There was no damage or rust on the surface of steel. 1 1 0.5 0
Workmanship 5 0 Appearance 5 13 Paint work was smooth and consistent. 1 1 0.5 0


Score
<3 steps>
(*) Items Score
Electrical generator had sufficient electrical power output according
1 1 1 0.5 0
2 Transformer had sufficient capacity according to the specification. 1 1 0.5 0

Quality [Equipment of Hydro]
3 Turbine had sufficient capacity according to the specification. 1 1 0.5 0

Inspection 5
Quality 6 Power transmission wire had sufficient capacity according to the
4 1 1 0.5 0
specification.
The preliminary test was conducted at plant or construction site and

5 1 1 0.5 0
the performance of the entire system was confirmed appropriate.
7-92
10 1
Direction 1 6 1 1 0.5 0
writing.
1 There was no damage or rust on the equipment. 1 1 0.5 0
Maintenance and inspection were taken into account when

2 1 1 0.5 0
equipment was installed.
Quality 4 Appearance 4
3 Equipment and their wiring were located systematically. 1 1 0.5 0

Table 7.6.14 Appendix 4 of Work Performance Evaluation Sheet for Quality Section of Building Project
PACKAGE NAME EVALUATION DATE &TIME: NAM


Score
7-93
(*) Items Score

Concrete or steel used for materials was confirmed appropriate
1 1 1 0.5 0
according to the specification.
Quality [Piling]
Depth of excavation, volume of removed soil, change in water level

2 1 1 0.5 0
was kept within the appropriate range written in the specification.
Inspection 4
5 1 Quality 5 0
3 Welding work was complied with the specifications. 1 1 0.5 0
4 Drain work was complied with the specification. 1 1 0.5 0

Direction 1 5 1 1 0.5 0
writing.
Quality [Earthwork]

1 1 1 0.5 0
writing.
The soil was excavated or heaped up met the requirements of
2 1 1 0.5 0
specification.
Inspection 4
Appropriate compaction and shaping on slope were done in a
5 1 Quality 5 0 3
appropriate timing.
1 1 0.5 0

4 1 1 0.5 0
specification
Direction 1 5 1 1 0.5 0
writing.
APPENDIX 4: Evaluation Sheet for Quality Section of Building project (Attached with Contractor Performance Evaluation Sheet)
Score
(*) Items Score

1 1 1 0.5 0
mixing, as specified by the shop drawings and specifications.

2 1 1 0.5 0

3 mix, type of vibrating compactor, and curing method were verified 1 1 0.5 0
to meet the construction requirements and weather conditions.
7-94

10 1 Quality 10 0

7 1 1 0.5 0
specification.
Spacer bars were arranged into proper locations with sufficient
8 1 1 0.5 0
thickness of concrete covering.

Direction 1 0 10 1 1 0.5 0
writing.
Score
(*) Items Score
1 mixing, as specified by the drawings and specifications. 1 1 0.5 0

2 1 1 0.5 0

ix, type of vibrating compactor, and curing method were verified to

3 1 1 0.5 0
meet the construction requirements and weather conditions.

4 1 1 0.5 0
7-95
Inspection 9
10 1 Quality 10 0

7 1 1 0.5 0
specification.

8 1 1 0.5 0
specification.
Sheaths and grout hoses and anchorages were positioned

9 1 1 0.5 0
appropriately.
Direction 1 0 10 writing. 1 1 0.5 0
Score
(*) Items Score
Correct type of steel materials was used according to the

1 1 1 0.5 0
specification.

Quality [Steel]
Tightness of bolts was checked and its record has been properly
7-96
kept.
10 1 Quality 10
The type, size and number of bolts and washers met the
7 1 1 0.5 0
specification and shop drawing.
Material of the painting or proactive layer was used according to
8 1 1 0.5 0
the specification.
Painting was done in a good work environment according to the
9 1 1 0.5 0
material specification.
Direction 1 10 1 1 0.5 0
writing.
Score
(*) Items Score
Internal/external wall met the specification in terms of matrerial and
1 1 1 0.5 0
strength, etc.
2 Ceiling met the specification in terms of material and strengh, etc. 1 1 0.5 0
3 Door met the specification in terms of material and strength, etc. 1 1 0.5 0
Coating of interier/exterier wall met the specification in terms material and
4 1 1 0.5 0
envoronmental condition.
Accessories such as fixture met the specification in terms of material and
5 1 1 0.5 0
strength, etc.
Inspection 9
Connect type of electrical wiring was installed according to the
Quality 10 6 1 1 0.5 0

specification in terms of material and performance, etc.
Distribution board was installed according to the specification in terms of
7 1 1 0.5 0
performance.
8 Applies equipment met the specification in terms of performance. 1 1 0.5 0
Quality [Architecture]
The preliminary test was conducted at plant or construction site and the
7-97
9 1 1 0.5 0
performance of the entire system was confirmed appropriate.
20 1
The floor had no stain marks, visible damages, water leaking, and finishing
1 1 1 0.5 0
was flat.
The internal/external wall had no stain marks, viisble damages, water
2 1 1 0.5 0
leaking, and finishing was flat.
The ceiling had no stain marks, viisble damages, and water leaking, and
3 1 1 0.5 0
finishing was flat.
There was no visible gap between the door frame and wall and the
4 1 1 0.5 0
window frame and wall .
Workmanship 10 Appearance 10 It was easy in opening, closing, and locking the door and window, and
5 1 1 0.5 0
there was no squeaky sound during swinging the door or widow.
6 The lighting was alligned neatly and illuminated clearly. 1 1 0.5 0

7 There was no damage or rust on the equipment. 1 1 0.5 0
Maintenance and inspection were taken into account when equipment was
8 1 1 0.5 0
installed.
9 Equipment and their wiring were located systematically. 1 1 0.5 0
(10) Timing of Evaluation
Evaluation shall be conducted after completion of construction and before putting facilities
into use. If project owners conduct evaluation when construction work is completed,
evaluation will be worked smoothly.
Decree 15 tentatively tells that acceptance of project owners specified on Article 32 is applied
for all projects. Then supervising authorities shall inspect the dossiers submitted by project
owners within the fixed days.
A part of contents of evaluation have a similarity of contents of inspection and thus if the
same SA staff conducts evaluation and inspection at the same time, evaluation will be more
smoothly conducted than being conducted by a different staff.
Thus, the Project recommends that evaluation shall be conducted at the same time as
inspection.
(11) System Development
The following three database systems will be developed in line with this Actvity3.
(a) Contractor Performance Evaluation
(b) Construction Company Registration
(c) Construction Package Database
(12) System Management
Since all the data are supposed to be used for PQ examination, tender selection and work
implementation, three information database systems with all data shall be managed by the one
organization. When three database systems are managed in one organization, the data
provision to the project owner will work more effectively and promptly than when they are
managed by several organizations. The Project agreed that the management department in
MOC shall finally manage three systems and collect all the data nationwide.
As far as Construction Package Database System and Construction Contractor/Consultant

Registration System are concerned, CAMD is a suitable organization for managing them
because CAMD has already managed the construction company registration system and also
in charge of construction management and supervision of the implementation of regulations in
construction activities nationwide as specified in Decision No: 463 /QD-BXD.
As far as Contractor Performance Evaluation System is concerned, SACQI is a suitable

organization for managing it, because the work performance evaluation is supposed to be
conducted in line with the Decree 15 and SACQI in charge of studying and proposing policies,
programs, projects, regulations and guidelines on construction quality management and
inspection specified in Decision No. 988/QD-BXD.
7-98
Besides, it is desirable that the data of packages owned by MOT and other ministries are
incorporated into the MOC database systems.
(13) Data Preservation
The Project agreed that final score of the evaluation as well as other package information data
shall be input on the newly established “Construction Package Database System”. At the same
time, the evaluation sheets made by evaluators shall be attached the newly established
“Construction Package Database System”.
(14) Contract Types and Contractors
1) Contract Type
In Vietnam, JV, separate, and partnership contracts are applied as the general contract
methods. Since many companies are involved in one package, it is important to clarify what
contractor is evaluated. The following Figure 7.6.3 shows the examples of contracts types.
Project
Owner
Contract
Contract
Project Contractor Contractor Contractor Contractor Contractor
Owner A A B C D
Single Contract Separate Contract
Project
Owner
Contract
Contractor
B
New JV Leading
Contractor Project Contract Contractor
Contractor
C
A
Owner
Contractor
Construction Construction D
Company A Company B
JV Contract Partnership Contract
Figure 7.6.3 Contractors to be Evaluated
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The Project agreed that in any contract such as single, JV, separate and partnership contract,
the contractor who made the direct contract with the project owner should be evaluated. Thus,
the evaluation result is supposed to be applied to the contractor who manages whole
construction works.
The contractor to be evaluated in each contract is described as follows.
 In single contract, one contractor (A) is evaluated.
 In JV contract, newly established JV is established. Evaluation result is taken over to the

construction companies (A, B) who are investors after JV is dismisses.
 In separate contract, each contractor (A, B, C, D) is independently evaluated.
 In partnership contract, the leading contractor and the contractors who directly contract
with the project owner are evaluated among contractors (A, B, C, D) who make
agreement with leading contractor (A). Evaluation result is taken over after agreement is
terminated.
2) Subcontractor
There was the opinion that it was unfair to evaluate only the main contractor who made the
contract with the project owner in case subcontractors practically conducted the whole
construction works.
However, the article 46 (c) in Decree 48 stipulates that the general contractor may not transfer
all jobs under the contract. It means that the main contractor is obliged to manage the
subcontractor’s works. Due to these reasons, the Project agreed that the main contractor who
directly made the contract with the project owner shall be evaluated and the subcontractor
shall not be evaluated.
When the main contractor takes who delegates all responsibilities to the subcontractor, the
contractor shall not be evaluated due to illegal action against Decree 48. As a result, such a
contractor has a disadvantage on PQ examination due to lack of evaluation data.
(15) Selection of Packages to be Evaluated
One concern is that the clarification of the contractor to be evaluated shall be considered
because there are uncountable construction works from miner to large projects. The Project
proposes that the clarification of evaluated companies is made according to grade specified in
Circular 33.
As for the implementation method, construction packages with Grade S, I and II will be
applied first until the clarification is decided.
The final clarification of the contractor to be evaluated is under discussion and should be
determined after “Construction Package Database System” is completed and the number of
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construction works in each type and grade is captured by MOC. For example, setting up the
minimum investment of construction packages is one method to decide the final clarification.
(16) Publication
It is important that all information on the contractors’ work performance is open to the parties
concerned with the bidding system in order to keep the evaluation system transparent. The
evaluation data is input to “Construction Package Database System” and will be disclosed
with other package information to the parties concerned. This action will also encourage
contractors to get higher score and take an advantage of PQ examination by improving their
work quality.
The information’s publication is still under discussion.
(17) Decree 15
The contractor work performance evaluation system is strongly connected to basic concept of
Decree 15, which describes checking and acceptance of completed construction items before
they are put to use. This contractor work performance evaluation system was supposed to be
specified in Decree 15, however it has not been incorporated this time.
Thus, when the contractor work performance evaluation system is added to Decree 15 in
future, MOC shall prepare for the circular which contains the evaluation guideline describing
what project owners should specifically conduct. Also, another circular shall be enforced to
input the evaluation data into “Construction Package Database System” managed by MOC.
One concern is the relationship between the Law on Tendering issued by MPI and the work
performance evaluation. Section 2(a) in Article 32, “Preparation for tendering” in the “Law
on tendering 61” specifies the prequalification invitation documents, which indicate technical
requirements in case of construction tendering. The collaboration between MOC and MPI will
be necessary to lead successful results.
The contents of circular and the relationship with MPI shall be discussed in due course.
(18) Output
The output in contractor work performance evaluation system includes four products:
(1) Final Report
(2) Operation Guideline
(3) Appendix - Overseas Practice
(4) Computer Software
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(19) Evaluation Trial Plan
1) Selected Package
In order to confirm verification of evaluation indexes and find the points to be revised based
on feedback from project owners, the Project conducted the trial for the evaluation system.
The four construction packages were selected from Transportation (Bridge), Industry
(Hydropower) and Building (Architecture) type, and were held at the construction site. The
following table shows the detail of construction packages selected for the trials.
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Table 7.6.15 Projects and Packages Selected for Trials
Project Package
Contract amount Package Name Contract amount Principal Contractor Supervision

No Date Type Name Grade Project Owner
(VND) (VND) (VND) Name Consultant
1 12/15 Building A Dolphin S 747 billion Foundation and 180 billion TID HICC1 IBST
2011 Plaza Transfer Beam PVFC

PVC
2 12/20 Building B New S 1,200 billion Foundation & 2 287 billion HUD-Housing and HUD3 and COFICO CCU
2011 Skyline Basement Urban Development
Holdings Corporation
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3 1/9 Bridge C Pha Lai I 2,000 billion Package No.9 318 billion Vietnam Railway CIENCO 1 Thang Long
2012 Railway Bureau Consultant
4 1/10 Hydropower D Ban Ve I 7,200 billion General Construction 950 billion EVN SD2 PECC1
2012 Package
2) Evaluation Result
The following Figure 7.6.4 describes the comparison of each category and final score
package between construction packages.
SCORE 100
80
60
40
20
-20
Maximum score Building: A Building: B Bridge: C Hydropower: D
(Total score: 100) (Total score: 78) (Total score: 68) (Total score: 64) (Total score: 50)
Construction
15 10.75 13 10 13
Resources
Management 35 20.25 14.5 12.25 -2.25
Quality 50 46.83 40 42 39.5
Figure 7.6.4 Comparison of Trial Evaluation Results
All evaluators were able to conduct evaluation smoothly according to the evaluation sheet and
the Project can say that the proposed standards were feasible for evaluators.
In terms of difference of each score, the contractor of Hydropower D got ‘-2.25’ on

Management Category, because they had the serious accident (several workers died) and the
score of safety standards was lower than others. On the other hand, Building A got ’20.25’ on
Management Category because they had no accidents and followed the appropriate process on
safety and schedule.
The Project finds the difference between the contractors when this evaluation scoring method
is used.
3) Feedback
Since the Project received some questions from participants of evaluation meetings during
trials, the Project have to reflect appropriate feedback to the tentative evaluation system. The
followings are questions and the answers to them.
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Q1. There are some cases that SC has many experiences and more knowledge than PMU or
PMC. Is it appropriate that PMU or PMC evaluates the standards?
A1. This evaluation data is supposed to be used for the project owner to select contractors at
the bidding of state-funded projects. It is important that project owner side (PMU or PMC) get
involved in evaluation in any case.
Q2. Do we need to set up any qualification for evaluators?
A2. As for PMU or PMC, the Project should emphasize how they get involved in the
construction management more than the experiences and qualification. This is why the
persons in important position who directly communicate with SC and contractors shall be
assigned.
As for SC, the Project should emphasize how they manage the construction sites. This is
why the persons engaged in chief SC shall be assigned.
As for SA, the Project should emphasize their experiences in quality control. This is why
they are not directly involved in the project and have to evaluate performance based on their
knowledge and experiences. The persons with sufficient experiences in quality control
department shall be assigned.
Q3. In hydropower plant, most construction works was occupied by concrete parts. In this
case, do we need to arrange the weight among the category “quality”?
A3. Yes, the Project proposes that project owners can arrange the weight according to the
contract amount of each construction works in category “quality”.
(20) Roadmap
 To successfully complete technology transfer, roadmap planning should be made so that

MOC can surely implement this succeeding procedure and certainly spread the contractor
performance evaluation system nationwide. The following roadmap is proposed by the
Project.
 From 2012 to 2014, evaluation system will start from pilot projects with Grade S, I, and II.
At the same time, other two systems such as “Construction Contractor/Consultant
Registration System” and “Construction Package Database System” shall be worked
because these three database systems are used for PQ examination. If any revised points
on evaluation system are found, they will be improved through the committee and public
hearing.
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 During 2015, construction packages applied for evaluation system will be extended to
50% of packages types with Grade S, I, and II nationwide. From 2016, construction
packages applied will be extended to the other 50% of packages types with Grade S, I,
and II nationwide.
 At the same time, the new ranking system will be reviewed along with implementation of
evaluation system in 2016.
 The following description shows the detailed schedule and scheme of work performance
evaluation system from pilot projects to implementation.
1) Dissemination of Evaluation System
a. Pilot Projects (2013-2014)
(1) Organizer
- SACQI
(2) Conductor
- Construction department of supervising authorities managing pilot projects in all

provinces
(3) Time
- From January 2013 to December 2014
(4) Pilot Projects
- 10% of all projects or at least 1 project with Grade S, I, II within each province,
which were completed or almost completed during year 2013, are selected by
conductors. Although the guideline specifies that the evaluation shall be conducted
after construction completion, the number of such projects is limited. Therefore, each
conductor can select the construction packages which were almost completed as pilot
projects
- Selected packages are registered as pilot projects of MOC.
(5) Method
- The evaluation shall be conducted according to the operation guideline.
(6) Committee (If any)
- If any serious problems happen on conduct of pilot projects, the committee can be
held to improve the evaluation system. The members are selected from CAMD,
SACQI in MOC, and other construction departments of supervising authorities.
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(7) Public Hearing (If any)
- If any serious problems happen on conduct of pilot projects, the public hearing can be
held to guide the evaluation system. The members are officials of CAMD, SACQI
other construction departments of supervising authorities, contractors, and
consultants.
(8) Circular (If any)
- If any serious problems happen to the issued Circular, the circular can be amended.
b. All Projects (2015-2016)
(1) Organizer
- SACQI
(2) Conductor
- Construction department of supervising authorities managing construction projects

with Grade S, I, II in all provinces
(3) Time
- From January 2015 to December 2016
(4) Projects
- 50% projects with Grade S, I, and II managed by each conductor are evaluated.
- 100% projects with Grade S, I, and II nationwide are evaluated.
(5) Method
- The evaluation shall be conducted according to the operation guideline.

- Figure 7.6.5 shows the roadmap for spreading work performance evaluation system
which is recommended by the Project.
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Figure 7.6.5 Roadmap
2) Dissemination of Ranking System
After the period of dissemination of the contractor evaluation system, the ranking system will
be expected to be reviewed. In the proposed schedule, the period from 2016 to 2020 will be
focused on trial and implementation of the ranking system. It is proposed that taking a
sufficient time is important because this ranking seriously affects the contractors’
achievement, that is to say, the contract amount that the contractors can acquire.
(21) Issues to be discussed
Though the contractor evaluation system has not been specified in Decree 15, several issues
should be discussed hereafter in line with conduct of pilot projects.
1) Set up Minimum Investment Amount for the Evaluation System to be applied
As each project has a variety of construction packages, evaluating all projects are not
impractical. Also, evaluating small contract amount of packages does not have a serious
impact on improvement of construction quality. Moreover, such a small contract amount of
construction packages are simple and contractors are considered to implement them in a
similar level. One method is to set up the minimum investment amount and select key
construction packages.
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2) Make the Category of “Quality” Corresponding to All Types of Construction

Projects
Before evaluating pilot projects, the category of “quality” concerned with pilot project types
should be organized. MOC should ask other Ministries to make the standards of “quality”.
Then, all the standards should be specified under the Circular.
3) Review “Quality Work” Evaluation for the Projects
MOC currently focuses on evaluation of work quality of the projects as well as the contractors.
Although the Project specifies only how to evaluate the contractors, the contents include the
evaluation of work quality for construction packages. Thus the study can be used for
evaluation of work quality of the projects by picking up the standards of category of
“Quality”. This study will be continued by the Vietnamese C/P.
7.7 SOFTWARE SYSTEM DEVELOPMENT
7.7.1 Construction Company and Consultant Company Registration System and Contractor
Work Performance Evaluation System
(1) Objective
The Project developed the following internet web based software systems;
 Construction Contractor Registration System (CRG-1)
 Construction Consultant Registration System (CRG-2)
 Construction Package Information Database System (CPDB)
 Contractor Work Performance Evaluation System
Of the above systems, the Project intended to develop the Construction Package Information
Database System and the Contractor Work Performance Evaluation System in high priority
and developed in 2011. Remaining the Construction/ Consultant Company Registration
Systems were developed in 2012.
(2) Interrelation between Systems
Systems of Registration for Contractor / Consultant, Construction Package Database and

Evaluation System for Contractors work in coordinated manner and support for bidding
process. The evaluation results of contractor work performance, which are brought out from
the Contractor Work Performance Evaluation System, are registered in the Construction
package information Database System together with construction package information.
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Construction companies who wish to participate in state-budget construction works are

requested by relevant regulations in advance to the tendering process. The information
registered in the Construction Company Registration System will be integrated together with
the construction package information and offered to project owners to evaluate preliminary
Qualifications (PQs), forming a PDCA cycle in contractor selection (Company Registration –
Contractor Selection – Work Performance Evaluation – Data Registration).
Contractor / Consultant
Registration System
Bidding Notice
Short Listing Information Integrated
Bidding
Contract Construction Package

Database System
Construction *When there is

Major Change
Final Inspection Contractor Performance

Evaluation System
Figure 7.7.1 System Relationship
(3) Schedule of System Development
The Construction Package Database and the Evaluation System for Contractors were
developed by March 2012 and the Registration System for Contractor and Consultant were
developed by November 2012. Systems are developed by local software companies in
accordance with design and instruction of JICA Project Team.
Figure 7.7.2 Schedule of System Development
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(4) System Outlines
Table 7.7.1 summarizes the proposed outlines of these systems. Further details are shown in
corresponding sections such as 7.2, 7.3, 7.4, and 7.6. Required data are input by Project
Owners firstly through website and are checked and approved by CAMD. MOC Information
Center plays roles of servers and web structure maintenance. MOC shall consider an OM
institution for system operation and maintenance.
Table 7.7.1 System Outlines
Table 7.7.2 Responsibility Assignments for System Development
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(5) User Classes and Roles
The system has six (6) user classes and defines their roles as follows.
 Project Owner: Registrant of Construction Package data and Evaluation data..
 Contractor: Registrant of Contractor information. Who manages own data through the
system.
 Consultant: Registrant of Consultant information. Who manage own data through the
system.
 DOCs: First recipient of any registered information. Verify registered information with
back up data and decide to accept or to decline the registration.
 CAMD Leader: Final acknowledger of any registered information. After verifying

registered information by DOCs, makes final acceptance of the registration.
 Administrator: System administrator
Three (3) users, Project Owner, Contractor and Consultant, are registrants of the system. And
another three (3) users, DOCs, CAMD Leader and Administrator, are data / system
administrators.
Table 7.7.3 User Classes and Roles
User Class Roles at Data Entry Availability of Data Search and View
Contractor  Register company information to the system for  Not Available
Consultant applying to construction package contract of grade
special, I and II.
 Revision of the data is required for a certain period.
DOCs  Check registered data and decide accept or decline.  Available
CAMD Leader  Acknowledge CAMD Staff accepted data finally.  Available
Project owner  Register the Package data information.  Available
 Evaluate work performance of contractor.
 User of the System for Preliminary Qualifications of
tendering.
Administrator  Not Available  Available
There are some issues to be determined for actual operating the system. One of the issues is
that registered data would be opened to public or not. The project team recommended the
system to be closed to encourage registrants to disclose sensitive information, such as
financial information. This system was firstly designed that all users are required for
registration on the basis of closed system. Hence, membership account was proposed and
introduced in order to restrict users to the qualified members only. The membership account
might be charged and the income might be used for operating cost of the system. The member
can view approved data in the system but it has no function to register any data into the
system. However, the circular defined to open the information to public, thus the membership
account was abolished in the process of updating.
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(6) Data Approval Process
First, registrants register their user account for the system. Then, registrants input their
project/ company data into the systems. Those data come to waiting list for approval by DOCs.
The registrant is required to submit their dossiers to DOC which the registrant entity
registered by mail. DOC checks registered data with dossiers sent by mail. In case, data is
wrong or dossiers are insufficient, DOC declines the registered data through the system and
notice comes to the registrant on the web system. When the registered data passes the check
of DOC, CAMD Leader is required final acceptance of the data. With final acceptance, the
data is stored in the database, and viewers can access to the accepted data on the system.
To make certain the accuracy of the information, CAMD is to conduct inspections

periodically on registered information at random in cooperation with DOCs.
7.7.2 Construction Company and Consultant Company Registration System Update
(1) Measure Items to be Updated
The company registration systems are being enforced earlier than package database system
and evaluation system. Hence, those upcoming systems have been disabled until legislated.
Systems Updates
Construction Company Registration System (CRG-1) Updated
Consultant Company Registration System (CRG-2) Updated
Construction Package Information Database System (CPDB) Disabled
Contractor Work Performance Evaluation System Disabled
Followings are measure items to be updated:
- Modify input data items in order to comply the new circular;

- Add a function to create application forms in accordance with the appendices of the
new circular;
- Spread CAMD Staff role to DOCs. The first approval of the application form was
given to CAMD in the present registration systems, however, the new circular defines
that it is to be done by DOCs, thus the CAMD staff role should be changed to DOCs
and the charter of first approval should be given to each DOC by each jurisdiction of
the province. Whereas, the final approval is not changed, that is done by CAMD
Leader;
- Add a function to announce the status of expiring and expired company data in order
to remind entities to update their company registration forms within legitimate
duration stipulated by the new circular. That duration is set by the system
administrator of the system; and
- Everybody can search and view the registered entities’ information, thus guest
account was disabled.
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Table 7.7.4 Comparison between the System Outlines of Former Registration Systems
and Updated Systems
(2) User Interface
Sample screen shot of the user interface of the system is as shown below.
Print screen shot of updated system to be pasted.
Figure 7.7.3 Sample Screen Shot of the Updated System User Interface
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7.8 RANKING SYSTEM
The following statements are written for reference, when MOC decides to commence ranking
system.
When construction companies are ranked, the managerial factors are as important as the
technical factor (evaluation score). Therefore, MOC needs to decide what factors are adopted
for grading and arrange the ratio between the score of managerial factor, technical factor, and
disqualification factor by collecting all the data from “Construction Contractor and Consultant
Registration System (CRG- 1/2)” and “Construction Package Database System (CPDB)”.
Table 7.8.1 shows one simplified example of contractor grading method referring to Japanese
practice (the table is prepared by referring the ranking system in the Central Nippon
Expressway Company Limited). When the construction company intends to join the state-
funded construction packages in Japan, the company shall apply to the third party
organization according to “Construction Business Act” issued by MLIT for appraisal of the
company’s capability. This organization analyzes the company’s managerial factors,
calculates the score, and finally notifies the official score to the company.
Table 7.8.1 Example of Contractor Grading Method in Japan
Maximum Awarded
Factors Items Classification
Score Score
Average sales among annual

Sales 100 70
construction contracts
Capital Owned Capital, etc. 100 70
Managerial
Profitability Operating Profit on sales, etc. 100 70
Factor
The number of employees engaged

Employees 100 70
in construction business
The number of qualified engineers

Engineers 100 70
with designated qualification
Technical Evaluation scores during the past 4

Work Performance 100 80
Factor years
Accidents involving
Disqualification workers -10 points per month with
0 -10
Factor Property damage or injury Disqualification Period
to the third party
Total 700 420
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For example, if the minimum score of the evaluation data to participate in PQ is determined,
project owners can easily exclude low capability contractors.
If MOC decides how to organize these data, the construction company ranking system will be
made. Table 7.8.2 shows the example of the construction company grading method. For
example, when one contractor awards 420 points (Table 7.8.1), they are ranked as “B” based
on the example of grading system. The contractor ranked as B can participate in project scale
with $400 million to $500 million. This kind of ranking system shall be made in each type of
construction works by each project owner.
Table 7.8.2 Example of Construction Company Grading Method
Rank Awarded Score Contract Amount ($)
A 600-500 More than 500mil
B 500-400 500mil - 400mil
C 400-300 400mil - 300mil
D Under 300 Under 300mil
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CHAPTER 8 IMPROVEMENT OF ENGINEER QUALIFICATION

SYSTEM (ACTIVITY-4)
8.1 FRAMEWORK OF IMPROVEMENT OF ENGINEER QUALIFICATIONS IN

VIETNAM
8.1.1 Development of Comprehensive Improvement Plans for Engineer Qualifications in

Vietnam
(1) Concept of Improvement
With the current growth in infrastructure development in Vietnam, demand for more qualified
engineers is on the rise sharply. MOC has already enforced three categories of engineer
qualification with 20 individual qualifications in the categories. However, to cope with rapid
growth in planning, construction, supervision and maintenance technologies, MOC has
tackling the enhancement of engineer qualifications.
To begin with the study on improving engineer qualifications, the Project will introduce
Japanese practices as a sample case study of engineer qualifications. Also, the Project will
clarify the differences in engineer qualifications by making comparison between Japanese and
Vietnamese practices.
Focuses of the study to find out potential of improving engineer qualifications in Vietnam are
as follows;
 Engineer without job employment restrictions
 Vocational engineer qualifications
 Grading of qualifications
 Evaluation of eligibilities, examinations or training courses
(2) Methodology
 Introduce practices in Japan in engineer qualifications
 Analyze current engineer qualifications in Vietnam
 Summarize recommendations on the comprehensive plans for improving engineer

qualifications
(3) Outputs
 Recommendations on the comprehensive improvement plans for engineer qualifications

in Vietnam
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8.1.2 Improvement of Construction Supervisor Qualifications
There are three engineer qualifications officially approved in Vietnam. Of these qualifications,
the Project focuses on construction supervisor qualification and formulates an improvement
plan. The qualification holders of the construction supervisor are expected to play a leading
role for managing construction projects and construction quality in the fields. The plan is
intended to enhance their managerial capacity by improving examinations and training
systems and to let them equip with knowledge and technology suitable for the construction
project management.
Based on the study and analysis on the current engineer qualifications, the Project studies the
improvement plans in line with the following methodologies:
(2) Methodology
1) Improve Examination System
Objective of this plan is to improve the current exam system deemed unfair and unreliable.
The Project will develop recommendations, focusing on the following viewpoints. Due to
these improvement plans, it is expected that existing dishonest acts will be drastically
decreased.
 Centralization of examination management
 Evaluation by scoring method
 Selection of successful examinees
 Further study on examination questions
2) Improve Training Courses
The objectives of the system are to abolish the current compulsory training course in order to
reduce inordinate burden given to the applicants and to encourage training centers to provide
high quality training courses and a variety training courses to applicants. The Project will
develop recommendations, focusing on the following viewpoints.
 Decrease in inordinate burden on applicants
 Provision of high quality training courses
 Provision of various training courses
 Further study on the implementation of examinations
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3) Continuous Professional Development (CPD)
Continuous professional development (CPD) is intended to provide obligatory training

courses to the existing qualification holders to keep maintaining their competence. With this
objective, CPD provides qualification holders with opportunities to learn update information
on their professional domains and to provide compulsory 1 or 2-day training courses to the
qualification holders when renewing qualification. The Project will develop recommendations
on the following two viewpoints.
 Provision of update information to the qualification holders
 Further study on the update information
4) Develop Grading of Engineer Qualifications
The objective of this plan is to provide higher level qualifications by applying grading of
qualifications. The Project will develop recommendations, focusing on the following
viewpoints.
 Prepare an intermediate-level supervisor qualification for a chief supervisor
 Prepare an advanced-level supervisor qualification for a leader supervisor
 Further study on the intermediate-level and the advanced-level qualifications
(3) Outputs
 Recommendations on the comprehensive plans for improving engineer qualifications in

Vietnam
 Recommendations on the improvement of construction supervisor qualifications
 Recommendations on the improvement of site manager qualifications
8.1.3 Improvement of Site Manager Qualifications
There is a practice engineer certificate system in Vietnam, currently falling into four
classifications; (1) architecture certificate, (2) construction engineering certificate (3)
construction supervisor certificate and (4) cost estimate certificate. The system has never been
applied to the contactor staffs, but to the consultant staffs. There is no regulation which
obliges contractor staff to have qualifications. Anybody, who can satisfy academic and job
career requirements, is eligible to be a site manager of a construction project. However,
current construction projects tend to require high knowledge and professional expertise in
construction management and in construction quality assurance. In fact, the current survey has
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reported that insufficient construction quality is partly because of the poor management
capacity of site managers. The activity is intended to find the potential of applying a
qualification system for site managers.
(2) Methodology
 The Project will enhance capacity of site managers by applying engineering qualifications
to them.
 Study potential of applying an engineer qualification system to site managers
 Study on applying examination systems
 Study on training system
 Study on the renewal of qualifications
 Study on the operation and management system for the site manager qualifications
(3) Outputs
 Recommendations on the site manager qualification system
 Revision of related regulations
8.2 DEVELOPMENT OF COMPREHENSIVE IMPROVEMENT PLAN FOR ENGINEER

QUALIFICATIONS IN VIETNAM
8.2.1 Background
In order to enhance infrastructure construction quality, attention needs to be directed to

engineers’ capacity involved in construction sectors in addition to the enhancement of
institutions and quality management technologies.
8.2.2 Objective
Objective of this analysis is to study engineer qualifications in Vietnam and to analyze the
potential of improvement for the engineer qualifications in Vietnam. The analysis employed
herein uses the comparison of engineer qualifications between in Vietnam and in Japan.
Recommendation will be made upon completion of the analysis.
8.2.3 Current Status of Engineer Qualifications in Vietnam
In Vietnam, engineer qualifications have been developed as certificates which verify

engineer’s capacity of performing construction practices.
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(1) Regulations
The regulations stipulating the certificates are shown as follows with their summaries of
provisions;
1) Construction Law
It stipulates that individuals must possess relevant practice certificates and take personal
responsibility for their jobs when they provide consultancy on construction planning, design,
and construction supervision and construction survey.
2) Decree No.12/2009/NĐ-CP
It stipulates that holders of the title of manager of construction-planning; design manager;

construction survey manager; or construction supervisor, and independent practitioners that
perform construction planning, construction design or construction supervision must possess
practice certificates as required.
It stipulates that Cost estimation certificates show the capacity of consultants in cost
management.
4) Circular No.12/2009/TT-BXD and Circular No.112/2010/TT-BXD
Circular 12 stipulates details of construction practice certificate. The practice certificate falls
into 4 major categories with further breakdown of 20 individual certificates as shown below;
Engineers who desire to be construction design managers or chief-designers should hold a

“Construction Engineering” certificate or an “Architecture” certificate. This is not applied to
young engineers, but to design managers or chief-designers only. Young engineers except for
design managers and chief-designers do not necessarily take “Construction Engineering”
certificate (Article 36, Article 47, Article 48, and Decree No.12).
 Architecture (3 qualifications)
- Design of Construction Plan
- Design of Architectural Works
- Design of Interior-exterior works
 Construction Engineering (12 qualifications)
- Design of Structure Works
- Design of Electrical Works
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- Design of Electro-mechanical Works
- Design of Water Supply and Drainage
- Design of Heat Supply
- Design of Ventilation and Air Conditioning
- Design of Communication Network in Construction Works
- Design of Fire Prevention and Protection
- Design in other Field
- Topographic Survey
- Geological Survey
- Hydrological Geology Survey
 Construction Supervisor (4 qualifications)
Anyone wishing to get construction supervision jobs should hold a “Construction

Supervision” certificate, regardless of their job status unlike the “Construction
Engineering” certificate and “Architecture” certificate stated above.
- Supervision of Construction Survey
- Supervision of Construction and Finishing Work
- Supervision of Equipment Installation Works
- Supervision of Technological Equipment Installation
 Cost Estimate (1 qualification)
5) Decision 820/QD-BXD dated on August 6th 2009 promulgating Assessment

Statement for ASEAN Chartered Professional Engineers (ACPE)
It stipulates that under the ASEAN Mutual Recognition Agreement, a professional engineer
or practitioner who holds the nationality of an ASEAN Member Country and who possesses
qualifications and experience that complies with the requirements specified in this
Assessment Statement may apply to be placed on the ASEAN Chartered Professional
Engineers Register (ACPER) and accorded the title of ASEAN Chartered Professional
Engineer (ACPE).
(2) Characteristics of the Certificate
Characteristics of the certificates in Vietnam are briefly summarized as follows;
8-6
 The certificates are the sorts of vocational qualifications with employment restriction, so
that engineers without certificates are not allowed to get jobs linked to the certificates.
 The certificates fall into “Architecture”, “Construction Engineering”, “Construction

Supervisor” and “Cost Estimator”, so that the “Designer” and the “Construction
supervisor” are working separately.
 The qualification for the “Construction Engineering” comprises 12 certificates, but that
for the “Construction Supervisor” falls into 4 certificates, fewer than those for
“Construction Engineers”. This may prove that much attention is more likely paid on the
“Construction Engineering” rather than on the “Construction Supervision”.
 Qualifications for managing-level or supervisor-level engineers are not institutionalized

for “Construction Supervision” now, except for those in “Construction Engineering” and
“Architect”.
8.2.4 Overseas Practice – Practice in Japan
Engineer qualifications relevant to “Construction Sector” in Japan fall into “National

Qualifications” and Private-Sector Qualifications”.
National qualifications are to allow individuals to use the names of qualifications when they
pass the examinations specified by the regulations. Examinations are implemented by the
organizations including the government, governmental organizations or those entrusted by the
Government. As shown in Table 8.2.1, total numbers of 313 national qualifications are
available for all sectors in Japan as of July 2010. Of these, the Ministry of Land,
Infrastructure, Transport and Tourism (MLIT) institutionalize 77 qualifications.
Table 8.2.1 National Qualifications by Enforcing Ministry Level
Ministries No. of Qualifications

Cabinet Office 12
Ministry of Internal Affairs and Communications 12
Ministry of Justice 6
Ministry of Finance 2
Ministry of Education, Culture, Sports, Science and Technology 8
Ministry of Health Labor and Welfare 137
Ministry of Agriculture, Forestry and Fisheries 15
Ministry of Economy, Trade and Industry 35
Ministry of Land, Infrastructure, Transport and Tourism 77
Ministry of Environment 12
Sum 313
8-7
Private-sector qualifications are not those based on regulations, but are voluntary
qualifications. Qualification criteria and examinations are in principle prepared by private
sectors.
There used to be so-called public qualifications operated by non-profit organizations, but

these are recently categorized as private-sector qualifications since 2005. Table 8.2.2 shows
the national qualifications.
(1) National Qualifications in the Construction Sector
There are six (6) Ministries currently enforcing national qualifications in the construction
sector. They are listed in Table 8.2.2.
 MOIC: Ministry of Internal Affairs and Communications
 MOEC: Ministry of Education, Culture, Sports, Science and Technology
 MOHL: Ministry of Health. Labor and Welfare
 MOET: Ministry of Economy, Trade and Industry
 MLIT: Ministry of Land, Infrastructure, Transport and Tourism
 MOE: Ministry of Environment
Table 8.2.2 National Qualifications in Japan

Category Ministry Regulation Provision Engineer Qualification
National MOEC Act on Professional engineers are those Mechanical Engineering
Qualifications Professional whose knowledge of advanced Marine and Ocean Engineering
Engineer technologies and its application
are approved by the Aerospace Engineering
Government. Electrical & Electronics
Professional engineers should Engineering
make an effort to continuously Chemistry Engineering
enhance his quality with high
engineering ethics. Textiles Engineering
Metals Engineering
Mining Engineering
Civil Engineering
Water Supply & Sewerage
Engineering
Sanitary Engineering
Agriculture Engineering
Forest Engineering
Fisheries Engineering
Industrial Engineering
Information Engineering
Applied Science Engineering
Biotechnology &
Bioengineering
Environment Engineering
Nuclear & Radiation
Engineering
8-8

Comprehensive Technical
Management
MLIT Act on Building works should be Architects (1st/2nd Grade)
Architects designed by Architects and Structure 1st Grade Architect
constructed by the supervision
of Architects Facility 1st Grade Architect
Building Work Facility
Engineer
Act on Survey tasks should be Registered Surveyor
Surveyor performed by Registered
Surveyor.
Act on Contractor should assign an Construction Machinery
Construction eligible Site Manager, Operation Engineer
Business Managing Engineer or Chief Civil Works Management
Engineer to its construction Engineer
projects.
Managing Engineer should Building Work Management
qualify for at least one Engineer
qualification. Electronic Work Management
Engineer
Plumbing Work Management
Engineer
Landscape Management
Engineer
MOHL Act on Contractor should assign an Safety Manager
Industrial eligible Safety Manager and Safety and Health Supervisor
Safety and Safety and Health Supervisor to
Health its construction projects.
Act on Water Design and construction of Supervisor for Water Supply
Supply water supply facilities should be Facilities
supervised by eligible
Supervisors for Water Supply
Facilities.
MOE Act on Waste Contractor should assign an Environmental Hygiene
Management eligible Environmental Hygiene Management Engineer for
and Public Management Engineer to its Building Facilities
Cleaning project.
MOIC Act on Fire and Design and construction of fire Fire and Disaster Management
Disaster and disaster facilities should be Engineer
Management supervised by eligible Fire and
Disaster Management
Engineers.
MOET Act on Design and construction of Registered Electrician
Electricity electric facilities should be
Business supervised by eligible
Registered Electricians.
The following is the outline of major national qualifications in the construction sector.
1) MOEC Professional Engineer Qualification (PE)
Of these ministries, MOEC institutionalized one but an important qualification, that is a

Professional Engineer qualification (PE), which plays the highest-level qualification of all
with twenty one (21) engineering fields, so that PE is the one not limited to the construction
sector, but cover all engineering sectors. PE has come to compatible with APEC engineer in
eleven (11) engineering fields since 2006.
8-9
2) MLIT Managing Engineer/Chief Engineer and Architects Qualifications
MLIT enforces the Act on Construction Business, one of the most important Acts in the
construction sector, which obliges a contractor to assign an eligible Site Manager, a Managing
Engineer and a Chief Engineer in the construction project undertaken by the contractor. The
Site Manager, the Managing Engineer and the Chief Engineer are those playing a
management role including project management and construction quality management in the
construction project. Also, MLIT institutionalized Architect qualifications as independent
qualifications to others aiming to manage design and construction supervision of building
works.
This is because of the fact that building work projects, which are mostly the private sector
projects, may give serious impacts and damages to the public when accidents or incidents
occur to their facilities, so that the Act on Building Standards was enforced independently to
others and engineer qualifications specialized for the design and construction supervision of
building works are also enforced independently.
3) MOET, MOIC and MOH Qualifications for Design and Construction Supervision of
Electricity, Fire and Plumbing Facilities
As is the case of Architect qualification, same concept has been applied to the design and
construction supervision of electricity, fire/disaster prevention and plumbing facilities. These
are the facilities which closely relate human life and thus may cause serious impacts and
damages to the public when accidents or incidents occur, so that design and construction
supervision should be managed by qualified engineers as stipulated in the concerned
regulations shown in the table.
(2) National Qualifications for State Agencies (Building Standard Expert)
These national qualifications are for the state agencies being involve in approving the
building facility construction certificates, which is similar to the Construction Permit in
Vietnam. Table 8.2.3 shows the outline of this qualification. The proposals for construction
certificates are in principle addressed by relevant public authorities and private companies to
the certificate agencies stationed in local governments (Prefectures). However, high
knowledge and expertise are in general required in the examination on the proposals before
issuing certificates. This is because the national qualifications are required for the staffs in the
local governments responsible for issuing building facility construction certificates.
8-10
Table 8.2.3 National Qualifications for State Agencies (Building Standard Expert)
National MLIT Act on The qualification holders Expert for examining
Qualifications Building examine building works Conformity of Building
Standards whether final products comply Standards Act
with Building Standards. Expert should hold the 1st-
Grade Architect Qualification.
(3) National Qualifications for Inspecting Building Facilities
Building Standards Act in Japan has obliged facility owners, who are either public or private
organizations and who own specified building facilities, should undertake regular inspection
on their facilities and report to the local governments. With these purposes, national
qualifications shown in Table 8.2.4 are requested for these inspectors. Outline of the specified
facilities are briefly stated as follows
 Building facilities in frequent use of the public such as schools, hospitals, medical centers,
movie theaters, office buildings and so forth.
 Lift and play facilities
 Fire and disaster protection facilities such as ventilation, smoke-extraction, emergency

lighting, water supply and drainage systems, and so forth.
Table 8.2.4 National Qualifications for Inspecting Building Facilities

National MLIT Act on Building The inspector inspects structures, walls and Special Building
Qualifications Standards facilities for the special building facilities Facility Inspector
(Schools, Hospitals, Medical Centers, Training course only, no
Movie Theaters, and Office Buildings.) examination
The inspector inspects lift and play Lift and Play Facility
facilities. Inspector
Training course only, no
examination
The inspector inspects building facilities Building Facility
such as ventilation, smoke-extraction, Inspector
emergency lighting, water supply and Training course only, no
drainage systems periodically and report the examination
results to the local government.
(4) Qualification Grade Classification and Capacity Evaluation
Table 8.2.5 shows grade classifications of qualifications and ways of capacity evaluation for
applicants. As seen in the table, some of the qualifications including national and private-
sector qualifications has a grading system such as 1st-Grade & 2nd-Grade, 1st-Class & 2nd
Class etc. In addition, many of the qualifications employ examination systems in order to
evaluate the capacity of applicants.
8-11
Table 8.2.5 Qualification Grade Classification and Capacity Evaluation

Qualification Grade of Qualification Capacity Evaluation
1 Professional Engineer Professional Engineer Examination
Professional Engineer Associate PE
2 Survey Registered Surveyor Examination
Registered Surveyor Associate RS
3. Design & Construction Supervision 1st Grade Architect Examination
for Building Works 2nd Grade Architect
Architect Wooden Structure Architect
Structure 1st Grade Architect Training +
Facility 1st Grade Architect 5-year Experience
Building Work Facility Engineer Building Work Facility Engineer Examination
4. Design & Construction Supervision Supervisor for Water Supply Facilities Examination
for Water Supply Facilities
Supervisor for Water Supply Facilities
5. Design& Construction Supervision for Class Special Engineer Examination
Fire & Disaster prevention Facilities 1st Class～7th Class Engineer
Fire & Disaster Management Engineer
6. Design & Construction Supervision 1st Class Chief Electrician Examination
for Electric Facilities 2nd Class CE
Registered Chief Electrician 3rd Class CE
Registered Electrician 1st Class Registered Electrician Examination
2nd Class RE
7 Construction Management & Each qualification falls into two grades Examination
Supervision examined separately.
Construction Machinery Management st
Engineer 1 Grade Management Engineer
2nd Grade Management Engineer
Civil Work Management Engineer
Building Work Management Engineer
Electronic Work Management
Engineer
Plumbing Work Management
Engineer
Landscape management Engineer
8. Safety and Health Supervision Safety Manager Training Course
Safety Manager
Safety and Health Supervisor Special Safety Manager Examination
1st Class Manager
2nd Class Manager
9 Waste Material Treatment Environmental Hygiene Management Training Course
Environmental Hygiene Management Engineer for Building Facilities
Engineer for Building Facilities
8.2.5 Comparison of Engineer Qualifications between Vietnam and Japan
Table 8.2.6 summarizes the comparison of qualifications between Vietnam and Japan and
Figure 8.2.1 shows a schematic view of the comparison. The differences between two
countries are briefly summarized below;
 National discipline-based engineer qualification, like an independent Professional

Engineers system, is not available in Vietnam. However, MOC has ratified the ASEAN
8-12
Chartered Professional Engineers. Anyone who holds construction practice certificates

stipulated in Circular 12/2009/TT-BXD can register the ASEAN professional engineers.
 The current construction practice certificates in Vietnam can be regarded as a category of

vocational engineer qualification. Currently, 20 construction practice certificates are
available in Vietnam. Meanwhile, there are over 14 qualifications available in Japan.
Comparison has clarified that there are many similarities in qualifications between two
countries. Particular note here includes the following;
(1) Vocational Qualifications
Vocational qualifications in Japan are managed by several ministries, MLIT, MOHL, MOET,
and MOE, following specialty for each ministry.
On the other hand, MOC is a dominant organization handling construction practice

certificates in Vietnam.
(Reference)
MLIT; Ministry of Land, Infrastructure, Transport and Tourism
MOHL; Ministry of Health. Labor and Welfare
MOET; Ministry of Economy, Trade and Industry
MOE; Ministry of Environment
(2) Examination of Applicants
Qualifications in Japan are awarded to the applicants by means of examinations in principle,

so that anyone who passed the examination can equally use this qualification in his businesses.
Use of examination systems facilitates the grading of qualifications.
Meanwhile in Vietnam, certificates for architecture, construction engineering and cost

estimate arc issued based on the document evaluation, and likewise those for construction
supervision are issued, obliging candidates to take training courses and brief end-term
examinations.
(3) Grading of Qualifications
Qualifications in Japan are focused more on raising supervisor-class or manager-class

engineers and on ensuring their eligibility. Anyone who passed the examination for a higher
grade qualification can get a position of supervisor or manager. This is because of the fact that
in the design and construction works contracted out to consultants or contractors, the
companies should take whole responsibilities for the quality of the products, thereby eligible
supervisors or managers plays important roles to ensure quality.
8-13
On the other hand in Vietnam, the eligibility of supervisor-class or manager-class engineers is

examined based on their academic records and past experiences, following DecreeNo.12/2009.
Table 8.2.6 Comparison of Engineer Qualifications
Classification Vietnam Japan

Discipline-based National qualification is not available Professional Engineers consisting of 21
qualification system Mutual authentication with ASEAN disciplines
Chartered Professional Engineers Mutual authentication with APEC Engineers
National  Four(4) categories and 20 construction  About 8 categories and over 17
Qualifications practice certificates qualifications
a. Architecture with 3 work types a. Surveyor
b. Construction Engineering with 12 work b. Architect with 4 qualifications
types c. Supervisor for water supply facilities
c. Construction Supervisor with 4 work d. Supervisor for fire/disaster prevention
types facilities
d. Cost Estimate e. Supervisor for electric facilities
f. Supervisor for construction
 Vocational certificates management with 6 qualifications
a. By Circular03/2010/TT-BXD g. Supervisor for Safety and health with 2
Mason – Finishing, Formwork – qualifications
Scaffolding, Reinforce bar – Welding, h. Waste material management engineer
Concrete, Clay, Ceramic tile
manufacturing, Sanitary faience
manufacturing, Glass manufacturing,
Urban greenery managing stone
sculpture.
b. By Circular 04/2011/TT-BXD
Water supply, Electricity fitting, Water
pipes fitting, Technology pipes fitting,
Metal structure erection, Construction
machinery repairing, Construction
carpenter and interior decoration,
Township management, Drainage,
Cement manufacturing equipment.
c. By Circular 10/2011/TT-BXD
Welding.
8-14
Qualifications in Vietnam Qualifications in Japan
 APEC Engineers National Professional Engineer

Civil Engineer Structural Engineer 1. Professional Engineer in Japan (MOEC)
1.1. Mechanical Engineering
Geotechnical Environmental
1.2. Marine and Ocean Engineering
Engineer Engineer
1.3. Aerospace Engineering
Mechanical Engineer Electrical Engineer 1.4. Electrical & Electronics Engineering
1.5. Chemistry Engineering
1.6. Textiles Engineering
Industrial Engineer Mining Engineer
1.7. Metals Engineering
1.8. Mining Engineering
Chemical Engineer Information Engineer 1.9. Civil Engineering
1.10. Water Supply & Sewerage Engineering
Bio Engineer 1.11. Sanitary Engineering
1.12. Agriculture Engineering
Australia, Brunei, Canada, Chile, People's Republic of 1.13. Forest Engineering
China, Hong Kong China, Indonesia, Japan, Korea, 1.14. Fisheries Engineering
Malaysia, Mexico, New Zealand, Papua New Guinea,
1.15. Industrial Engineering
Peru, The Philippines, Russia, Singapore, Chinese
1.16. Information Engineering
Taipei, Thailand, USA, Viet Nam (21 countries)
1.17. Applied Science Engineering
 ASEAN Chartered Professional Engineers
(ACPE) 1.18. Biotechnology & Bioengineering
Decision No.820/ QD-BXD, 6 Aug 2009 (MOC) 1.19. Environment Engineering
1.20. Nuclear & Radiation Engineering
1.21. Comprehensive Technical Management
National Vocational Qualifications
Circular No.12/2009_TT-BXD: Construction 1. Survey (MLIT)

Practice Certificates 1.1 Registered Surveyor
1. Architecture
1.1. Design of Construction Plan 2. Design & Construction Supervision for Building
1.2. Design of Architectural Works Works (MLIT)
1.3. Design of Interior-exterior works 2.1 Architects (1stArchitect /2nd Architect /Wooden
2. Construction Engineering Structure Architect)
2.1. Design of Structure Works 2.2 Structure 1st Grade Architect
2.2. Design of Electrical Works 2.3 Facility 1st Grade Architect
2.3. Design of Electro-Mechanical Works 2.4 Building Work Facility Engineer
2.4. Design of Water Supply and Drainage 3. Design & Construction Supervision for Water
2.5. Design of Heat Supply Supply Facilities (MOHL)
2.6. Design of Ventilation and Air Conditioning 3.1 Supervisor for Water Supply Facilities
2.7. Design of Communication Network in 4. Design & Construction Supervision for Fire and
Construction Works Disaster Prevention Facilities (MOIC)
2.8. Design of Fire Prevention and Protection 4.1 Fire and Disaster Management Engineer
2.9. Design in other Field 5. Design & Construction Supervision for Electric
2.10. Topographic Survey facilities (MOET)
2.11. Geological Survey 5.1 Registered Electrician
2.12. Hydrological Geology Survey 6. Construction Management Supervision –
3. Construction Supervisor Managing Engineer/Chief Engineer (MLIT)
3.1. Supervision of Construction Survey 6.1 Construction Machinery Operation Engineer
3.2. Supervision of Construction and Finishing 6.2 Civil Work Management Engineer
Work 6.3 Building Work Management Engineer
3.3. Supervision of Equipment Installation Works 6.4 Electronic Work Management Engineer
3.4. Supervision of Technological Equipment 6.5 Plumbing Work Management Engineer
Installation 6.6 Landscape Management Engineer
4. Cost Estimate 7. Safety and health (MOHL)
7.1 Safety Manager
(Note) Practices in Japan 7.2 Safety and Health Supervisor
MOIC; Ministry of Internal Affairs and Communications 8. Waste Material Management (MOE)
MOEC: Ministry of Education, Culture, Sports, Science 8.1 Environmental Hygiene Management Engineer for
and Technology Building Facilities
MOHL; Ministry of Health. Labor and Welfare
MOET; Ministry of Economy, Trade and Industry
MLIT: Ministry of Land, Infrastructure, Transport and
Tourism
MOE; Ministry of Environment
Figure 8.2.1 Comparison of Engineer Qualifications between Vietnam and Japan
8-15
8.2.6 Recommendations for Developing Engineering Qualification Systems in Vietnam
Engineer qualification is a sort of certificate which ensures engineer’s professionalism in the

specified discipline or in the specified business domain. There are in general two types of
engineer qualifications as follows. Recommendations regarding these qualifications are
briefly summarized below.
 Engineer qualifications without employment restriction
 Engineer qualifications with employment restriction
(1) Engineer Qualifications without Employment Restriction
Professional Engineer (PE) qualifications in USA, Canada, Japan and many countries
worldwide are the engineer qualifications without employment restriction, but to simply
certify their abilities, so that the PE qualifications are not those mandated by regulations
unlike vocational qualifications.
PE in Japan is defined in the PE Law as a leading expert on science and technology, who is
publicly recognized as being able to render guidance and counsel on research, development,
design and evaluation relating to technology, improving the quality and the manufacturing
process of products, formulating and managing project plans, investigating the causes of
accidents and assessing the damages.
PE will be hopefully a national leading qualification in Vietnam, keeping its status of

covering not only various construction sectors, but also various technological disciplines
regardless of employment restriction. Moreover, as internationally approved qualifications,
PE will play an important role, being mutually certified with APEC Engineer.
With these reasons, it is recommended that MOC and relevant ministries in Vietnam should
study the potential of developing the Professional Engineering system in Vietnam as the most
representative national qualification.
(2) Engineer Qualifications with Employment Restrictions
The latter qualifications are to ensure engineer’s ability which can meet specific business
requirements, so that those without the qualification are not allowed to get jobs associated
with the qualification.
Current engineer qualification systems in Vietnam look very similar to engineer qualifications
with employment restriction in Japan as shown in the above Chapter.
For the further expansion of the current system, MOC is recommended to carry out demand
analysis on the needs of specialists in the construction sector and draw a concept plan for the
development of engineer qualifications.
8-16
(3) Grading of Engineer Qualifications
It is recommended to develop grading systems of engineer qualifications, such as 1st Grade

and 2nd Grade, in particular for “Architecture” and “Construction Supervisor” as a high
priority issue. It is needed to develop grading systems in order to meet the demand for
manager-class or supervisor-class engineers. Current system in Vietnam has explained that
any engineers wishing to be managers or supervisors satisfy the conditions stipulated in
Decree No.12 in addition to relevant construction practice certificates. They are requested to
propose the document showing the discipline of university graduate, duration of job
experience and the number of experienced projects. However, it is more preferable to apply
examinations in accordance with the grading of qualifications rather than the document
examinations, because of the transparency of judgment.
In addition, in the society where many works including designs, supervisions and construction
works are outsourced to private companies, manager-level qualification holders play an
important role in their companies in supervising the tasks undertaken by the companies,
thereby ensuring the quality of the works. MOC is recommended to incorporate the grading of
qualifications into the current qualification system.
(4) Evaluation of Eligibilities -Examination and Training Courses
In conjunction with the above issue (3), use of examinations will be beneficial in evaluating
candidate’s eligibility. However, a particular note here is that this does not mean that
examinations be applied to all the qualifications for evaluation, but another possible way of
providing knowledge is to oblige candidates to take training courses. Proper selection of
applying examinations or training courses should be studied in accordance with the types of
qualifications.
(5) Integration of Design Capacity and Construction Supervision Capacity
In the construction sector, design and construction supervision are the two sides of the same
coin. Knowledge and experience of design are needed for enhancing construction supervision,
and on the contrary, knowledge and experience of construction supervision are needed for
improving design, so that MOC is recommended to integrate the current qualification system
separately handling design and supervision.
(6) Engineer Qualifications Common to Consultants and Contractors.
Qualifications are in principle given to individual engineers based on the evaluation of their
personal eligibility, so that separate handling of qualifications between consultants and
contractors is not beneficial. Rather, it is important to set qualifications independent from job
categories, thereby reducing the number of qualifications.
8-17
(7) Safety Supervisor
Circular 22/2010/TT-BXD stipulates that contractors should take a responsibility for

establishing a network and division for managing labor safety at their construction sites
(Article 6). Circular 22 also prescribes the responsibility of the staff dedicated to labor safety
in their projects. As regards the safety engineer, MOC is recommended to mandate them to
take official training courses on the labor safety during construction which must be offered by
authorized organizations.
8.3 IMPROVEMENT OF SUPERVISION QUALIFICATION SYSTEM
8.3.1 Improve Examination and Training System
(1) Implement Unified Examination (Plan-1)
1) Objective
Objective of this plan is to improve the current exam system that is said to be unfair and
unreliable. As the result of this improvement, new applicants of GS1 and GS2 will be
encouraged to study hard to pass the new exam.
It is expected that existing dishonest acts will be drastically decreased if this new plan gets on
right track.
2) Centralization on Examination Management
Current practices explain that authorized training centers develop exam questions on their
own, so that the quality of examinations varies depending upon training centers. In order to
avoid this unfairness, it is recommended to limit the number of authority preparing exam
questions into one organization.
MOC and some DOCs are deemed the most reliable organizations to manage the
examinations. The Project therefore strongly recommends that MOC implements the new
examinations itself.
In conjunction with this, it is recommended to establish a “Qualification Examination Center”

(QE Center) inside of MOC for the purpose of managing the examination (Table 8.3.1 Plan
A). This QE Center is expected to make a question database to prepare for the exam questions
effectively. This center is also recommended to supervise, to score the new exams and to
issue exam certificates to applicants. The applicants then submit them to DOC to obtain
qualifications.
8-18
In implementing the unified examination there are many staffs needed to manage the
examination, so that supports from staff of university and academies belonging MOC may be
necessary. Some universities and academies located main cities are recommended to be used
as examination location. The examination therefore should be implemented on Sunday or
holiday of the universities.
Proposed revision will not burden on DOCs, but works of MOC will be expanded. Although
independent and nonprofit institutions are currently involved in the qualification system in the
foreign countries to alleviate workloads of the ministry following their decentralization
policies, but high reliability cannot be expected in Vietnam at the present stage. Therefore QE
Center is recommended establishing into MOC for the mean while.
Table 8.3.1 Comparison of Authorities Implementing Examination

Plan A
Plan E
Qualification Plan C Plan D
Plan No. Authorities Training Center
Examination DOCs Institution
(TC)
Center in MOC
Number of Authorities 1 63 1 33 (Hanoi27)
Question Maker QE Center MOC Institution MOC
Supervisor of Exam QE Center DOCs Institution TC
Staff of
schools &
Staff of Exam (Examiners) DOCs Institution & TC TC
academies
belonging to MOC
Scorer of Exam QE Center DOCs Institution TC
Location of Exam Schools Schools Schools TC
Countries installing a
Singapore, China Japan, Indonesia
Similar System
1.Prevent ● Doubtful
○ Very Good ● Doubtful ● Poor
Wrongdoings （Some DOCs）
● Needs to make
● Needs to ● Needs to make
△ Needs to 63 DOCs
2.Workload of establish a new 33 training
establish QE provide exam
MOC institution and centers provide
Center in MOC without
administrate it a reliable exam
○:Adv wrongdoing
antage ● Needs to
△:Sm 3.Workload of establish a
○ Nothing ○ Nothing ○Nothing
all DOC division in each
Disad DOC
vantag 4.Future
e ● Difficult to
expandability for ●Difficult to
●:Disa provide the
high-level exam ○ Acceptable ○ Acceptable provide the same
dvanta same quality
for high-level quality exam
ge exam
qualifications
○ Implementing
5.Accessibility of △ Implementing at △Implementing △Implementing
at every
Applicants main cities at main cities at main cities
province
△ Needs to rent
6.Facilities & △ Needs to rent △ Needs to rent ○Owning
facilities
Staffs facilities &staff facilities &staff classrooms
&staff
Evaluation of This Project Recommended Future Plan
8-19
Figure 8.3.1 QE Center in CAMD
Figure 8.3.2 Current Process ⇒ Unified Examination
3) Studies to Implement the Unified Examination
Table 8.3.2 shows a comparison of examinations. Japanese four qualifications shown in the
table are 1st and 2nd-class Civil Engineering CME and 1st and 2nd-class Architectural CME.
Vietnamese current qualification for supervisor is shown next. It is necessary to decide some
details such as examination locations, frequency date, fee, question style, ration of technical
questions and regulations + ethics, time, and selection of successful examinees. For each topic,
this project recommends some suggestions as below.
8-20
a. Locations
There are 10~19 locations provided qualification examination in Japan. The land size and
shape of Vietnam and Japan are similar, so it is recommended that unified examination should
be implemented at least 10 locations in Vietnam.
b. Frequency
Frequency of Japanese examinations is once a year. Vietnamese people do not get used to
take unified examination only once a year, but it is recommended that frequency of the
unified examination be once (or twice) a year. There are three reasons to support this
recommendation.
 If examination is implemented only once or twice a year, most candidates want to avid to
fail the examination, because they have to wait long time to challenge the next unified
examination. Therefore, most of them study enough to pass the unified examination. This
way encouraged candidates study hard before challenging the unified examination.
 Candidates who fail examinations are recommended to study more than half year before
challenge the next unified examination.
 It is very difficult what only one authority frequently implements unified examination in a
year. Workloads of QE center should be limited to minimum essentials.
Table 8.3.2 Comparative Table to Decide the Details of Vietnamese New Examination
Japanese 1st- Japanese 2nd- Japanese 1st- Japanese 2nd-

Name of class, Civil class, Civil class, class Vietnamese Vietnamese
Qualifications Engineering Engineering Architectural Architectural Current Exam New Exam
CME CME CME CME
Implementing Independent Independent Independent Independent Authorized QE Center
Organization Organization Organization Organization Organization Training Center (MOC)
Locations 13 nationwide 19 nationwide 10 nationwide 13 nationwide 33 More than10
Sapporo, Sapporo, Sapporo, Sendai, Sapporo, North: Ha Noi: 27 ・North: 4
Kushiro, Kushiro, Tokyo, Niigata, Aomori, Middle: Da Nang: ・Middle: 2
Aomori, Sendai, Aomori, Sendai, Nagoya, Osaka, Sendai, Tokyo, 1 ・South:4
Tokyo, Niigata, Akita, Tokyo, Hiroshima, Niigata, South:
Nagoya, Osaka, Negate, Toyama, Takamatsu, Kanazawa, ・Binh Duong: 1
Okayama, Shizuoka, Fukuoka, Naha Nagoya, ・DoungNai: 1
Name of Cities
Hiroshima, Nagoya, Osaka, Osaka, ・Ho Chi MInh: 3
( Vietnam:
Takamatsu, Matsue, Hiroshima,
Provinces)
Fukuoka, Naha Okayama, Takamatsu,
Hiroshima, Fukuoka,
Takamatsu, Kagoshima,
Kochi, Fukuoka, Naha
Kagoshima,
Naha
Frequency of
Once a Year Once a Year Once a Year Once a Year Every month 1 (or 2) a Year
Exam
a few month
Application
April April February July before the
Month
examination
Exam Spring or
Academic July October June November
Date Autumn
8-21
Japanese 1st- Japanese 2nd- Japanese 1st- Japanese 2nd-

Name of class, Civil class, Civil class, class Vietnamese Vietnamese
Qualifications Engineering Engineering Architectural Architectural Current Exam New Exam
CME CME CME CME
Practical October October
(CQM)1,700,000V
ND for
Depend on
Exam 1,045,000 1Compulsory +
Academic 1,822,000 dong 911,000 dong 2,090,000 dong expense of
Fee dong 1Technical Subject
QE Center
including training
fee
Practical 1,822,000 dong 911,000 dong 2,090,000 dong 1,045,000
Exam Multiple Choice Multiple Choice Multiple Choice dong
Multiple Multiple Choice Multiple
Academic
Type (1/4) (1/4) (1/4) Choice (1/4) (1/2-5) Choice (1/4)
Practical Writing Writing Writing Writing
Regulation+
1st-Day 1st-Day Regulation: 30m
Exam Ethics: AM 1h
Academic AM: 2h 30min AM: 2h 10min AM: 2h 20min AM: 2h 30min Three Technical
Time Technical
PM: 2h PM: 2h 10min Fields: 30m each
Fields: PM 3h
2nd Day: 2h
Practical PM: 2h 2nd Day: 3h PM: 2h
45min
No. of Examinee 34,900 31,467 25,195 23,081 9,611 About 10,000
Depend on
Pass
demand of the
Rate Academic 50.9% 59.0% 34.9% 34.9% Almost 100%
construction
(2009)
industry
Practical 19.1% 21,5% 41.1% 31.1%
1st-Day AM: AM: Academic 1st-Day AM: AM: Compulsory Regulations+
Academic ・Civil Eng Academic Academic Subject Ethic
Civil Eng (General) ・Architect ・Architect (compulsory):
(General) 9Q/11QChoice 12Q /15QChoice 9Q/14QChoice Legal regulations 1hour
12Q/15Q Choice 5Q Compulsory 3QCompulsory and general issues
・Civil Eng ・Civil Eng. 5Q/13Q Choice on construction Technical fields
(Specific) (Specific) 5Q/12Q Choice ・Regulation supervision (Optional):
10Q/34Q Choice 6Q/20QChoice 6Q / 8QChoice 3hours
1st-Day PM: Optional Subjects
・Regulation ・Regulation Academic ・Supervising
8Q / 12Q Choice 6Q / 11Q Choice ・Supervising Construction Construction
Construction 10Q supervision of
civil, industrial and
Exam
1st-Day PM: ・Engineering 25Q Compulsory Compulsory
Academic ・Regulation infrastructural
Components (General)
・Engineering 4Q Compulsory 8QCompulsory ・Architect works
(2009)
(General) 6Q/15Q
5Q Compulsory ・Supervising 2nd-Day: Construction
Choice
Practical Fields supervision of
Construction 6Q /15Q
transportation
・Supervising 15Q Compulsory ・Supervising Choice
works
Construction Construction
Construction
30QCompulsory PM: 6Q Compulsory PM: Practical
supervision of
Practical Fields Fields
irrigational and
2nd-Day: ・Supervising ・Supervising hydropower works
Practical Fields Construction Construction
・Supervising 3Q Compulsory 5Q
Construction 1Q / 2Q Choice Compulsory
1Q Compulsory
3Q / 5Q Choice
8-22
c. Examination Date
According to Table 8.3.2, Japanese unified examination is implemented June, July, October
or November. There are no specific reasons to decide these days. It is recommended that
summer season should be avoided in Vietnam, because many air conditioners are used in hot
days and this situation usually causes blackout. Winter is quite cold in Hanoi, so spring or
autumn season is recommended to implement the unified examination.
d. Examination Fee
It is recommended that all expense of QE center be covered by income of examination fee.

Namely, it is necessary to calculate the expense of QE center to decide the examination fee.
Price level of Vietnam and Japan is absolutely different, so it is not a good way to compare
between the Japanese examination fee and Vietnamese examination fee.
e. Examination Question Style
The Project recommends using a multiple-choice scoring method to decrease the workloads of
QE center. Current examination questions are too simple, so it is recommended to make
f. Ratio of Technical Questions and Regulation + Ethic Questions
In the case of Japanese qualifications that are Civil Engineering CME and Architectural CME,
ratio of examination questions for regulations + ethic is from 12% to 15% (Table 8.3.3). In
the case of Vietnam, regulations are frequently revised, so it is a very important topic for
supervisors. Ethic is also very important for Vietnamese people. Therefore the ratio of
examination questions relating regulations and ethics should be greater than the ration of
Japanese examination questions. It is therefore recommended that 25% questions should be
from the regulations and ethics field.
Figure 8.3.3 Ratio of Technical Questions and Regulation + Ethic Questions in Japan
8-23
g. Examination Time
In the case of Japanese 2nd-class Civil Eng. CME and 2nd-class Architectural CME,
examination time is 4 hours and 30 minutes. Regarding the Japanese information, this project
recommends the examination time as shown below:
 Regulation/Ethic (Compulsory Questions) ：1 hour (25%)
 Technical Fields (Compulsory and Optional Questions) ：3 hours (75%)
h. Selection of Successful Examinees
There are three ways to select successful examinees as shown in Table 8.3.3. Fixed “pass rate”
method is recommended, but requirement for the number of qualification holders depends on
the demand of Vietnamese construction industry. Therefore, number of exam passer for the
current qualification should be fixed. It is recommended to fix the ratio of successful
applicants for the intermediate and advanced qualification in case that these level
qualifications are provided. Capability of these higher level qualification holders should be
stable. Details of the Intermediate and Advanced qualification are explained hereinafter.
Table 8.3.3 Three Methods to Select Successful Examinees
Example Advantages Disadvantages

Fixing University Entrance Exam Number of exam passer can be Ability of exam passer depends
Number of Passer fixed for demands on number of applicants
Fixing Term-end Exam Applicants can know how many Ability & Number of exam
Pass Score Driver license exam score do they need to take passer depend on difficulty of
exam
Fixing Qualification Exam in Ability of exam passer is stable Number of exam passer depends
Pass Rate Japan on number of applicants
(2) Implement Optional Training Courses (Plan-2)
1) Objective
The plan is intended to provide applicants equipped with sufficient capability with
opportunities to challenge examinations directly without taking training courses. On the other
hand, the plan encourages training centers to develop high quality and a variety of training
programs.
2) Alleviate Excess Burden on the Applicants
Applicants who are capable enough do not need to take training courses. They should be
allowed to challenge the new examination directly. Therefore, the project recommends that
regulations should not oblige candidates to take the training courses before taking
examinations.
8-24
3) Encourage Training Centers to Develop High Quality Training Programs
Other Applicants are encouraged to take training courses before challenging examination.
Most training centers are recommended to provide high quality training courses facilitating
trainees to challenge the new examinations. The centers should make an effort in attracting
more trainees. Good reputation would be important for training centers.
4) Diversify Training Courses
In the current system, the curricula and the time schedules for the existing training courses
have been decided by MOC, following Circular No.25/2009/TT-BXD, 29 July 2009. By
changing the training courses to be optional, every training center can develop a variety of
training courses to attract applicants, such as short-term courses, night courses and so forth.
Figure 8.3.4 Unified Examination ⇒ Optional Training
5) Time to Change
It is recommended that the current compulsory training courses should not be changed to the
optional training courses until unified examination gets on right track.
8.3.2 Continuous Professional Development (CPD)
(1) Provide Short Term Training Courses in the Qualification Renewal (Plan-3)
1) Objective
This plan is intended to obligate existing qualification holders to keep maintaining their
competence. It provides qualification holders with opportunities to learn update information
8-25
on their professional domains, obligating them to take compulsory 1 or 2-day training courses
every 5 years when renewing qualifications.
2) Japanese 1-day Training Course for Site Manager
Under the current regulations, if construction cost of a project is more than 30 million yen
(6.7 billion VND), site manager is obliged to have a certificate of “1-day Training Course
Attendance” and certificate of “Site Manager” in Japan. The certificate of Site Manager
requires a qualification (1st-class Civil Engineering CME). Civil Engineering CME does not
need to be renewed, but both certificates need to be renewed every 5 year. Japanese system
seems to be a good model for the Vietnamese new system. Basic information of the Japanese
1-day Training Course is as below:
 Provider : Authorized Independent Unprofitable Institution
 Location : Nationwide
 Facilities : School, Conference Room, etc.
 Fee : 10,000 yen (about 2.2million VND) / 1 day
 Frequency: : About once a month (Depends on the number of applicants)
 Time : 9:00 ~ 16:40
Main contents of the training course:
 Tasks as a construction engineer in the construction industry (Ethic)
 Regulations
 Construction planning and management
 Construction safety management
 Environmental Mitigation
3) Provision of Update Information to the Qualification Holders
Regulations are frequently revised in Vietnam, but qualification holders are said to have
difficulty in following these changes. Short training course can be an effective way to provide
information on renewed regulations. Information on accidents at construction sites would also
be important information to raise their awareness towards accident. Qualification holders need
to renew their qualification every 5 year, so it will be a good opportunity to provide a lecture
when they renew their qualification.
Three plans (Plan A, B, C) for the short training course have been discussed with MOC and
Hanoi City DOC. These methodologies are shown in Table 8.3.4 and Figure 8.3.5, Figure
8.3.6, and Figure 8.3.7.
8-26
Table 8.3.4 Short Training Course Comparative Table of Plan A, B, C

Plan A Plan B Plan C
Provider Training Centers DOCs Training Centers
Location Training Centers DOCs Schools (Every Province)
Numbers △ 33 ○ 63 ○ 63
Accessibility ▲Only Big Cities ○ Nationwide ○ Nationwide
Efficiency ▲ Not Good ○ Very Good △ Good
Facilities ○ Classroom △ Conference Room ▲Need to use schools
Lecturers ○ Lecturers ▲ Need to hire lecturers △ Need to send lecturers to
Reliability ▲ Poor △ Fair ▲ Poor
Evaluation
Figure 8.3.5 Plan A
Figure 8.3.6 Plan B
8-27
Figure 8.3.7 Plan C
Candidate curriculums of this training course are as shown below:
 Tasks as construction engineer in the construction industry (Ethic)
 Revised regulations (at least recent 5 years)
 Construction safety management and case study of construction accidents
 Environmental mitigation
(2) Establish Intermediate Level & Advanced Level Qualification (Plan-4)
1) Objective
The objective of this plan is to provide higher level qualification and encourage qualification
holders to challenge these qualifications. The Project recommends that the current supervisor
qualification be changed to basic-level qualification and develop intermediate-level and
advantaged-level qualification on the basic-level qualification.
Most Japanese qualifications are classified into a few levels. High level qualifications require
applicants to take exams such as writing exam, short essay exam and official interview. Even
if applicants did not graduate a university, he/she can challenge the high class qualifications
(but required working experience is longer than applicants who graduated university).
2) To Raise Chief Class Supervisors
Establishing an intermediate-level qualification will be an efficient way to encourage the

current qualification holders to enhance their capacity and to get higher status of job
opportunities. The Intermediate-level qualification is to request higher knowledge, expertise
and technologies to comply with current advances in construction supervision technologies.
The Project recommends that Intermediate-level qualification be applied for chief class
supervisors or equivalent who will be involved in big projects.
8-28
3) To Raise Leader-Class Supervisors
Establishing an advanced-level qualification is a good way to raise leader class supervisors

who can manage overall supervision and transfer technologies to younger supervisors. Every
supervision consultant is advised to keep at least one advance-level qualification holder in the
company in the future.
Figure 8.3.8 Three Levels of the Supervisor Qualifications
Table 8.3.5 Requirements of Supervisor Qualification
Figure 8.3.9 Project Implementation Structure (Example)
8-29
Table 8.3.6 Examination (Example)
(Note) Examination Type:
 Multiple-Choice: Read questions and chose one answer
 Writing: Read questions and write answers
 Short Essay: Read topics and write essays about them
 Official Interview: Answer questions and discussions
8.3.3 Road Map
Table 8.3.7 shows a roadmap for improving construction supervisor qualification system
Table 8.3.7 Roadmap
Road Map (Year)

Plans
2011 2012 2013 2014 2015 2016
General Activity(2011)
1 Agreement with CP & PMU
2 Hearing Opinions from Stakeholders
3 Agreement with MOC
Implement Unified Examination (2012, 2013)
1 Prepare & Establish QE Center
2 Make Question Data Base
3 Prepare & Implement Unified Exam
4 Revise Regulations
Implement Optional Training Courses (2013)
2 Implement Optional Training Course
Provide Short Term Training Courses in the Qualification Renewal (2014)
2 Prepare & Provide Short Term Training Courses
Establish Intermediate-Level (2014) & Advanced-Level Qualification (2016)
2 Prepare & Implement Unified Exam
8-30
8.4 IMPROVEMENT OF SITE MANAGER QUALIFICATION SYSTEM
8.4.1 Background and Rational
Why eligible Site Managers are needed in the construction sites?
 It was reported on many occasions through hearing from counterparts and local
contractors in the course of initial study that lack of management in terms of construction,
sub-contract and quality was caused by “Site Manager” who had no capacity and
knowledge to fulfill his roles for assignment.
 There are four engineer qualifications which are for Architect, Engineer, Construction
Supervisor and Construction Cost Estimator, but no qualification for Site Manager in
Vietnam.
 Therefore a person who has certain academic qualification and job experience to meet
with requirement stipulated in the relevant legal document can be appointed as Site
Manager.
 However it is obvious that certain capacity and knowledge in terms of relevant laws,
ethics and engineering are essential for Site Manager for construction project and review
of qualification system for Site Manager was requested by MOC. This request was made
in the course of study for Activity 4: Improve Existing Engineer Qualification System.
 In this study, roles of Site Manager for construction project will be reconfirmed with
recognition of common purpose of the project, i.e. completion of construction safely to
meet with required quality within required time based on sharing of responsibilities
between Client, Consultant and Contractor under construction contract.
 The required experience and ability for the roles of Site Manager will be further studied.
Upon identification of the difference from those required under the existing qualification
system, a revised qualification system will be proposed.
8.4.2 Current Practices in Vietnam
The following legal documents are referred for this study.

 Decree 12/2009/ND-CP on Management of Construction Investment Projects
 Circular 12/2009/TT-BXD, Detailed guidelines on the issuance of Construction Practice
Certificate
 Circular 25/2009/TT-BXD, Guidance on Professional Training of Construction
Investment Project Management and Construction Supervision
 Decree 209/2004/ND-CP on Quality Management of Construction Works (currently
under process of revision)
 Regulations relevant to engineer qualifications
8-31
(1) Qualification System for Construction Company
 Eligibility requirements for Architect, Engineer and Construction Supervisor are

stipulated in Decree 12.
 These requirements are stipulated based on academic background and work experience in
construction site. Completion of training course on construction supervision is required
for Construction Supervisor.
 The possession of training certificate and professional certificate for individuals entering
construction activities and construction supervisor and individuals working independently
perform design work for construction planning, construction work and construction
supervision is stipulated in Decree 12.
 Number of people having professional certificate of Construction Supervisor is required

as capability of supervision consulting companies in Decree 12.
 Employment of Architect and Engineer is required as capability of construction company

in Decree 12. However those Architect and Engineer for construction company don’t
need to be qualified and having Construction Supervisor is not required as capability of
construction company.
(2) Site Manger and Contractors Representative (Site Agent)
 Appointment of Site Manager is condition for carrying out the construction works under
Law on Construction.
 Academic background and work experience in construction site are indicated as

qualification requirements for Site Manager in Decree 12. However neither completion of
lecture class nor issues of certificate of qualification are stipulated in the Decree
 Site Manager is usually not Contractor’s Representative.
 Representative of Contractor is defined in Article 1. of Contract Form guided by MOC

and obligations of Contractor are stipulated in Article 11.2 and 11.3. However no clear
statement of the roles of representative of Contractor and demarcation of responsibilities
among construction site organization is provided in the Contract Form and Construction
Law.
 Full-Time assignment of Site Agent and Site Manager to construction site is not stipulated
in Construction Law and Contract Form.
(3) Management of Construction Quality by Contractors
 The following eight activities as the specific actions of quality control to be made by
Construction Contractors are stipulated in Decree 209.
8-32
- Setting up quality management system
- Test of construction material and equipment
- Planning construction method and schedule
- Opening, and making entries in, construction diaries according to regulations
- Examining labor safety and environmental sanitation
- Checking and accepting internally and making construction as-built drawings
- Reporting to investors on construction progress, quality, safety, environmental

sanitation
- Preparing documents for checking and acceptance
 The ability to cope with these activities shall be improved by this project and persons who
should have such ability are target of Qualification System.
(4) Project Organization
 Relationship of parties under Construction Contract in Vietnam is shown on the following

Figure 8.4.1.
 Numbers of Contractors Representative of each company in Vietnam are quite limited.

Therefore there is usually no Full-Time representative on site.
 Contractual communication among Client, Consultant and Contractor is made by each

representative.
 Technical matters shall be dealt by competent Site Manager and Construction Supervisor
and Site Manager shall direct his Sub-Contractor from technical management point of
view.
8-33
Client
Contract Contract
Client Representative
Contractual Contractual
Communication Communication
Construction Contractor Supervision Consultant
Contractor’s Representative Consultant’s Site Representative

Contractual
Communication
Site Office Construction Supervisor
Site Manager Technical
Communication
Engineer
Contract Technical management
Contractor’s Representative
Site Office
Site Manager
Engineer
Figure 8.4.1 Project Organization
8.4.3 Overseas Practices (Practices in Japan)
(1) Contractor’s Representative (Site Agent) in Japan
 It is stipulated in Standard Contract Terms and Conditions for Public Works in Japan that
Site Agent shall be appointed on FULL-TIME basis at site.
 It is also stipulated in Standard Sub-Contract Terms and Conditions for Construction

Works in Japan that Site Agent for Sub-Contractor shall be appointed on FULL-TIME
basis at site.
 The Contractor shall notify the Client in writing of power delegated to their Site Agent as
stipulated in Article 19.2 of Construction Contractors Law.
 Site Agent is the Contractor’s representative under the Contract and is not necessary to be
technical staff of the Contractor. Indeed Site Agent need to hold technical qualification
such as Managing Engineer stated below according to tender requirement for most of the
project.
8-34
(2) Managing Engineer and Chief Engineer in Japan
The Construction Contractors Law claims two major requirements for Managing Engineer
and Chief Engineer.
1) Construction Company Responsibility in Japan
 The construction companies shall assign Full-Time Engineer to each business office as
requirement for obtaining construction business license in order to execute construction
contract appropriately and protect the Client against the risk under the Contract as
stipulated in Article 7, Item 2 of Construction Contractors Law.
 In addition, construction companies should take responsibility for assigning Managing

Engineers or Chief Engineers to the construction projects under contract for technical
management and control of construction at site.
 For public or large important facilities or structures construction works of which total
contract price is not less than 25 million JPY (for lump sum building works, not less than
50million), Managing Engineer or Chief Engineer to be appointed shall be on FULL-
TIME basis regardless of main contract or sub-contract.
 FULL-TIME basis means exclusive duty prohibiting concurrent assignment for more than
one project. Therefore such FULL-TIME Engineers shall be assigned continuously at all
times for construction site concerned. (FULL-TIME basis appointment is stipulated in
FIDIC as well. The relevant parts of clauses in FIDIC are introduced in Appendix_8-1-1
for reference.)
 Employers and contractors should establish fair contracts and observe the contracts.
 Main contractors are not allowed to outsource whole segments of the projects to
subcontractors.
2) Individual Engineer Responsibility in Japan
 A Managing Engineer should be qualified for the First-Class Engineer shown below, the
Professional Engineer Qualification or those approved by the MLIT Minister.
【First-Class Engineer Qualification】
- First-class construction machine and management engineer
- First-class civil engineering works operation and management engineer
- First-class building works operation and management engineer
- First-class electrical works operation and management engineer
- First-class plumbing works operation and management engineer
8-35
- First-class landscape gardening works operation and management engineer
- First-class architect
3) Roles of Site Agent and Managing Engineer in Japan
 Roles of Managing Engineer and Site Agent are shown on the Table 8.4.1.
 Detail shall be referred to Appendix_8-1-2.
Table 8.4.1 Roles of Site Agent and Managing Engineer in Japan
SITE AGENT MANAGING ENGINEER

CONTROL OF CONSTRUCTION AT SITE
 ORGANIZATION
 COMMUNICATION
 To ensure allocation of responsibilities and  DIRECTION and SUPERVISION to
duties are clearly defined employee and sub-contractors
TECHNICAL MANAGEMENT
 Planning of Construction Method
 Quality Management
 Time Management
 Safety Management
 Environmental Management
COST MANAGEMENT
CONTRACT MANAGEMENT
(3) Employment Relationship of Managing Engineer and Chief Engineer in Japan
Employment relationship of Managing Engineer and Chief Engineer is described in

Implementation Manual of Managing Engineer System in Japan.
1) Employment Relationship Required for Managing Engineer and Chief Engineer in

Japan
Direct and constant employment relationships with construction company to which Managing
Engineer and Chief Engineer belong are required for ensuring appropriate execution of
construction works. In addition, the construction company which ensures appropriate
execution of construction works with such Managing Engineer and Chief Engineer appointed
will be evaluated as excellent company in terms of technology and management.
The client is required to deal with verification on the employment relationship with such
measures that the required conditions of employment relationship and obligation of
submission of documents showing employment relationship are clearly stipulated in design
document.
8-36
2) Definition of Direct Employment Relationship in Japan
Direct employment relationship means employment relationship between Managing Engineer

etc. and construction company to which he belongs with the defined rights and obligations in
respect of employment without room for intervention by third parties. The relationship is
required to be verified with qualification certificate, health insurance card or letter of advice
showing tax amount collected issued by local government. Therefore transferred staff and
dispatched employee cannot be treated as employees with direct employment relationship.
3) Definition of Constant Employment Relationship in Japan
Constant employment relationship means employment relationship with employee who is

ensured to work for the construction company to which he belongs in a certain period and to
work for the company for a certain hour every day. In addition, it is necessary that both
Managing Engineer etc. and construction company to which they belong are well aware each
other in terms of their technical ability, the construction company can assign their engineer to
construction site under their responsibility and their engineer can execute his duty with
utilization of company’s technology. More than 3 months employment relationship between
Managing Engineer and Construction Company who employs him prior to tender application
by the company is required for public construction works ordered by national and local
government.
It is necessary that constant employment relationship can be verified by issue date or renewal
history of qualification certificate, or issue date of health insurance card.
4) Disciplinary Actions in Japan
Construction Contractors Law in Japan provides penalties to control violations of the Law by
imposing punishment and non-penal fine. In those penalties, there are penal provisions for
engineers stipulated by Engineer Qualification System. The details are described in
Appendix_ 8-1-3.
(4) Examination of Civil Engineering Operation and Management in Japan
Examination for Civil Engineering Operation and Management (CEOM) consists of two
examinations in Japan. One is Academic Examination and another is Practical Writing
Examination.
1) Academic Examination in Japan
Academic Examination is further divided to two parts. One is elective A-Questions and
another is compulsory B-Questions.
8-37
A-Questions are established with three fields, i.e. “Civil Engineering”, “Method of Technical
Management and Control of Works” and “Laws and Regulations”. Those are provided
according to the following criteria.
 General Civil etc.
- To have general knowledge in respect of Civil Engineering, Electrical Engineering,

Mechanical Engineering and Architecture for execution of civil engineering
construction
- To have general knowledge in respect of design documents
 Method of Technical Management and Control of Works
- To have general knowledge in respect of method of technical management and

control of works, such as planning of construction method, quality management,
safety management etc.
 Laws and Regulations
- To have general knowledge in respect of laws and regulations for construction

practice
Numbers of questions and numbers of answers required are shown on the Table 8.4.2
together with time of examinations.
Table 8.4.2 Number of Questions and Number of Required Answers on Academic

Examination in Japan
(1) Academic Examination (Multiple choices from 4 items)

Required
Numbers of Type of Time of
Subjects numbers of
Questions Examination Examination
Answers
1.1 A- Questions 61 30 Elective 2hr 30min
1.1.1 General Civil 15 12
1.1.1.1 Earthworks 5
1.1.1.2 Concrete 6
1.1.1.3 Foundation works 4
1.1.2 Specific Civil 34 10
1.1.2.1 Structure 5
1.1.2.2 River/ Erosion and torrent control 6
1.1.2.3 Roads/ Pavement 6
1.1.2.4 Dam/ Tunnel 4
1.1.2.5 Coast/ Harbor 4
1.1.2.6 Railways/ Coating on steel 5
bridges
1.1.2.7 Waterworks/ Sewage works 4
1.1.3 Laws and Ordinances 12 8
1.2 B- Questions 35 35 Compulsory 2hr
1.2.1 Common Engineering 5 5
1.2.1.1 Survey 2 2
8-38
Required
Numbers of Type of Time of
Subjects numbers of
Questions Examination Examination
Answers
1.2.1.2 Contract/ Design 3 3
1.2.2 Technical management and control of 30 30
construction at site
1.2.2.1 Planning of construction method 4 4
1.2.2.2 Time management 5 5
1.2.2.3 Safety management 11 11
1.2.2.4 Quality management 7 7
1.2.2.5 Environment protection 1 1
1.2.2.6 Recyclable resource of 2 2
construction by-product
Total for Academic Examination 96 65 4hr 30min
2) Practical Writing Examination in Japan
Practical Writing Examination is established in respect of Method of Technical Management

and Control of Works to meet with the following criteria.
 Technical issues taken into account, contents of review for the issues and counter
measures taken at actual construction site in respect of subjects given are required to be
described in writing based on each applicant’s own experience.
- To have practical advanced skill to enable to carry out soil test and test for strength
etc. of civil construction materials with accuracy and take necessary measures to
ensure the required strength of construction objects according to the results of those
tests.
- To have practical advanced skill to enable to produce a planning of construction

method at site according to design documents and execute construction works
according to the plan.
Numbers of questions and numbers of answers required are shown on the Table 8.4.3
together with time of examinations.
8-39
Table 8.4.3 Number of Questions and Number of Required Answers on Practical

Writing Examination in Japan
(2) Practical Writing Examination

Subjects Numbers of Required Type of Time of
Questions numbers of Examination Examination
Answers
Method of technical management and 6 4 2hr 45min
control of construction at site
2.1 Explanation based on experience 1 1 Compulsory
Technical issues
Reviews
Counter measures
 Profile control in construction stage
 Temporary works for construction
 Preventive measures for accident
2.2 Earthworks, concrete, quality and safety etc. 5 3 Elective
3) Training for Managing Engineer in Japan
Training course for Managing Engineer in Japan is performed according to the Table 8.4.4
under Construction Contractor Law.
Table 8.4.4 Guideline of Training Course for Managing Engineer in Japan
Subject Content Time

1 Legal system regarding  Laws and ordinances 1.5hr
construction project  Policy regarding appropriate execution of
construction project
2 Technical management such as  Construction method planning 2.5hr
construction method planning,  Time management
time management, quality  Quality management
management etc.  Safety management
3 The latest type of materials,  Characteristics of materials and equipment 2hr
equipment and construction  Method of rationalization of construction methods
methods regarding construction  Technical standards regarding materials,
project equipment and construction methods
 Other necessary matters regarding materials,
equipment and construction methods
Training for subject 1 and 2 to be performed based on the latest cases
(5) Eligibility Requirement for Examination of Civil Engineering Operation and

Management in Japan
There are eligibility application requirement for Academic Examination and Practical Writing
Examination.
1) Application Requirement for Academic Examination
Application requirement for Academic Examination of 1st and 2nd CEOM are shown on the
Table 8.4.5 and Table 8.4.6.
8-40
Table 8.4.5 Application Requirement for Academic Examination

of 1st Class CEOM in Japan
Working Experience of Construction Supervision
Academic Background or Qualification Designated Subjects Other than Designated
Subjects
After graduation from University ≧ 3 years ≧ 4.5 years
After graduation from Junior College or Technical ≧ 5 years ≧ 7.5 years
College
After graduation from High School ≧ 10 years ≧ 11.5 years
Others ≧ 15 years
Qualification After passing examination ≧ 5 years
Holder of 2nd Applicant with working experience less than 5 years after passing examination
Class Civil
Engineering After graduation from Junior College N/A ≧ 9 years
Operation and or Technical College
Management After graduation from High School ≧ 9 years ≧ 10.5 years
Others ≧ 14 years
Table 8.4.6 Application Requirement for Academic Examination

of 2nd Class CEOM in Japan
Working Experience of Construction Supervision
Academic Background or Qualification Designated Subjects Other than Designated
Subjects
After graduation from University ≧ 1 year ≧ 1.5 years
After graduation from Junior College or Technical ≧ 2 years ≧ 3 years
College
After graduation from High School ≧ 3 years ≧ 4.5 years
Others ≧ 8 years
2) Application Requirement for Practical Writing Examination
Applicant for Practical Working Examination of 1st and 2nd Class CEOM shall be passed
Academic Examination of 1st Class and 2nd Class CEOM respectively last year or this year.
3) Working Experience
The “Working Experience” for 1st Class CEOM shown in the
Table 8.4.5 shall include more than one year “Leading Supervisory Experience”.
“Working Experience” means all technical working experience directly related to CEOM
including the following experience.
 Experience as Construction Contractor in direction and supervision of Civil Engineering

Construction including producing Working Drawings or experience as assistant
 Experience as Client’s site supervisor including experience as assistant
 Experience as Consultant’s construction supervisor including experience as assistant
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The following experiences not directly related to CEOM are excluded.
 Experience in design only
 Experience in miscellaneous tasks, simple labor work and clerical work for Civil
Engineering Construction
“Leading Supervisory Experience” means experience as Site Agent, Chief Engineer and
Construction Supervisor etc. in total technical direction and supervision of Civil Engineering
Construction to subordinates etc.
“Designated Subjects” means “Civil Engineering”, “Urban Engineering”, “Sanitary

Engineering”, “Traffic Engineering” and “Architecture”.
(6) Method of Confirmation on Academic Background and Work Experience in Japan
Academic background and work experience are confirmed with the following method;-
 Identification Confirmation for the qualified engineers will be made by the original
residence certificate issued by local government and photo.
 Academic background will be confirmed by original graduation certificate issued by

school from which the qualified engineers graduated.
 Work experience in construction site will be confirmed by “Certificate of Work

Experience”, forming a part of application form of national qualification examination,
certified by the representative of the company to which the applicant belongs.
The above requirement can be summarized as Figure 8.4.2.
Academic Background 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16
University
Study / Graduation
Entitlement of Application
start working 1yr 1.5yrs 3yrs 4.5yrs
Working Experience
Junior College or Technical College
Study / Graduation
start working 2yrs 3yrs 5yrs 7.5yrs
Working Experience
High School
Study / Graduation
start working 3yrs 4.5yrs 10yrs 11.5yrs
Working Experience
Others
Work / Entitlement
start working 8yrs 15yrs
1st Class CEOM Exam.
2nd Class CEOM Exam.
Figure 8.4.2 Eligibility Requirement for Application for Academic Examination of Civil
Engineering Operation and Management
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The results of the Questionnaire Survey on Qualification System in Japan carried out in 2011
are introduced in Appendix_8-1-4 for reference in order to understand present evaluation on
current qualification system in Japan.
8.4.4 Capacity Requirements for Contractors
It is important for project quality assurance as stipulated in Construction Contractors Law in

Japan that technical capacity of company and individual engineer can be effectively and
simultaneously developed. Therefore responsibility and technical capacity for company and
engineer shall be regulated to ensure capacity of the Contractors together with engineer to be
employed by them.
It is found that there are no regulations stipulating technical capacity of engineer to be

employed by the Contractors in Vietnam. In addition, it is recognized that no qualification
system for engineer to be employed by the Contractors is established.
8.4.5 Recommendation on Capacity Enhancement Plans of Site Manager
(1) Responsibility and Roles for Site Manager
It is confirmed that Site Agent shall take overall responsibility for the project with his
organization established and maintained and communication among all stakeholders made
under his direction including the following roles.
1) Technical Management
 Planning of Construction Method Statement
 Quality Management
 Time Management
 Safety Management
 Environmental Management
2) Sub-Contract Management
 Direction and supervision to sub-contractors
 Coordination among sub-contractors
3) Cost Management
 Budget, cost control and cash flow projection
 Payment certification for suppliers and sub-contractors
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4) Contract Management
 Contract documents review
 Documentation of site instructions, variations and clams
 Submission of monthly progress report and payment application
“Technical Management” and “Sub-Contract Management” are essential elements of Project

Management in terms of Construction quality Assurance to be handled by Site Agent.
However increase in size and complexity of construction project result in increase in work
load of Site Agent. In addition, it is recognized that there is difficulty in Vietnam to appoint
Site Agent on Full-Time basis for one contract package in one project. Therefore those two
management need to be carried out by active expert staff, i.e. Site Manager under Site Agent's
responsibility.
Under the circumstance, it is required to secure Capacity of Site Manager and Full-Time
capable engineer needs to be appointed as Site Manager.
Site Manager shall take responsibility on the above Technical Management and dealing with
Sub-contract Technical Management.
(2) Site Manager Qualification
The qualification system in Japan described in Section 8.4.3(4) has efficiently contributed
with appropriate assignment of qualified engineers to quality and safety assurance of
construction works and elimination of bad and disqualified contractors.
There is Construction Supervisor Qualification System in Vietnam which is currently being

utilized as eligibility requirement for Construction Supervisor of Supervision Consulting
Company as stated in Section 8.4.2(1).
Improvement plan (draft) for Optional Training Courses, Examination System and Training
Courses in Qualification Renewal recommended by this project are reviewed from the point
of view of Site Manager-1 and Site Manager-2 and supplementary consideration to them is
made.
The qualification system utilizing the current Construction Supervisor Qualification System
modified by principle of the Japanese System which consists of “1st Class Civil Engineering
Operation and Management Engineer Examination” and “Training for Managing Engineer” is
proposed to be adopted in Vietnam.
It is recommended that;-
 Site Manager-1 shall hold qualification of Construction Supervisor (Advanced Class)
 Site Manager-2 shall hold qualification of Construction Supervisor (Intermediate Class)
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(3) Requirement for Main Contractors who Execute State Construction Project
It is recommended that;
 Site Manager-1 in charge of technical management and sub-contract management for

awarded contract shall be appointed by Construction Contractor.
 Site Manager-1 for large contract shall be appointed on full-time basis. Site Manager-1
appointed shall not be assigned for other contract concurrently.
 Site Manager-1 for small contract shall be appointed. However the Site Manager-1
appointed is allowed for assignment for other contract concurrently.
 It is recommended that the above “small contract” is defined one small contract package
of which sum is less than 15 billion VND.
 Project owner has to determine suitable class of Site Manager and number of additional
qualified active engineer competent to Site Manager suited to his project size, importance
and difficulty.
(4) Requirement for Sub-Contractors who execute State Construction Project
It is recommended that;-
 Site Manager-2 in charge of technical management for awarded sub-contract shall be

appointed on full-time basis by Construction Sub-Contractor.
 Site Manager-2 appointed shall not be assigned for other contract concurrently.
(5) Examination and Training System
The following items are component of Examination and Training System for Site Manager as
an example. Those will be further reviewed and finalized in next stage.
1) Examination for Advanced Class Construction Supervisor
 Unified Examination
 Academic Examination and Practical Writing Examination
 One examination per year
2) Training for Site Manager
 One-day Compulsory Training for new application and renewal
 Validity of Training Certificate : 5 years
 Subjects for Training
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- Legal system regarding construction project
- Technical management such as construction method planning, time management etc.
- The latest type of materials, equipment and construction methods regarding

3) Optional Training prior to Unified Examination
 For applicant who need more knowledge for examination
 A variety of training courses including short-term and night courses
4) Subjects and Criteria of Examination and Training
Subjects and criteria of Examination for Advanced Construction Supervisor and subjects of
Training for Site Manager will be reviewed in next stage.
5) Conditions of Applying Qualifications for Construction Supervisors and Site

Manager in Vietnam
Eligibility requirement for application for Construction Supervisor Examination as an

example is shown on the Table 8.4.7.
Table 8.4.7 Eligibility Requirement for Application for Construction Supervisor (CS)
Examination
Working Experience of
Academic Background
For Basic Class CS Examination
After graduation from University 0 year
After graduation from Junior College or technical College ≧ 3 years
For Intermediate Class CS Examination
After graduation from Junior College or technical College ≧ 5 years
For Advanced Class CS Examination
After graduation from University ≧ 3 years
After graduation from Junior College or technical College Not applicable
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Eligibility requirement for Construction Supervisor and Site Manager as an example is shown
on the Table 8.4.8.
Table 8.4.8 Eligibility Requirement for Construction Supervisor and Site Manager
Working Experience of
Academic Background or Qualification
Construction Supervisor for works level IV
Qualification Holder of Basic Class CS After graduation from Junior College ≧ 3 years
or Technical College
After graduation from University ≧ 3 years
Qualification Holder of Basic Class CS After graduation from Junior College ≧ 5 years
or Technical College
Site Manager 2
Qualification Holder of Intermediate After graduation from University ≧ 5 years
Class CS + (One Grade-II works or TWO
Grade-III works)
Site Manager 1
Qualification Holder of Advanced After graduation from University ≧ 7 years
Class CS + (One Special or Grade-I works
or TWO Grade-II works)
The above requirement can be described in the following Figure 8.4.3
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Start
NO
University
graduate
YES
NO
Experience
Before 2003
Grade-IV works
YES
Special, Grade-I, II, III and IV

NO
Experience
> FIVE Grade-IV
works
Experience YES
NO
> 5 years
> ONE Grade-II works or Grade-III works
TWO Grade-III works and
CS2 cert NO
Collage
YES YES
NO Experience > 5
years
Class-2 Site Manager > TWO Grade-III
Experience >
NO 5 years
YES
Special, Grade-I, II, III and IV
YES
Class-2 Site Manager
Experience > 7 years NO Grade-II, III and IV works

> ONE Special or Grade-I
or TWO Grade-II works and
CS1 cert
Experience > 7 years NO

> TWO Grade-II works
YES and CS1 cert
Class-2 Site Manager

For remote area
YES
CS1 cert = Passing Certificate of

examination and Completion Certificate Class-1 Site Manager
of training for Advanced class
Special, Grade-I, II, III and IV works

CS2 cert = Passing Certificate of
examination and Completion Certificate of
training for Intermediate class
End
Figure 8.4.3 Flowchart of Eligibility Requirement for Site Manager
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The above requirement can be summarized as shown in Figure 8.4.4.
Figure 8.4.4 Conditions to be required for Application of Construction Supervisor and

Site Manage
6) Qualification System Diagram
 Present qualification system in Vietnam is organized and maintained by “MOC”, “DOC”,

“Training Centre” and companies or Career Association”.
 Applicant applies to those parties to get relevant certificates according to regulations.
 New organization, i.e. Qualification Examination Center (QE Center) for Unified
Examination will be established within MOC to receive application for the examination
and perform and manage the examination. Advanced Training for Advanced Class
Construction Supervisor will be carried out by existing Training Centre under QE
Center’s control.
 Upon issuance of examination certificate and training certificate for Advanced Class from
MOC and Training center respectively to Applicant, he becomes qualified Site Manager.
 The relationship among the relevant parties is shown as example on the following Figure
8.4.5.
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Figure 8.4.5 Qualification System Diagram (example)
7) Recommended System in a Transition Period
Current system will be revised in stages. Tentative measure to qualify Site Manager for the
period before the Construction Supervisor Qualification for Site Manger is enforced and
implemented will be taken as shown on the Figure 8.4.6.
 Firstly, roles and full-time appointment of Site Manager will be stipulated in the revised
regulation.
 At the same time, QE Center will be established and Question Data Base will be formed
and preparation for Unified Examination will be made by QE Centre accordingly.
Revision of relevant regulations to examination system will also proceed concurrently by
MOC.
 QE Center will make contract and close communication with existing Training Center in
order to utilize their facilities, resources and data for Unified Examination and Advanced
Training Course according to revised regulation.
 Upon establishment of Unified Examination and Advanced Training Course, QE Centre

and Training Centre can commence the new system then new certificates for examination
and training can be issued for passed applicants.
 Finally, after enforcement of revised law on eligibility requirement for Site Manager,
success applicants can act as qualified Site Manager.
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Figure 8.4.6 Recommended System in a Transition Period
8.4.6 Roadmap
It is recommended that revision of Qualification System will be implemented according to the

following Roadmap.
Figure 8.4.7 Roadmap
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8.5 INTRODUCTION OF NEW EXAMINATION SYSTEM
8.5.1 Background
In Vietnam, 20 engineering qualifications in construction field are stipulated in Decree and

Circular and given certificates to the candidates of each category after approval of
qualification. However, those qualifications are decided not by examination but documental
judgment or training. Therefore, it does not seem that there is no doubt in fair qualification
judgment to candidate in every category. Furthermore, all qualified engineers do not get
certificates at the same conditions due to different circumstances. This results that ability of
each engineer is difference and is not consistent and may lead to subtle difference at
engineering judgment in various aspects.
In order to solve those situations, fair and consistent qualification system is required. One of
the solutions may be restrict examination for qualification at each field. In this study, unified
examination system is considered and its introduction to present system is examined.
8.5.2 Objectives
Objectives of this study are as follows;
(1) To identify the problems of existing qualification system for engineers;
With analysis of existing engineer qualification system, problems to be solved should be

enclosed and identified.
(2) To improve existing system by introducing examination system;
Instead of present qualification system, unified examination methods are introduced in order
to implement fair selection ways.
(3) To apply the new system to 2 engineer qualification systems;
One is a construction supervisor which is treated in this project and the other is a site manager
which is also treated and has no qualification at this moment.
8.5.3 Engineer Qualifications in Vietnam
(1) General
Engineer qualifications have been developed as certificates which verify engineer’s capacity
of performing construction practices in Vietnam. However, there is no engineering
qualifications without employment restriction in Vietnam. For instance, Professional Engineer
(PE) qualification in USA, Japan and other many countries is one of the engineering
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qualifications without employment restriction. Engineering qualifications in Vietnam are all

qualifications with employment restrictions. Those qualifications are to ensure engineer’s
ability which can meet specific business requirements and those who have no certificate are
not allowed to get jobs associated with the qualification.
(2) Engineer Qualifications
The followings are regulations relevant engineer qualifications.
1) Construction Law
This stipulates about certificate possession and responsibility of possessors.
This stipulates obligation of certificate possession for managers who perform construction
planning, design, survey and supervising.
This stipulates about cost estimation certificate.
4) Circular No. 12/2009/TT-BXD
This Circular stipulates details of construction practice certificate. The qualifications fall into
4major categories with further breakdown of 20 individual certificates as shown below;
Engineers who desire to be construction design managers or chief-designers should hold a
“Architecture” certificate or a “Construction Engineering” certificate.
 Architecture (3 qualifications)
- Design of Construction Plan
- Design of Architectural Works
- Design of Interior-exterior works
 Construction Engineering (12 qualifications)
- Design of Structure Works
- Design of Electrical Works
- Design of Electro-mechanical Works
- Design of Water Supply and Drainage
- Design of Heat Supply
- Design of Ventilation and Air Conditioning
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- Design of Communication Network in Construction Works
- Design of Fire Prevention and Protection
- Design in other Field
- Topographic Survey
- Geological Survey
- Hydrological Geology Survey
 Construction Supervisor (4 qualifications)
Anyone wishing to get construction supervision jobs should hold a “Construction

Supervision” certificate, regardless of their job status unlike the “Construction
Engineering” certificate and “Architecture” certificate stated above.
- Supervision of Construction Survey
- Supervision of Construction and Finishing Work
- Supervision of Equipment Installation Works
- Supervision of Technological Equipment Installation
 Cost Estimate (1 qualification)
In short, engineer qualifications in Vietnam fall into 4 categories with 20 qualifications;

1) Architecture (3 qualifications), Construction Engineer (12 qualifications), Construction
Supervision (4 qualifications), and Cost Estimate (1 qualification). Among those
qualifications, Architecture and Construction engineer qualifications are for manager-
class or supervisor-class engineers. On the other hand, Construction Supervision and Cost
Estimate qualifications are for all engineers who wish to take construction supervision
and cost estimate jobs, thereby they are the sorts of vocational qualifications with
employment restriction.
(3) Problems Identified on Current Qualification System of Vietnam
In present engineering qualification system of Vietnam, there are some problems identified
from the analysis of the results of the investigation that proceeded in this project. Those
problems organized once, they are summarized as follows from those three viewpoints.
 Authorities
- No specific organization with regard to qualification in MOC, which should be

national authority.
- In present system, more than one DOC can issue same qualification in duplicate due
to no communication among all DOCs in Vietnam. As a matter of fact, it leads to
confusion.
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- From the above, it is difficult to grasp the exact number of qualified engineers.
 Qualification approval system
- Candidates who only take training can be almost qualified without examination.
- Each training center has its own training course; thereby, level of qualification holder
depends on the center.
- Even though some of candidates have enough knowledge and experience as a

qualification holder, they have to take long training course with incapable candidates.
 Qualification holders
- Once qualified, holders will not try to continuously study to enhance the knowledge
and updated information.
- Qualified engineers cannot challenge higher-class qualification despite the fact that
they have aspiration for enhancement, because there is no advanced-level
qualification at present in Vietnam.
8.5.4 Framework of Improvement of Qualification System with Examination
(1) Concept of improvement
1) Introduction of examination
Among 4 engineer qualifications shown in Part 8.5.3, the ability applicants of Architecture
and Construction Engineer qualifications just apply the application form to DOC to get the
qualification, Construction Supervision and Cost Estimate qualifications are given to most of
the applicants with short-term training and final test at 50 training centers nationwide in
present Vietnam (up to March/2013). However, there are some problems identified in this
present qualification system because ability of qualified engineers varies and is not so
uniform due to inconsistency of every training center’s test quality and contents. This fact
means that present qualification system has meaningful unfairness in implementation method
of qualification approval for engineers.
In order to improve the present state of qualification system like this, introduction of a new
unified examination system in engineering qualification methods is considered to be one of
the significantly good and fair ways as already implemented in advanced countries including
Japan. This system also has not only advantages, but disadvantages, which is described in
next section. However, it is true that this examination system is the best method in fairness in
qualification and qualifying homogeneous engineers.
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2) Advantages and disadvantages
In introduction of the examination system, there are some advantages and disadvantages
imagined. They are itemized hereafter.
a. Advantages
(1) Homogeneous tests with same accuracy can be carried out and the unfairness due to the
difference in exam questions is eliminated because of unified questions in any venue.
Moreover, proficiency level of exam passers is homogenized at the higher level than that
of exam-passing.
(2) In the selection of the exam sites, it is not necessary to perform it at separate training
centre nationwide (50 centres) individually as before and they can be limited to several
fixed places more than ten specified in the nation (later explained) ; therefore, the cost for
exam will be greatly saved.
(3) Since the exam is difficult than previously, the ability and knowledge of the successful
candidates will be highly improved through fairly advanced tests, then as a result,
competent professionals will really turn out.
(4) Competent technical personnel can obtain engineering qualifications by taking exams
without any needless training if they satisfy the conditions of exam qualification.
(5) Behalf of the trainings which have been carried out individually so far in each training
facilities, with the introduction of the unified examination, management tasks for
engineering qualification are simply unified nationwide in Vietnam.
(6) Exams are reduced by 1-2 times a year from every month at present, thereby the chances
of the exam for candidates will be reduced; however, as a result, cost savings in exam
preparation can be significantly done.
b. Disadvantage
(1) The number of successful candidates will depend on the degree of difficulty of the exam
questions; however, many passers cannot be produced at an opportunity as before.
(2) Exam questions with different content must be created each time and also the staff for
creating it must be ensured in each case.
(3) It is required to create a professional organization which manages a set of activities

related to exam implementation such as public offering for exam candidates, question
making, collection of exam fee, and conduct of exams, scoring, and judgment of pass-fail
involved in the exams.
(4) Since the number of exams is reduced from each month to 1-2 times a year, the
candidate's examination opportunity is greatly reduced.
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(5) The number of exam venues is greatly reduced and location of the venue is limited to
large and medium sized cities, it is rather inconvenient for local candidates to take exam.
(2) Examination System
1) Organization
With regard to the main organizations for examination implementation, MOC as the
representative agency and local DOC as the implementation agency are recommended. This is
because both MOC and all DOCs in local districts are the organizations in charge of present
qualification system in Vietnam. However, in order to integrate the difference of test quality
and qualification way in every DOC, unified examination nationwide should be implemented.
In the case of implementation of unified examination, the new organization that manages it in
the full-time basis is required. This organization is called QE Center (Qualification
Examination Center) which was already suggested in Activity-4 in this project.
a. Nature of QE Centre
QE Center should be an independent organization which is not included in any ministry

because its neutrality has to be kept as nature of examination management authority.
However, it may be difficult to establish it from the beginning of introduction of the new
examination system. Therefore, until the new system becomes popular nationwide, it
might be better for QE Center to join MOC as a department in MOC. CAMD in MOC
seems to be one of the good feasible candidates for accommodation of QE Center among
all divisions in MOC. The Figure 8.5.1 shows tentative position and inclusive relation of
QE Center in present MOC.
Finally, QE center shall be a completely independent body for arranging examination for
engineers in the future. This is because QE Center will deal with exams in many fields
not only construction, but also industrial and social science and is essentially neutral
organization across the various ministries.
MOC
Science Technology
CAMD SACQI Others
Dept.
QE Center Support
Figure 8.5.1 QE Center in MOC
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b. Role of QE Centre
As main tasks of QE Center in charge of examination implementation for various kinds of

engineers, the followings are enumerated.
- To prepare for examination questions
 Centre arranges exam paper basing on the questions members of special

committee make.
- To recruit candidates for engineering qualification
 Centre makes public announcement with various media such as newspaper,

website.
- To implement examinations
 Centre implements examination with many assistants at the same time in many
locations placed evenly across the country.
- To supervise examinations
 Centre supervises all examinations so that they are carried out fairly and legally.
- To score examinations
 Centre scores all response sheets with help of each field’s examiners besides
mark sheet which can be scored by computer.
- To issue examination certificates
 Centre informs the list of passer to DOC, DOC shall issue certificates of
qualification delivered to passers.
- To manage question database
 Centre accumulates all questions of exams implemented in database.
- To manage data of qualification holders
 Centre accumulates all passers information in database.
- To renew regulations ( Decision, Circular)
 Centre renews regulations with help of committee if necessary.
Although main tasks of QE Center are described above, those all tasks cannot be done by
only Center staff. Helps and supports from other departments in MOC and outside of
MOC are required for implementation of those tasks.
c. Structure of QE Centre
QE center shall be structured like following Figure 8.5.2, being referred the Institution of
Professional Engineers, Japan. There are 4 departments in the Center and 2 departments
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of 4 handle implementation of actual examination. In total, 13~16 staffs shall reside

constantly in QE Center.
General Affair Department

(2～3 Staff)
QE CENTER
Business Department
(4~5 Staff)
Examination & Registration
Department (4~5 Staff)
Examination superintendence
Department (3Staff)
Figure 8.5.2 Structure of QE Center
d. Function of each department
Function of each department of QE Center is as following.
- General Affair Department
 Total management of QE center, Human resource, Administrative task,

Negotiation with the outside, others which the other departments do not involved.
- Business Department
 Improvement and maintenance of examination system, Convening and holding of

regular committee on examination system, Outsourcing of creating test questions,
Selection of examiners and the correspondence, Renewing related regulations.
- Examination & Registration Department
 Convocation of examiners, shaping exam from the draft version by outsourcing,

Check contents of all questions, Grading of exam, Registration of passers.
- Examination superintendence Department
 Announcement of exam conduct by various media, Acceptance of application,

Ensure the venues, making exam for actual implementation, Management of
question and passer database of exams from old to the latest.
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QE CENTER
General Affair Business Examination & Examination

Department Department Registration superintendence
Department Department
Improvement
Total and maintenance Convocation of Announcement
management of examination examiners of exam conduct
system, by various media
Convening and Shaping exam

holding of from the draft Acceptance of
Human resource regular version by application
committee outsourcing,
Outsourcing of
Administrative creating test Check contents Ensure the
tasks questions, of all questions venues
Selection of Making exam for

Negotiation with examiners and Grading of exam actual
the outside the implementation
correspondence
SPECIAL COMMIITEE
Others which the Management of
other question and
departments do passer database
not involved Renew related Registration of of all exams
regulation passers
SUPPORTED BY
TRAINING CENTER
Figure 8.5.3 Function of each department of QE center
2) Unified examination
In order to implement unified examination, it is necessary to clarify many detailed points

such as locations, exam making, frequency, dates, how to manage it, fee, question style
and so forth. The followings are suggestions with regard to those matters by JICA team.
a. Exam location
There are 10~19 locations selected for engineer qualification exams in Japan. Those are
big cities scattered nationwide in Japan for examinee’s convenience. The distance from
north to south and shape of national land of Japan and Vietnam are quite similar;
therefore, it is natural that locations of exams also become similar between two countries.
Besides, the transport condition in Vietnam has still many difficulties than Japan, so the
number of exam location in Vietnam shall a few more than Japan. Considering the
locations of present training centers and universities which can be venues for exams, the
following 22 locations shown in Figure 8.5.4 are suggested as representatives for the
Vietnamese case.
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Depending on the numbers of examinees, the number of exam locations will increase or
decrease. The number of venues for exam should be decided based on the number of
examinee at the time. Basically, those ten cities will be appropriate for exam venues from
the point of view of population and transport links. Candidates of exam venues will be
DOC’s training center or universities (No class days such as holiday or weekend) in each
location.
However, these cities are not fixed forever. On the basis of those 22 cities, assumed the
density and the number of examinees every year, it should be acceptable that the locations
of venue are changed year by year. QE Center judges it every year in the meeting. In
Table 8.5.1, possible exam locations are shown.
Table 8.5.1 Exam locations possible in Vietnam
City (Province) No. of venue Population(*) Remark
Lao Cai City (Lao Cai Province) 1 646,800 Mountains
Dien Bien City (Dien Bien Province) 1 519,300 Mountains
Son La City (Son La Province) 1 1,134,300 Mountains
Yen Bai City (Yen Bai Province) 1 764,400 Midlands
Cao Bang City (Cao Bang Province) 1 515,200 Mountains
Thai Nguyen City (Thai Nguyen Province) 1 1,150,200 Midlands
Quang Ninh City (Quang Ninh Province) 1 1,177,200 Delta
Hanoi City 2 6,844,100 Big city (Capital)
Thanh Hoa City (Thanh Hoa Province) 1 3,426,600 Coast
Vinh City (Nghe An Province) 1 2,952,000 Coast
Hue City (Thua Thien Hue Province) 1 1,114,500 Coast
Da Nang City 1 973,800 Coast
Kon Tum City (Kon Tum Province) 1 462,400 Highlands
Quy Nhon City (Binh Dinh Province) 1 1,501,000 Coast
Buon Me Thuoc City (Dak Lak Province) 1 1,796,700 Highlands
Nha Trang City (Khanh Hoa Province) 1 1,183,000 Coast
Bao Loc City (Lam Dong Province) 1 1,234,600 Highlands
Ho Chi Minh City 2 7,681,700 Biggest city
Can Tho City 1 1,214,100 Delta
Ca Mau City (Ca Mau Province) 1 1,217,100 Delta
Total 22
*; Population in 2011 by province, from Statistical Yearbook of Vietnam
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Cao Bang
Lao Cai City
City Thai Nguyen
City
Quang Ninh City

Dien Bien
City
Son La
City Yen Bai
City
Thanh Hoa
City
Vinh City
Hue
City
Da Nang
City
Hoang Sa Island
Kon Tum
City
Quy Nhon
City
Buon Me Thuoc
City Nha Trang
City
Bao Loc
City
Ho Chi Minh
City
Phu Quoc
Can Tho
Island
City
Ca Mau
City
Truong Sa Island
Figure 8.5.4 Location map of exam venue in Vietnam
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b. Exam making
In exam making, first, special committee for exam making should be organized. Business
department in QE center has to arrange the committee every time before examination.
The committee has to be held confidentially due to prevention of exam questions’ leaking
out. Therefore, committee members are also confidentially selected and designated.
Referring Japanese cases, committee members are mostly selected from the following
fields. However, they vary with the nature and category of examination.
Experianced expert
in a special field
Professor of Scholar in a special

univercity or collage field
Special
Committee
Figure 8.5.5 Configuration of special committee for examination
In the committee, sharing question making is determined and each share shall be
distributed to each committee based on sharing decision. If the volume of question
making exceeds a committee’s work load, there may be the case that the committee asks
outside. The roster of exam maker should be made in advance by approval of the
committee. The special committee’s roles are considered as in the followings.
- To grasp recent tendency of engineering in various categoryes
- To research state of the art technology
- To analyze results of the latest exam including rate of right answer and level of
examinees
- To make appropriate exam questions to successfully select qualified engineers
- To arrange all questions for examination
- To select successful candidates ( see 8.5.4(2)3) Selection of qualified engineers )
c. Frequency
Most of the examinations of engineering qualification in Japan have only one opportunity
to take exam in a year. This is the reason why examinees can have a lot of time for
preparation and then level of qualified engineers can become higher and higher. In
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Vietnam, present qualification system provides a chance of taking exam every month in a
year. As stated in Section 4, this system leads to a decrease in the level of the engineers.
Therefore, at least twice a year or once a year is recommended as frequency of the exams
eventually. Suddenly reduction of the frequency from 12 to 1 or 2 in a year will cause
confusion; thereby gradual reduction is suggested through a couple of years.
Regarding date of the exam, Spring or autumn season will be appropriate for examination
because the weather is calm nationwide in Vietnam.
d. Exam implementation
Proctors are composed of 3 persons in a venue. This is for the case that capacity of a
venue is 70 examinees at most. Thereby, 3 proctors are required to 70 examinees at the
time of examination. A proctor of 3 is a chief supervisor and mainly carries out exam
progress. Other 2 proctors assist the chief and supervise the exam safely and successfully.
The hardest work on exam implementation is to temporally collect so many proctors in

advance. If No. of examinees are 10,000 (average No. of examinees in Vietnam), simply
142 proctors are necessary in total. Staffs of each DOC and training center shall
tentatively become proctors. It is also recommended that the roster of proctors is made in
advance by research and recruitment. If a proctor does not have such an experience before,
he has to learn how to supervise the exam by training beforehand. For example, in Japan,
there are many cases that QE center asks staffing company to gather persons. However,
this case needs a lot of money. Many volunteers such as university students are
recommended in Vietnam.
e. Exam fee
Exam fee depends on the total cost of exam implementation. Therefore, it should be back-
calculated after the decision of total cost estimation for the exam. Deficit should be
prevented in any case.
f. Exam type
As explained before, questions required writing are adopted in many kinds of exams in
Japan. Most of the exams are composed of two types of questions, which are multiple
choice and writing. Features of those two types are shown in Table 8.5.2 below.
Table 8.5.2 Features of multiple and writing type questions
Type Merit Demerit

Multiple type - Easy grading - Expressive ability is not examined.
- Many questions possible - Test for only knowledge
Writing type - Thinking and expressive ability - Taking much time for grading
can be examined. - Grading differs with graders
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In order to clearly understand the difference between two types of questions, example
questions of those types are shown below for reference.
(1) Multiple type
- Example question 1 (Regarding construction machine)
Which is the most appropriate answer in the following descriptions?
a. With regard to engines used in construction machinery, gasoline engine is generally

used in terms of responsive to the load, fuel consumption, durability, and the like.
b. The vibration rollers have more weight in order to improve the compaction capacity,
compared with the machines without vibration function.
c. Compared to the wheel type, crawler type hydraulic excavator is suitable for working
in soft or uneven ground because ground pressure is low.
d. Bulldozer is suitable for excavation, transportation, and the leveling work, and not
suitable for compaction work.
(Correct answer "c")
- Example question 2 (Concrete work)
Which is correct in the following descriptions regarding concrete casting work?
a. During the concrete casting, water accumulated on the surface, thereby water was
removed by ladle and, casting was continued.
b. During casting, the concrete in which significant segregation was observed was re-
casted
c. Concrete casting was executed from 2m higher position by free fall.
d. The concrete once casted was moved laterally by vibrator in the frame
(Correct answer "a")
- Example question3 (Asphalt pavement)
Which is not appropriate among the following descriptions on repair method selection of
road asphalt pavement?
a. In the case of wide crack of surface, road body and subgrade may be damaged; thereby
overlay method should be selected rather than reconstruction method.
b. In the case of deep rutting due to liquidity, surface and binder should be reconstructed.
c. In the case of large deflection on surface, road body and subgrade should be
investigated and repair method shall be decided after clarifying the causes.
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d. In the repair method selection work, structure of existing pavement should be surveyed
and products of pavement materials should be minimized.
(Correct answer "a")
(2) Writing type
- Example question
Among the civil construction work projects you have experienced so far, select one
project and answer the following questions regarding the project you selected.
<Description 1>
With regard to the project you selected, describe about following items.
1. Project name __________________________________
2. Outline of the project
 Owner __________________________________
 Construction site __________________________________
 Construction period __________________________________
 Main construction methods __________________________________
 Volume of construction works __________________________________
3. Your position on the project management __________________________________
<Description 2>
Describe technical subjects that you especially pay attention on in the accident prevention
measures done in the project above mentioned. Moreover, describe precisely the matters
you examined so that you can solve the subjects, reasons that led to the adoption, and
corrective actions implemented on the site.
Technical subjects
Matters examined and reasons

led to adoption
Corrective actions on the site
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As shown in Table 8.5.2, both types have merits and demerits. Therefore, it should be
avoided that question type biases toward one type of two. In unified examination, both
types should be used together. The component ratio of two types is depending on the
nature of examination and generally multiple type is more than writing type in No. of
questions.
At the first step of applying Examination system, multiple-choice type only is preferable
because it’s easier to score and suitable to the current situation of Viet Nam. In the future,
when the QE center has more experience on organization and the number as well as
ability examiners meets the actual requirements, the writing type should be used in the
qualification examination. On the future with the developing of digital technical, the
examination locations may be equipped the computer; the examination can be taken on
the computer.
g. Scoring
Regarding multiple type questions, answer sheet is digitized and they are scored
automatically by computer. On the other hand, regarding writing type questions, answer
sheets are delivered to the members of committee and other experts pre-approved by
Center and manually scored by them.
3) Selection of qualified engineers
Three ways of selection of qualified engineers are introduced and they are the followings.
(a) Fixing number of passer
(b) Fixing pass score
(c) Fixing pass rate
Each way has its advantages and disadvantages respectively. Regarding selection of
qualified engineers, there is no limit of numbers of qualified engineers; thereby, it is not
necessary to decide fixed number and fixed rate for passers. It is reasonable that the
examinees who reached certain high score should be qualified. Consequently, it can be
said that way of b, which is fixing pass score, is the most feasible and acceptable way.
In this way of selection, as a disadvantage, it is said that ability and number of exam
passer vary with the difficulty of exam. However, this problem can be solved by setting
deviation values of each examination. Even though difficulty of exam differ in every
year’s exam, examinees in same high level are selected by setting pass score based on
deviation values of each test. It means that every exam has different pass score for
selection of qualified engineers.
Examination & Registration Department of QE Center shall decide pass score at every
exam basing on deviation value after obtaining all results of the exam. Then, they select
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passers with higher score than pass score as qualified examinees. Finally, candidates of
qualified engineers are selected in deliberation at special committee for authorization of
official qualification. In this way, qualified engineer can be selected at last.
Examination & Registration Department shall only recommend the final passers basing
on scoring and consult them with the special committee. The committee shall deliberate
the candidates of final passers and officially decide authorized qualified engineers.
After authorization of qualified engineers by the committee, the DOC shall issue
certificate of qualification and send it all qualified engineers. These procedures are
described in Figure 8.5.6 and Figure 8.5.7.
Figure 8.5.6 Certification procedure of qualification
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Applicants 1 Applicants 2 Applicants 3 Applicants n
Venue 1 Venue 2 Venue 3 Venue n
Exam Exam Exam Exam
_______QE CENTER______
- Scoring
- Select possible passing applicants
___SPECIAL COMMITTEE___
- Selection of authorized passer
DOC DOC DOC DOC
Certificate to Certificate to Certificate to Certificate to

passer passer passer passer
Figure 8.5.7 Procedures for selection of qualified engineers
4) Training before examination
Under present system, all applicants who want to be qualified have to take training before
examination. However, for those who have enough ability, the training is not necessary. It
is quite unreasonable that all applicants including competent engineers have to take
specified training course. Capable engineers should be allowed to challenge the exam
directly without any training. Therefore, regulation should not obliged candidates to take
the training courses before taking exam.
Training before exam should be optional for candidates so that those who want to take
training can take it at their own will. Applicant engineers can optionally take training
course whenever the training is available. It is also desirable that the contents of the
training are those for passing exams. This way can activate training and also training
center itself. Training center will improve with this new system as a private body.
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Training (Optional)
QE Center
Applicant
Examination
Figure 8.5.8 Training and Examination in new system
(3) Renew qualification
Regarding validity of engineer qualification, in the most of cases, qualification holders need
to renew their qualification every 5 years. The procedure for renewal qualification can apply
as the current one. Beside, to enhance the capacity of engineers, the project recommends
developing the training course at the renewal time. The detail plan is explained at item "
8.5.4(4) Introduction of CPD system " of this report. It means the qualification holders need
to apply the administrative document to DOC and attend the training course organized by
DOC when renewing qualification.
(4) Introduction of CPD system
1) Definition of CPD system
CPD system is the abbreviation of “Continuous Professional Development” and defined

as system including continuous self-study and education for engineers. This system is
intended to obligate existing qualification holders to keep maintaining their expertise over
a long period of time even after obtaining the qualification. Furthermore, the CDP system
is adopted in professional engineer qualification in Japan and has proven effectiveness so
far.
2) Objectives
Engineers are required to do self-study continuously as professional experts focusing on

the following points of view.
a. Involvement to progress of science technology
Engineers should always have interests in science and technology progressing constantly
and endeavor to maintain and improve their ability to be able to contribute to the socio-
economic development, and the improvement of safety and welfare through the
acquisition of new technologies and their applications.
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b. Response to changes in the social environment
Engineer should pay attention on changing social environment, international trends, and
the change in demand to engineers with them and respond to them flexibly.
c. Engineer’s ethics
In the light of ethics, engineer has to act and try not to damage public benefit in the use of
technology involving.
3) Types of CPD system
a. Compulsory type
 Training at time of renewal
Regulation is frequently revised in Vietnam; therefore, engineers qualified have a little

chance to grasp those changes. In some cases, engineers work not knowing renewal of
regulations. In order to prevent those states, engineers have to take training including not
only new technology but also regulation renewal regularly. Qualification holders need to
renew their qualification every 5 years by application and have to take training at time of
renewal, so this will be a good opportunity to take training at the time of renewal.
3 plans were introduced; however, they have not been narrowed down to a single plan. In
this study, the best plan will be suggested here in Table 8.5.3.
Table 8.5.3 Training plan at time of renewal
Item Plan Remark

Coordinator Training Center Most appropriate
Location DOC of every province (63) Convenience nationwide
Lecturer Staff of Training Center Most appropriate
Lecture place Meeting room in DOC
Date One day at time of renewal Once or twice in a year
Training contents Changes of regulation, technical standard, etc. The latest information
b. Optional type
 Routine training
Professional engineers have to continuously study about their own subjects concerned to
keep their ability and knowledge at high and the latest level as engineers’ responsibility.
Therefore, engineers have to study daily through routine training.
- Types of routine training:
As routine trainings, the followings are considered to be possible options.
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 Attendance to Seminars, workshops regarding engineering
 Presentation of papers with any engineering subject
 In-house training
 Technical guidance works
 Self-study
 Others (the matters the Center approved as training)
Engineers should actively carry out those things for themselves and underdeveloped
engineers. Through those opportunities, engineers can obtain new information and their
technical judgment can be improved. Those daily activities lead to contribution to quality
improvement of engineers.
- Record of training
Engineers who did routine training can resister the record of training to the DOC by
submitting application document. The record is accumulated in engineer’s activity as
CPD data in DOC. DOC has to resister the individual record in his registered ledger of an
engineer and keep it forever. CPD record is the more, the better for engineers’ carrier and
can become a symbol of high-level engineer. In the future, it is required for the CPD
record to be counted as numerical points for training done by setting point in each
training activity including weighting. By this, CPD activity can be clearly evaluated and
lead to enhancement of engineer’s quality in Vietnam. Furthermore, this system is
required to be mandatory to all qualified engineers in the near future. Figure 8.5.9 shows
mechanism of CPD system.
Attendance Performance
Seminar Qualified
Workshop Engineer Presentation
In-house training
Evidence Record Guidance
Self-study
Application Approval Others
DOC
Figure 8.5.9 Mechanism of CPD system
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(5) Advanced Qualification
1) Significance of qualification grading
As Japanese practice, some of the qualifications including national and private sector
qualification have a grading system such as 1st-Grade and 2nd-Grade, 1st-Class and 2nd-
Class and so forth. Qualifications in Japan are awarded to the applicants with passing
examination in principle and the examination system can make qualification grading
possible. Furthermore, with this grading system by examination methods, any candidate
who passed the examination for a higher level of qualification can obtain a higher
qualified position such as manager or supervisor. However, there has been no such
grading qualification system so far in Vietnam.
As explained with regard to many advantages of examination system before, introduction

of unified examination is significantly beneficial to present engineering qualification
system in Vietnam. After introducing examination system, qualification grading will
become definitely necessary in the near future as the second step. This is because
candidates who try to challenge higher level will increase and examination system can
make it possible by only setting different level of examination. Qualification grading has
been impossible in the conventional way, which is documentary judgment; however,
examination system can easily realize it.
2) Introduction of advanced qualification
It is basically required to establish 2 or 3 class grades in any engineering qualification

from the view of significance of qualification grading above mentioned. Number of
grading classes depends on the nature and function of engineering qualification concerned.
For example, at most 3 grades including leader and chief classes are necessary in the case
of construction supervising work.
Introduction of advanced qualification is to provide the higher level qualification and

encourage qualification holders to challenge the higher classes. The current supervisor in
Vietnam is assumed that corresponds to Basic-level of qualification.
Establishing an Intermediate-level qualification will encourage the Basic-level holders to

challenge higher class of qualification in order to get higher status of job opportunity. The
intermediate-level qualification shall require the higher expertise and technologies to
comply with current advances in construction supervising works. The intermediate class
is assumed to correspond to Chief class supervisor.
Moreover, establishing an Advanced-level qualification will also encourage Intermediate-

level holders to get further higher level for their promotion. Advanced-level class is
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assumed to correspond to Leader class for supervision who can manage overall
supervision works and all human resources of supervision.
Each grade needs each examination with different difficulty in accordance with the
different grade. Higher-class grade qualifications require applicants to take examination
not only writing test, but also technical short essay or official interview in some cases.
Typical grading classes in the case of 2 grades and 3grades are shown in the Figure
8.5.10 below.
3 Grades Advanced
Intermediate 2 Grades
Basic Class Basic Class
Figure 8.5.10 Grading class of qualification
8.5.5 Application of new Examination System
(1) General
Introduction of examination system into engineering qualification has been studied so far in
this activity. It is clarified that examination system can remarkably enhance engineers’ quality
and expertise; then this system should be applied to certain engineering qualification as
concrete examples. In this section, the new examination system shall be applied to two
engineer qualifications for a trial.
There are four engineer qualifications officially approved in Vietnam, which are Architect,
Engineer, Construction Supervisor and Construction Cost Estimator. Moreover, there is the
site manager qualification as supervisor of contractors at the construction site. It is reported
that site manager mostly has lack of ability for managing the construction site. Of these
qualifications, the Project focuses on construction supervisor and site manager qualifications
because those qualification holders are expected to play a leading and important role for
managing construction projects and construction quality in the fields.
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(2) Trial application of new examination system into Construction Supervisor Qualification
1) Expected technology level
According frame work in Circular 25/2009/TT-BXD - Guiding for professional training

of construction investment project management and supervise construction works, the
following basic knowledge shall be required
 General knowledge on Supervisor construction
- Regulations on construction investment operation and application the regulation in

supervision construction works.
- Supervision construction profession
- Construction and acceptance code, standard and requirement systems
- Supervision procedure and contents of schedule, safety and health in construction

works
- Supervision on construction survey
- Supervision on construction test, observation, measurement works
 Building, industrial, infrastructure works
- Construction supervision on ground and foundation works of building, industry and

technical infrastructure
- Construction supervision on concrete, reinforce concrete and brick-stone structures

works.
- Construction supervision on steel and other metal structures works
- Construction supervision on equipment installation works
- Construction supervision on construction finishing works
- Construction supervision on implementation technical infrastructure works at urban

and industrial zone
- Supervision on implementation, installation equipment in industrial works
 Transportation works
- Construction supervision on bridge works
- Construction supervision on tunnel works
- Construction supervision on road, airport works
- Construction supervision on port - waterway works
- Construction supervision on railway works
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 Irrigation and Hydro power works
- Supervision on water flow conduction and construction ground, foundation of

irrigation, hydro power works
- Construction supervision on concrete, conventionally reinforce concrete (CVC),

roller-compacted concrete (RCC) and brick-stone structures.
- Construction supervision on earth-stone works
- Supervision on installation hydraulic and M&E equipment of irrigation, hydro power

works.
2) Typical Examinees
Base on Circular 25/2009/TT-BXD, Article2, Clause 3: Trainees are the individuals have
technical high school's degrees and upper involving in construction activities
All applicants meet the requirement of Decree 12/2009/NĐ-CP - On Management of

Construction Investment Projects (CIPs):
 Article 40 - Conditions for granting Certificate of Construction Supervisor (CS)
- Person to be granted CS must be university graduate upwards, majored in the field

suitable with registered profession in CS, directly took part in design or construction
for 3 years upwards or 5 projects at least or experienced in supervision work for 3
years upwards prior to the effectiveness of Law on Construction; passed training
course on construction supervision.
- People, who possess college or junior-college degree of suitable major, took part in
design or construction work or supervision work for at least 3 years or passed training
course on construction supervision will be granted CS. The Certificate is only used
for supervision of construction works level IV.
3) Basic information of examination
The contents of examination implementation are summarized in the below Table 8.5.4 .
For clear comparison, four cases of Japan, Vietnam, previous proposal and the new
proposal planed here are introduced together. In order of the item, each content of new
proposal is respectively explained hereafter.
 Implementing organization
A few officers of QE Center attend exam at all venues as supervisor; however, exam
implementation is officially carried out by staff of each training center. In the case of
university, staff of the nearest training center shall assist exam.
 Location
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As shown in Figure 8.5.4, at least 22 locations are available nationwide. Basically

training center is applied as venue; however, in case of no center, university or collage is
possible candidate as venue (No class days such as holiday or weekend).
 Frequency
Basically number of times of exam is 2 times a year (April and October). This is for
candidates to obtain many opportunities for exam.
 Examination fee
Examination fee is back-calculated basing on total cost necessary for the exam
implementation; therefore, it should be basically fixed in a year.
 Exam duration
Considering time and effort for applicants’ gathering at exam venues, exam time is the
shorter, the better; therefore, examination shall be implemented within half day. In order
to finish all exams in half day, exam duration should be decreased to less than half of
previous proposal. Then, category and time of exam are as shown in the Table 8.5.4.
 Exam type
As explained in 8.5.4(2)2) Unified examination, both exam types, multiple choice and
writing, are adopted.
Table 8.5.4 Implementation of examination

Current practice in Previous
Japan New Proposal
Vietnam proposal
(Circular 25/2009/TT-
Academic Practical (full day) (half day)
BXD, Appendix 2)
Implementing  Independent Organization Training Center QE center - MOC QE center - MOC

Organization
Location  10-19 nationwide 50 training centers More than10 More than 22
nationwide
Frequency of Once a year 1 time/month 1 (or 2) a Year on 2 times/year

Exam (Spring or Fall) April and October
Examination Fee From 1mil-2mil VND Included in training fee Depend on expense Fixed based on all
of QE Center expense of exam
implementation
Exam Duration  Regulation +  Technical  Regulation: 30min  Regulation +  Regulation +
Ethics: AM - Fields:  Management: 30min Ethics: AM - 1h Ethics: 1h
2h 30min 2h45min  Technical Fields:  Technical Fields:  Technical Fields:
 Technical 30min PM - 3h 1h30min
Fields: PM - 2h
Exam type  Multiple choice  Writing  Multiple choice (1/4)  Multiple choice  Multiple choice
(1/4) (1/4) (1/4) and writing
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4) Certificate procedure
The procedures of certificate of construction supervisor are shown in Figure 8.5.11
(a) As speculated in the requirement of Decree 12/2009/NĐ-CP, in the case of university

graduates, after 3years experience (5years for college graduates), they can be worth of
taking CS unified exam.
(b) Those who need training before exam can receive optional training course with
application.
(c) After passing CS-Exam (Basic level), the passers can get the certificate of CS Basic level
from DOC to which they belong.
(d) Those who wish the next higher level of CS (CS 2) can try CS 2-Exam after 2years’
actual construction supervising experience.
(e) After passing CS 2-Exam (Intermediate level), the passers can get the certificate of CS
Intermediate level from DOC to which they belong.
(f) Those who wish the highest level of CS (CS 1) can try CS 1-Exam after 2years’ actual
construction supervising experience as CS 2.
(g) After passing CS 1-Exam (Advanced level), the passers can get the certificate of CS
Advanced level from MOC.
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CONSTRUCTION SUPERVISOR CERTIFICATE
Construction Supervisor Certificate

Advanced level - (CS 1)
Unified
Examination
(CS 1-Exam)
≥ 2 yrs

Intermediate level - (CS 2)
Unified
Examination
(CS 2-Exam)
≥ 2 yrs

Basic level - (CS )
Unified
Examination
(CS-Exam)
Optional Training
≥ 3 yrs ≥ 5 yrs
University
College
Applicants
Figure 8.5.11 Procedures of certificate for construction supervisor
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5) Exam question
In creating exam questions of CS (CS-2, CS-1), referring 8.5.5(2)1) Expected

technology level, and basing on the following points, component of examination question
is examined and suggested as a draft as shown in Table 8.5.5
 As field of question, besides regulation and technical, ethics is added from the view point
of recent surroundings of construction industries in Vietnam. Weight of questions is also
placed on this field.
 In previous examination, 40 questions were made from not fixed various fields; however,
in the new examination, all questions are issued well-balanced from the categories which
are determined in advance. Therefore, overall intelligence as civil engineer is required in
the new one.
 Writing test is newly added in order to measure true technical judgment ability of
applicants. Almost writing test shares 30% of all. (20/70) Furthermore, category of
writing test is not fixed because it may change in accordance with the nature of the test at
the time.
 Correct* means the number which should be correctly answered. In total 42 in 70 should
be correct for passing, which is 60%. Furthermore, in each category number of correct
answer hopefully should be got by possible passers.
Table 8.5.5 Examination question component

Number of
Number of writing
Field Major category Middle Category multiple choice
question
question
No Name No Name Total Correct* Total Correct*
1. Regulations 1. Regulations 3 7 4 2
and 2. Application the regulation 3
Regulation
application 3. Procedure 2
2. Code, 4. Construction 2
standard and 5. Acceptance 2
require.
Subtotal 12 7 4 2
3. Action 6. Transparent, Fair, Honest, … 1 4 4 2
4. Professional 7. Technical skill 1
knowledge 8. Office skill 1
Ethics
improvement 9. Soft skill 1

5. Benefit 10. Nation and public 1
11. Client 1
Subtotal 6 4 4 2
6. Construction 12. Overview 1 9 6 4
investment 13. Contractor selection 1
Technical
project 14. Contract and Design 1

management 15. Schedule management 3
16. Quality management 3
17. Cost management 2
18. Safety, environment, risk, … 3
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Number of
Number of writing
Field Major category Middle Category multiple choice
question
question
19. Payment, settlement 1
7. Knowledge on 20. Profession 2 10 6 4
Supervisor 21. Survey 2
construction 22. Test, observation, 2
measurement
23. Earth works 2
24. Ground and foundation 2
25. Concrete types 2
26. Steel and other metals 2
27. Particular work 2
28. Installation equipment 1
Subtotal 32 19 12 8
Total 50 30 20 12
6) Condition of certificate
Condition of certificate of construction supervisor is summarized in Table 8.5.6. In the

case of only CS 1 class, the certificate is issued from MOC.
Table 8.5.6 Certificate condition on Construction Supervisor

CS 1 CS 2 CS
Types
Construction Supervisor Construction Supervisor Construction Supervisor
Certificate Certificate Certificate
Information
Advanced Level Intermediate Level Basic Level
Issue Organization MOC DOC DOC
Validity 5 years 5 years 5 years
Certification procedure Pass Unified Exam Pass Unified Exam Pass Unified Exam
Experience requirement Hold CS 2 Hold CS ≥ 3 years (+ BSc)
≥ 7 years (+ BSc) ≥ 5 years (+ BSc) ≥ 5 years
≥ 10 years ≥ 7 years
Functional requirement Leader class supervisor Chief-class supervisor Supervisor construction
Transfer technology Involve big projects projects
7) Optional training course before Examination
Circular No.25/2009/TT-BXD, 29 July 2009 guides for professional training of

construction investment project management and supervise construction works. However,
this training is an option for applicants of examination. Those who try to pass the exam
are encouraged to take the training for preparation.
8) Road map
Table 8.5.7 shows a roadmap for improving construction supervisor qualification system
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Table 8.5.7 Roadmap for improving construction supervisor qualification system
Road Map (Year)

Plan
2013 2014 2015 2016 2017 2018
General Activity (2013)
1 Agreement with CPs and PMU
Implement Unified Examination (2014, 2015)
2 Prepare and Establish QE Center
3 Make Question Data Base
4 Prepare and Implement Unified Examination
Implement Optional Training Courses (2015)
2 Prepare and Implement Optional Training Course
Establish Intermidiate-Leveland Advance-Level Qualification
2 Prepare and Implement Unified Exam
(3) Trial application of new examination system into Site Manager Qualification
1) Expected technology level
Because the Site manager plays Supervisor of Contractor role at construction site, so the
knowledge shall be required are similar the knowledge of Supervisor. Beside that the
knowledge on construction investment project management also is required for the Site
manager.
According frame work in Circular 25/2009/TT-BXD - Guiding for professional training

of construction investment project management and supervise construction works, the
following basic knowledge shall be required
 Construction investment project management
- Overview on Construction investment project management
- Contractor selection in construction operation
- Contract in construction operation
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- Schedule management of Construction investment project
- Quality management of Construction investment project
- Cost management of Construction investment project
- Labor safety, construction environment, risk management in construction investment

project
- Payment, settlement construction works investment capital
 General knowledge on Supervisor construction
- Regulations on construction investment operation and application the regulation in

supervision construction works.
- Supervision construction profession
- Construction and acceptance code, standard and requirement systems
- Supervision procedure and contents of schedule, safety and health in construction

works
- Supervision on construction survey
- Supervision on construction test, observation, measurement works
 Building, industrial, infrastructure works
- Construction supervision on ground and foundation works of building, industry and

technical infrastructure
- Construction supervision on concrete, reinforce concrete and brick-stone structures

works.
- Construction supervision on steel and other metal structures works
- Construction supervision on equipment installation works
- Construction supervision on construction finishing works
- Construction supervision on implementation technical infrastructure works at urban

and industrial zone
- Supervision on implementation, installation equipment in industrial works
 Transportation works
- Construction supervision on bridge works
- Construction supervision on tunnel works
- Construction supervision on road, airport works
- Construction supervision on port - waterway works
8-83
- Construction supervision on railway works
 Irrigation and Hydro power works
- Supervision on water flow conduction and construction ground, foundation of

irrigation, hydro power works
- Construction supervision on concrete, conventionally reinforce concrete (CVC),

roller-compacted concrete (RCC) and brick-stone structures.
- Construction supervision on earth-stone works
- Supervision on installation hydraulic and M&E equipment of irrigation, hydro power

works.
2) Typical Examinees
Base on Circular 25/2009/TT-BXD, Article2, Clause 3: Trainees are the individuals have
technical high school's degrees and upper involving in construction activities
All applicants meet the requirement of Decree 12/2009/NĐ-CP - On Management of

Construction Investment Projects (CIPs): (same as construction supervisor)
 Article 40 - Conditions for granting Certificate of Construction Supervisor (CS)
- Person to be granted CS must be university graduate upwards, majored in the field

suitable with registered profession in CS, directly took part in design or construction
for 3 years upwards or 5 projects at least or experienced in supervision work for 3
years upwards prior to the effectiveness of Law on Construction; passed training
course on construction supervision.
- People who possess college or junior-college degree of suitable major, took part in
design or construction work or supervision work for at least 3 years or passed training
course on construction supervision will be granted CS. The Certificate is only used
for supervision of construction works level IV.
3) Basic information of examination
There is no exam system for site manager currently in Vietnam. In case of Japan,
Construction Contractors Law claims requirement of Managing Engineer besides Site
Agent at construction site and with regard to Managing Engineer, at least qualification of
First-class civil engineering works operation and management engineer is required. The
contents of exam are same as supervising engineer. Table 8.5.8 shows exam contents of
Japan’s case and proposal for site manager in Vietnam. As shown in proposal, to become
a site manager, passing the following exam is required.
8-84
Table 8.5.8 Exam implementation
Japan Vietnam Proposal

Circular 25/2009/TT-
Academic Practical (haft day)
BXD, Appendix 2
Implementing
Independent Organization ______ MOC - QE Center
Organization
Location 10-19 nationwide ______ More than 22
2 times/year
Frequency of Exam Once a year ______
April and October
Depend on expense of
Examination Fee From 1mil-2mil VND ______
Training Center
Regulation + Ethics: Regulation + Ethics: 1h
AM - 2h 30min Technical Fields: Technical Fields:
Exam Duration ______
Technical Fields: PM - 2h45min 1h30min
2h
Multiple choice (1/4)
Exam type Multiple choice (1/4) Writing ______
and writing
4) Certificate procedure
The procedures of certificate of site manager are shown in Figure 8.5.12
(a) As speculated in the requirement of Decree 12/2009/NĐ-CP, in the case of university

graduates, after 3years experience (5 years for college graduates), they can be worth of
taking CS unified exam.
(b) Those who need training before exam can receive optional training course with
application.
(c) After passing CS-Exam (Basic level), the passers can get the certificate of CS Basic level
from DOC to which they belong.
(d) Those who wish the next higher level of CS (CS 2) can try CS 2-Exam after 2years’
actual construction supervising experience.
(e) After passing CS 2-Exam (Intermediate level), the passers can get the certificate of CS
Intermediate level from DOC to which they belong.
(f) If those who have obtained CS 2 wish to get Site manager certificate (SM 21), they can
take 1-month training for Site manager with application. After being trained, DOC gives
them certificate of Site manager (SM 2).
(g) Those who wish the highest level of CS (CS 1) can try CS 1-Exam after 2years’ actual
construction supervising experience as CS 2.
1
Explained in 8.5.5(3)6) Condition of certificate
8-85
(h) After passing CS 1-Exam (Advanced level), the passers can get the certificate of CS
Advanced level from DOC to which they belong.
(i) If those who have obtained CS 1 wish to get Site manager certificate (SM 12), they can
take 1-month training for Site manager with application. After being trained, DOC gives
them certificate of Site manager (SM 1).
2
Explained in 8.5.5(3)6) Condition of certificate
8-86
CONSTRUCTION SUPERVISOR CERTIFICATE SITE MANAGER CERTIFICATE
Construction Supervisor Certificate Site Manager Certificate

Advanced level - (CS 1) Advanced level - (SM 1)
1-month
Training
Unified Examination
(CS 1-Exam)
≥ 2 yrs
Construction Supervisor Certificate Site Manager Certificate

Intermediate level - (CS 2) Intermediate level - (SM 2)
1-month
Training
Unified Examination
(CS 2-Exam)
≥ 2 yrs

Basic level - (CS)
Unified Examination
(CS-Exam)
Optional Training
≥ 3 yrs ≥ 5 yrs
University
College
Applicants
Figure 8.5.12 Procedures of certificate for site manager
8-87
5) Exam question
This is same as 8.5.5(2)5) Exam question.
6) Condition of certificate
Condition of certificate of Site manager is summarized in Table 8.5.9. In the case of only
SM 1 class, the certificate is issued from MOC.
Table 8.5.9 Certificate condition on Site Manager

Types SM 1 SM 2
Site Manager Certificate Site Manager Certificate
Information Advanced Level Intermediate Level
Issue Organization MOC DOC
Validity 5 years 5 years
Certification procedure Attend 1 month Training Attend 1 month Training
Experience requirement Hold CS 1 Hold CS 2
≥ 7 years (+ BSc) ≥ 5 years (+ BSc)
≥ 10 years ≥ 7 years
Functional requirement Site manager for projects of special type, Site manager for projects of type II, type III,
type I, type II, type III, type IV of the same type IV of the same category4
category3
7) Training course
 One-month Compulsory Training for new application and renewal
 Validity of Training Certificate : 5 years
 Subjects for Training
- Legal system regarding construction project
- Technical management such as construction method planning, time management etc.
- The latest type of materials, equipment and construction methods regarding

3
Refer to QCVN 03:2012/BXD "Vietnam Building Code on Principle of classification and grading of civil and industrial
buildings and urban infrastructures"
4
Refer to QCVN 03:2012/BXD "Vietnam Building Code on Principle of classification and grading of civil and industrial
buildings and urban infrastructures"
8-88
8) Road map
It is recommended that Site Manager Qualification system will be implemented according

to the following Roadmap.
Figure 8.5.13 Roadmap for improving Site Manager Qualification system
Road Map (Year)

Plans
2013 2014 2015 2016 2017 2018
General Activity
1 Agreement with CPs and PMU
Stipulation of Roles of Site Manager
2 Enforcement
Implement of Unified Examination
2 Prepare and Establish QE center
3 Establish Question Data Base
2 Prepare and Implement Unified Examination
Implement of Optional Training Courses
2 Prepare and Provide Optional Training Courses
Prepare Compulsory Training Courses in the Qualification Re newal
2 Prepare and Provide Compulsory Training Courses
Establish Intermidiate-Level and Advance-Level Qualification
2 Prepare and Implement Unified Exam
8-89
CHAPTER 9 DEVELOP THE FRAMEWORK FOR

CONSTRUCTION QUALITY MANUAL AND
STANDARD CONSTRUCTION WORK
SPECIFICATION (ACTIVITY-5)
9.1.1 Development of Framework for Standard Technical Specifications
Technical specifications are one component of tendering dossiers which shows technical
guidelines for construction projects. Standardization of technical specifications is intended to
ensure consistency in contents and to reduce workload of a project owner preparing for
specifications. However, it should be noted that the standardization of technical specification
is in principle to find out common elements in the individual specifications and to standardize
them into one specification, so that it should be applied for the project fields where demand
for the construction projects is high and where there are many similarities in specification
including materials and construction methods.
In addition, specifications should be standardized in accordance with construction project

sectors. Also, in many construction projects, the standard specification is more often used
with a so-called particular specification which supplements information for the specific
subjects of the project. In general, the particular specification is separately handled from the
standard specification and prepared by the project owner.
With these reasons, it is more appropriate that the ministries in charge of the construction
sector should be deeply involved in the preparation of not only particular specifications, but
also standard specifications. Characteristics of the above stated specifications are summarizes
as follow.
The Project focuses on the common specifications and tries to develop the guidelines showing
how to standardize common specifications which can be usable over many construction
projects. However, it should be noted that the particular specifications be placed out of the
scope of this Project, since development of such particular specifications be managed by
sector management ministries.
1) Common Specification (General Specifications)
 It deals with common elements over the multiple numbers of projects.
 It prescribes regulations and technical standards to be applied for construction works.

 Standardization helps support project owners to reduce project preparation time.
9-1
 It provide convenience and usefulness to contractors
2) Particular Specification
 It deals with subjects very much specific for the projects. These include the scope of the
work, geological conditions, utility removal, construction methods, and other details of
the project and so forth which are deemed independent information for the project.
 It provides specific information for the project.
(2) Methodologies
The Project will develop the guideline showing how to compile standard technical
specification, following procedures listed below.
 Introduce foreign practices (Practices in Japan)
 Define ministries roles for developing and maintaining standard common specifications
 Select construction works for standardization
 Develop structures of standard common specifications
 Select provisions for standardization
 Develop a sample standard specifications for public works
(3) Outputs
 Guidelines for the standardization of common technical specifications.
 A sample common specification which consists of general provisions and material

provisions for public works. (See detail in "GUIDELINES AND MANUALS")
9.1.2 Development of Framework of Construction Quality Manual
(1) Concept of Development
Quality management manuals have been widely spread in the foreign countries in order to
supplement regulations and to provide detailed information which is beneficial to project
owners, consultants and contractors, who are directly involved in the construction project and
the quality management in the fields.
In fact, there is no fixed format for the quality management manual, but very flexible in
formatting. Any information including support formation and supplemental information of
regulations can be all assembled into the construction quality manuals. Information deemed
9-2
beneficial to project owners, consultants and contractors, who are directly involved in
construction project and quality management, can be selected into the manual.
On the basis of the current status survey, the Project focuses on developing a framework (a
Guideline) aiming at developing construction quality manuals below. These independent
manuals can be assembled and integrated into the quality management manual. The manual
listed herein is expected to play a key role in ensuring smooth implementation of construction
project and quality management between project owners, supervision consultants and
contractors.
 Manual on procedures and documents for acceptance
 Manual on laboratory tests and field tests
 Manual on measurements of completed facilities
 Manual on labor safety
However, it should be noted here quality management manuals should be in principle

developed sector by sector as much as possible, as the information included in the manuals is
closely associated with technical standards and field construction works, thereby information
requirements may fairly differ depending upon sectors. It is necessary to understand that
quality management manuals are for the purpose of construction works.
(2) Methodology
The Project will develop the guideline showing how to compile construction quality manuals,
following procedures listed below.
 Introduce Japanese Practices
 Select main components contained in construction quality manuals
 Develop contents of construction quality manual.
 Study on how to use construction quality manuals
 Study on how to develop and manage construction quality manuals
 Develop a sample construction quality manual for public works
(3) Outputs
 Guidelines for developing construction quality manuals.
 A sample construction quality manual for public works. (See detail in "GUIDELINES
AND MANUALS")
9-3
9.2 DEVELOPMENT OF FRAMEWORK FOR STANDARD TECHNICAL

SPECIFICATION
9.2.1 Rationale
 Technical specification is a part of contract dossiers and stipulates important points to

note in construction which are not well prescribed in the conditions of contracts. These
points include general requirement, material specifications, technical standards to be
applied, construction methods, field and laboratory tests, measurements of completed
structures, ways of payment and so forth. Therefore, technical specification plays a bridge
role between the Employers and contractors, so that it is mandatory to enhance the quality
of technical specifications in order to raise the quality of construction works.
 By regulations, the technical specifications have been prepared independently for each
construction project. Therefore, project owners or employers are obliged to prepare these
technical specifications before going into tendering procedures. There has been no
standardized specification so far in any construction field in Vietnam. Consequently, it
has caused that the contents of the specification have been variant and inconsistent even
in same construction field.
 In fact, most of such tasks as making specifications have been carried out, heavily relying
on outsourced consultant works due to lack of knowledge and ability of project owners.
However, there is still inconsistency in each project’s technical specification. Under this
situation, the standardization of technical specifications is expected not only to give direct
impacts on the quality enhancement of technical specifications, but to reduce the
workloads of making specifications for project owners.
9.2.2 Overseas Practice (Practices in Japan)
(1) Specifications Developed by MLIT
 In Japan, any of implementation bodies more or less prepare their own construction work
specifications. They are MLIT, various public bodies, local governments such as
prefectures, cities and villages etc. and then wide-ranging. Although there are some
similarity among them, each body has developed own specification independently.
 As a major example of Japanese practice, MLIT’s specifications are here introduced for
reference. Figure 9.2.1 shows specifications developed by MLIT. MLIT has developed
and managed nine major standard specifications for its public works. However, there
might be some more if small specifications are counted.
9-4
 MLIT has been paying much attention on standardizing technical specifications

applicable to various types of construction projects. However, standardization has been
developed in accordance with construction work types as shown in the Figure 9.2.1 .
Standard specifications have been applied independently or in combination to the contacts
of construction works. Application of these specifications is in principle compulsory for
construction works under MLIT supervision.
 As seen in the Figure 9.2.1 , MLIT also develops specifications for building works.
However, they are not for the various types of building works, but for the government
facilities like staff apartments and offices. Other ministries agree to follow these
specifications when attempting to build such facilities.
Standard Specification for Road / Bridge Construction Works
Standard Specification for Port Facility Construction Works
Standard Specification for Dam Construction Works
Standard Specification for River Facility Construction Works
MLIT Standard Specification for Coastal Facility Construction Works

Central
Government Standard Specification for Erosion Control Facility Construction Works
Standard Specification for Public Building Works

Building Construction Works Edition
Standard Specification for Public Electric Facility

Building Renovation Works Edition
Standard Specification for Wooden Machineries

Building Construction Works Edition
Figure 9.2.1 Technical Specifications Developed by MLIT
(2) Building Work Specifications
 The building specification comprise three sub editions; Building Works Edition; Electric
facilities Edition and Machineries Edition as shown in hatched boxes in the Figure
9.2.1 . Current Status of technical Specifications in Vietnam
(3) Specifications Developed by Local Autonomies
 Ministerial agencies under MLIT and local municipals basically follow MLIT technical
specifications, but they sometimes develop their own specifications in line with MLIT
specifications.
9-5
(4) Specifications Developed by Academies
 In addition to ones published by government organizations, some academic institutes

including the Japan Society of Civil Engineers, Architectural Institute of Japan, etc. are
also developing technical specifications, but their uses in contracts are not compulsory,
but are free in use.
(5) Compilation of Technical Specifications
 Collaborative development has been often employed in order to develop technical

specifications as well as technical standards. MLIT often constitutes committees and
invites many experts and academics to the committees where information is assembled
and intensive opinion exchange is done for technical issues of construction works. MLIT
often commissions these works to semi-public research foundations under their
jurisdiction.
9.2.3 Current Status of Technical Specifications in Vietnam
 Technical specifications have already been applied to many construction work contracts
until recently, but more often to the ODA funded construction works and less often to the
state-budget construction works.
 Looking on a sector basis, technical specifications have been applied more often to the
public work sector including roads & bridges, ports and dams than to the building work
sector.
 There seem to be many project owners who are deemed unprofessional in construction
work management and unfamiliar with technical specifications, so that preparation of
technical specifications has been left to consultants.
 Technical specifications have never been standardized yet in all sectors. Much
government effort has been directed to the guidance to consultants on how to make
technical specifications.
 Ministry of Transport published a guideline on how to make technical specifications for

roads/bridges construction works on August 1st, 2008. Another similar guideline for
building construction works is in a formalization process and coming out early 2012, as
shown in Section 9.2.6 Reference-2; Guidelines for Editing Technical Specifications
in Vietnam
9-6
9.2.4 Guidelines for Developing Standard Technical Specifications
(1) Objectives of Standardization
As identified in current problems, because technical specifications’ contents are inconsistent

and varies with infrastructural fields, project owners have difficulties to make independent
specification on each project. To add to these difficulties, there are likely project owners and
employers who are incapable of making technical specifications.
A method to settle these problems is to standardize the technical specifications as in the case
of Japanese practice. It is of course impossible to standardize all specifications, but there are
many common items or contents in various technical specifications. It is possible and
necessary to standardize only common portions in technical specifications.
Therefore, the objectives of standardization are;
 To provide uniform information on technical specifications;
 To share technical specifications in similar construction fields;
 To reduce project owner’s workloads to make technical standards.
Inconsistency of technical specifications can be eliminated and then integrated buildings in

quality can be produced in any construction field by standardization of technical specification.
In addition, it can reduce a tremendous workload and cost of making specifications for project
owners. It is apparently demonstrated that effectiveness of standardization is rather enormous
in Japan.
(2) When to Implement Standardization
There might be a discussion on when to start standardizing technical specifications. Current

status, stated in “9.2.3 -Current Status of Technical Specifications in Vietnam”, explains
that MOC focuses more on publishing guidance on making technical specifications for
individual construction works. However, under the situation that anybody can be a project
owner if appointed by decision maker, MOC is recommended to start standardization of
technical specifications at an early stage in order to ensure quality of technical specifications,
following MLIT practices in Japan. It is necessary that MOC first creates a standard
specification for a national project, and then it is gradually adapted to local projects as a basic
form.
9-7
(3) What are the Structures of Standardized Specifications
Figure 9.2.2 explains the general structure of contract dossiers for construction works which
have been widely implemented in Vietnam like roads & bridge projects. Technical
specification is one of the contract dossiers and normally has 7 items as basic contents as
shown in Table 9.2.2 .They are General Provisions, Technical Standards to be applied,
Materials, testing, Construction Works, Measurements and Payments.
1. Instruction to bidders
Technical Specification
Basic Contents
2. Condition of contract
1. General Provisions
CONTRACT 2. Technical standards to be applied
3. Technical Specification 3. Materials
DOSSIERS 4. Testing
5. Construction works
4. Bill of Quantity 6. Measurements
7. Payment
5. Drawing
Figure 9.2.2 Structure of Technical Specifications (Before Standardization)
On the other hand, Figure 9.2.3 illustrates the contract dossiers with standard specifications
incorporated in the contract dossiers. As seen in the figure, Technical specification is divided
into two types of specification, which are Standard Technical Specifications and Particular
Technical Specifications. Standard specifications are generally applied coupled with
particular specifications.
Standard Technical Specification

Basic Contents
Part 1. General Provisions
- General
1. Instruction to bidders - Common Materials
Part 2. Construction Works Method Statement
- Technical standards to be applied
2. Condition of contract - Materials
- Testing
- Construction works
3. Standard - Measurements
CONTRACT Technical Specification - Payment
DOSSIERS
4. Particular Particular Technical Specification
Technical Specification Basic Contents
1. Particular Provisions
5. Bill of Quantity 2. Particular Technical standards to be applied
3. Particular Materials
4. Particular Testing
6. Drawings 5. Particular Construction works
6. Measurements
7. Payment
Figure 9.2.3 Structure of Technical Specifications (After Standardization)
9-8
Functions of each specification are as follows.
 Standard Specification
- Deals with only common contents of various field projects and describes applicable
regulations in any project.
 Particular Specification
- Deals with only specific portions of the project concerned and describes applicable
regulations in special construction works.
Basic contents of standard specification are generally composed of two parts: General
Provisions and Construction Work Method Statements. In General Provision, general
regulations regarding general matters and common materials on construction projects are
described. In Construction Work Method Statements, technical standards, regulations
regarding materials, testing, construction works, measurements and payments are described.
Construction Work Method Statements only deal with representative common construction
work methods in the field concerned. Details are generated in following (6) How to Develop
Frameworks of Standard Specifications.
As the standard specification can only provide the information deemed standard and common
over multiple construction projects, it cannot provide specific information specialized for a
specific construction project. With this, the particular specification can provide more specific
information and supplement the function of the standard specification.
Both specifications have the same contents structure basically, but that for the particular
information is often flexible and limited to the supplementary contents to the standard
specification.
(4) What are Ministry’s Roles in Standardizing Technical Specifications
The ministries, including MOC, MOT, MOI and MOA which are given authority of making
technical standards, are advised to recognize the necessity of standard specifications, prepare
them and to disseminate information to project owners, in particular to those at the provincial-
level.
The contents of standard specifications should be closely linked to the technical standards
developed by each ministry. Also, work methods to be standardized should be consistent with
the specialized construction sectors, so each of the above ministries is encouraged to develop
its own standard specifications for its specialized construction works.
MOC is advised to encourage ministries to standardize technical specifications for their own
construction sectors in relevant decrees and to disseminate a guideline on the standardization.
9-9
(5) How to Select Construction Work Fields for Standardization
The following are the conditions to be taken into account in the selection of standardization
fields. Ministries attempting to standardize technical specifications are advised to place high
priorities on the selection of standardization fields. Those which meet the following
conditions will be high priority in standardizing technical specifications.
 Project fields with big investments
 Project fields with similarity of construction technologies
 Project fields where similar types of construction works repeatedly come out.
With these conditions considered, it is, first of all, recommended to choose the following
construction fields as potentials of standardization. Basically, it is recommended to apply
sector-by-sector standardization in concert with construction contracts being made by sector-
by-sector.
 Road & bridge construction
 Port facility construction
 Dam construction
 School building construction (Building works / Electric Facility, Machinery Facility)
 Hospital building construction (Building works / Electric Facility, Machinery Facility)
Regarding the building works, it is recommended to select hospitals or schools to be the prime
candidates of developing standard specifications. Either one of these facilities would have
many similar work types and construction technologies. Also, their demands for construction
are expected to grow even for the years to come. To begin with, development of standard
specifications is recommended for building works, for electric facility works and for
machinery facility works. Separate standardization of specifications for school and hospital
construction is preferable. Of course, two standard specifications could be put together into
one with respect to building works, if electricity work or machinery work specifications for
special medical facilities are separately prepared as particular specifications.
It is also noted that standard specifications developed for the purpose of school or hospital
construction will be hardly applied to high-rise building constructions. Their standard
specifications should be developed separately, if the projects meet the above conditions.
(6) How to Develop Frameworks of Standard Specifications
Frameworks of standard specifications in general consist of the following two provisions;
 General Provisions (Part-1)
 Construction Work Method Statements (Part-2)
9-10
1) General Provisions (Part-1)
Part-1 provides general information common to all construction methods detailed in

subsequent Part-2. In order to avoid repeat of information in Part-2, such common
information is gathered and prescribed together as Part-1. The contents of Part-1 may differ
depending upon project types.
a. Interrelation between General Provisions and Contract Conditions
The General Provision deals with points to note in order to carry out construction works,
providing more general information on engineering issues rather than Part-2, but providing
more specific information rather than contract conditions. As the general provisions are
expected to become similar to those in the Contract Conditions, the items and contents of the
standard specifications should be carefully examined in order to avoid the overlapping of
information when a format on the contract conditions are determined.
b. Selection of Items and Contents
“9.2.7 Refrence-3; Items and Contents for General Provisions” provides detailed
information on General Provisions; one for public infrastructural works (please refer
"GUIDELINES AND MANUALS" for details) and the other for building works. The
former one was created by Activity 5 with combination of present typical Vietnamese
specifications and Japanese ones as a concrete example. This was developed by picking up
common provisions among 6 Vietnamese infrastructural projects such as roads, bridge, hydro-
power and port (See Appendix_9-1-1). (Final product is contained in "GUIDELINES AND
MANUALS" and can be used as General Provisions of Standard Specification for
infrastructural works which will be ordered in the future in Vietnam.)
Basically, there are no significant differences in general provisions between construction

works. The following are the key items often described in general provisions. The
organizations charged with standardization are advised to select items and contents best suited
to the standard specifications, taking account of past practices and also overseas practices.
 General statement
 Preliminaries
 Construction supervision and work safety management
 Engineering service and submittals
 Construction quality management
 Laboratory tests and field tests
 Environmental protection and traffic protection
 Construction material management
9-11
 Inspections
c. Common Material Provisions
In addition to the above General Provisions, there are sometimes construction materials
commonly used in many construction works. The General provisions can provide such
material information in order to avoid overlapping of information in Part-2. For public works,
which include roads, bridges, ports, irrigations and sewage construction works, the JICA
Project recommends that the following common materials be integrated in the General
Provisions rather than stated in Part-2 repeatedly.
 Portland cement
 Aggregate
 Bituminous materials
 Admixture
 Water
 Reinforcing steel
 Structure metal
These typical materials for public works were decided by extraction as common materials
from the contents of 6 infrastructural projects’ technical specifications in 4 fields such as road,
bridge, hydro-power and port by JICA team. (Final products of these materials regulation are
contained in Product 5-2-2 and can be used as standard regulation in technical specification.)
In the case of the standard technical specification for building works, material information is
in general prescribed as components of Construction Work Method Statements (Part-2). This
is because materials for building works may differ dependent on their construction works and
there are few common materials between construction works.
2) Construction Work Method Statements (Part-2)
Construction Work Method Statements are the most important provisions of the standard
specifications. However, the construction work method statements may vary, heavily
dependent on construction work fields as shown in Table 9.2.2 . This is because the main
reason that it is hard to make the standard specifications applicable for multi-sector
a. Selection of Construction Work Methods
The organizations charged with standardization are advised to select key construction work
methods first which are best suited to the standard specifications, taking account of past
9-12
practices and also overseas practices. As seen in Table 9.2.2 , selected work methods should
be representative components of the construction works under consideration.
For example, pavement work or concrete work is usually common and popular work in road
and bridge construction field; thereby either work can be standardized in specification.
b. Breakdown Each Construction Methods
After the selection of key construction work methods, further breakdown is to be carried out
for each construction method. Table 9.2.1 below shows two sample breakdowns; Case-1 for
pavement works in roads/bridges construction and Case-2 for concrete works in building
construction work. As seen in the tables, one can understand that breakdown items show key
actions to be taken in order.
Particular note here is that work items resulted from breakdowns should be consistent with
BOQ items in the case of unit-price contracts where the standard specifications are required to
clarify the ways of measurements and the units of payments in the specifications. However,
for the lump sum cases, they are not necessarily needed.
Table 9.2.1 Sample of Construction Methods

Case-1; Roads/Bridges Construction Case-2; Building Construction Works
Pavement Works (Sample) Concrete Works (Sample)
(1) Application (1) General
(2) Technical Standards (2) Quality of Concrete
(3) Pavement Works (3) Materials of Concrete
(4) Drainage Works (4) Order, Manufacture & Transportation of Concrete
(5) Curve stone Works (5) Concrete Quality Management
(6) Transportation inside construction site, casting and
(6) Approach Cushion Works
compaction of concrete
(7) Guardrail Works (7) Curing of Concrete
(8) Traffic Sign Works (8) Handling of Concrete during the Hot Season
(9) Lane Marking Works (9) Formwork
(10) Planting Works (10) Tests
(11) Road Accessory Works (11) Light Weight Concrete
(12) Bridge Accessary Works (12) Winter Concreting
(13) Mass Concrete
(14) Plain Concrete
(15) Handling of High-strength Concrete
(16) Super-Plasticized Concrete
(7) How to Develop and Manage Standardization of Technical Specifications
In order to develop and manage standard technical specifications, it is important to assemble

professional knowledge and expertise to develop standardization. Relevant ministries
including MOC, MOT, MOI and MOA are encouraged to take initiatives in developing and
managing the standardization of technical specifications and to assign this responsibility to
9-13
the professional departments in the ministries. The professional department organizes a

permanent committee under the supervision of the department, where professional members
are assembled from ministry user department, research institute, academic association and
some representative members from consultants and construction companies.
The developed standard specifications need to be managed and maintained periodically. It is

recommended to update the contents of standard technical specifications at least once every
two years. Update is often caused by the establishment or the changes of technical standards.
This explains the reason why a permanent organization or a committee is needed in order to
develop or maintain the standard technical specifications.
Department of Science, Technology and Environment
Committee for Development and Management of Standard

Technical Specifications
Vietnam Institute for Building Department of Construction Academic Association

Science and Technology (IBST, etc) Management (CAMD, ect.) (VFCEA and Subordinates)
Representative Consultant Representative Consultant

Members Company Members
Figure 9.2.4 Institutional Arrangement
9-14
Table 9.2.2 Construction Work Method Statements Dependent on Construction Work Types
Roads/Bridges Ports Dam Building Works Electric Works Machinery Works Sewer Facilities
General Construction Electric Power Equipment
Road Renovation Works Concrete Dams Temporary Works Common Works Sewer Pipe Work
Methods Works
Navigation Route/ Electric Substation Air Conditioning Pipe & Drainage Works
Pavement Works Fill Dams Earthworks
Anchorage/ Vessel reservoir Equipment Works Equipment Works (Open Excavation)
Breakwater/ Erosion Control Foundation Grouting Power Storage Equipment Automatic Control Propulsion Work Method
Bridge Substructures Foundation Works
Bank/ Training Dike Works Works Equipment Works (Small Diameter)
Propulsion Work Method
Water Supply, Drainage &
Bridge Superstructures Tide Embankment Steel Bar Works Power Generator Works (Other than Small
Hygiene Works
Diameter)
Concrete Bridge Shore Protection/ Wharf/ Propulsion Work Method
Concrete Works Telecommunication Works Gas Facility Works
Superstructures Shallow draft quay (Shield Methods)
Central Control and
Tunnels (NATM) Jetty/ Dolphin Steel Structure Works Well Drilling Works Manhole Works
Monitoring Facility Works

Concrete Block, ALC
Special Purpose Manhole
Tunnels (Sheet piles) Harbor Road Works & Extruded Cement Medical Facility Works Lift facility Works
Works
Plate Works
Concrete Sheds Water Proofing Works Mechanical Parking Works Pipe Joint Works
Steel Sheds Stone Works Medical gas Facilities Soil Improvement
9-15
Underground Pedestrian
Tile Works Miscellaneous Works
passes
Underground Parking
Wood Works Shaft Works
facilities
Roof and Roof Gutter
Common Ducts Sewage Treatment Plant
Works
Electric Common Ducts Metal Works Site Preparation
Information Boxes Plaster Works Slope Works
Road Maintenance Works Joinery Works Soil Improvement
Ice and Snow Works Curtain wall Works Earthworks
Road Repair Works Painting Works Temporary Works
Interior Works Building Works
In-site Pipe & Drainage
Unit Facility Works
Works
Drainage System Works Outlet Works
Pavement Works In-site Road Works
Planting Works Retaining Wall Works
In-site Planting Works
Biotope Pond Works
Miscellaneous Works
Facility Removal Works
9.2.5 Reference-1; Contents List of Technical Specifications in Japan
The following tables show the contents list of technical specifications developed by MLIT,
Hokkaido Local Government and Saitama City.
Table 9.2.3 Contents List of Specifications

Table 9.2.4 Standard Technical Specifications for Roads/Bridge Construction MLIT
Table 9.2.5 Standard Technical Specifications for Port Construction MLIT
Table 9.2.6 Standard Technical Specifications for Dam Construction MLIT
Standard Technical Specifications for Public Building Construction
Table 9.2.7 MLIT
(Building Works Edition)
Table 9.2.8 MLIT
(Electric Works Edition)
Table 9.2.9 MLIT
(Machinery Works Edition)
Table 9.2.10 Standard Technical Specifications for Sewer Facility Construction Saitama City
Hokkaido Local
Table 9.2.11 Standard Technical Specifications for Fishing Port Construction
Government
(1) Standard Technical Specifications for Roads/Bridge Construction
Table 9.2.4 Standard Technical Specifications for Roads/Bridge Construction

MLIT ROADS & BRIDGES
Chapter Title Sub Clause
2. Materials
3. Road Renovation Works
(1) Application
(3) Factory Manufacturing
(4) Slope Protection Works
(5) Retaining Wall
(6) Block Works
(7) Culvert Works
(8) Drainage Works
(9) Snow-fall and Rock-fall Prevention Work
(10) Noise Barriers
4. Pavement Works
(1) Application
(3) Pavement Works
(4) Drainage Works
(5) Curve stone Works
(6) Approach Cushion Works
(7) Guardrail Works
(8) Traffic Sign Works
(9) Lane Marking Works
(10) Planting Works
(11) Road Accessory Works
9-16
MLIT ROADS & BRIDGES

(12) Bridge Accessary Works
5. Bridge Substructures
(1) Application
(4) Abutment Works
(5) RC Pier Works
(6) Steel Pier Works
(7) Bank Foundation Works
(8) Bank Sheet Pile Works
(9) Bank Coverage Works
(10) Bank Retaining Wall Works
6. Bridge Superstructures
(1) Application
(4) Metal Bridge Election Works
(5) In-situ Painting Works
(6) Bridge Deck Works
(7) Bridge Accessary Works
(8) Pedestrian Bridge Works
(9) Steel Bridge Scaffolding Works
7. Concrete Bridge Superstructures
(1) Application
(4) PC Bridge Works
(5) Pre-Beam Girder Works
(6) PC Hollow Slab Works
(7) RC Hollow Slab Works
(8) PC Girder Bridge Works
(9) PC Box Girder Bridge Works
(10) PC Cantilever Box Girder Bridge Works
(11) PC Extruded Box Girder Bridge Works
(12) Bridge Accessory Works
(13) Concrete Bridge Scaffolding Works
8. Tunnels (NATM)
9. Tunnels (Sheet piles)
10. Concrete Sheds
11. Steel Sheds
12. Underground Pedestrian passes
13. Underground Parking facilities
14. Common Ducts
15. Electric Common Ducts
16. Information Boxes
17. Road Maintenance Works
18. Ice and Snow Works
19. Road Repair Works
9-17
(2) Standard Technical Specifications for Port Construction
Table 9.2.5 Standard Technical Specifications for Port Construction
MLIT PORTS
2. Material
3. Common Temporary Works
4. Plain and Reinforced Concretes
5. General Construction Methods
(1) Common Construction Methods
(2) Soil Disposal
(3) Sea Bed Improvement Works
(4) Foundation Works
(5) Caisson Works
(6) Block Works
(7) Cast in Place Concretes
(8) Riprap Work
(9) Steel Sheet Pile Works
(10) Concrete Sheet Pile Work
(11) Steel Pile Works
(12) Concrete Pile Works
(13) Consolidation Works of Foundation
(14) Superstructure Works
(15) Affiliated Works
(16) Wave Absorbing Works
(17) Back Filling
(18) Soil Improvement
(19) Earthworks
(20) Pavement Works
(21) Maintenance Works
(22) Demolition Works
(23) Temporary Works
(24) Miscellaneous Works
6. Navigation Route/ Anchorage/ Vessel reservoir
7. Breakwater/ Erosion Control Bank/ Training Dike
8. Tide Embankment
9. Shore Protection/ Wharf/ Shallow draft quay
10. Jetty/ Dolphin
11. Harbor Road
9-18
(3) Standard Technical Specifications for Dam Construction
Table 9.2.6 Standard Technical Specifications for Dam Construction

MLIT DAMS
2. Material
3. Concrete Dams
(1) Application
(3) Soil Excavation Works
(4) Dam Concrete Works
(5) Concrete Formworks
(6) Surface Finishing
(7) Installation of Underground Facilities
(8) Pipe Cooling Works
(9) Joint Grouting Works
(10) Closed Concrete Works
(11) Drainage Works
4. Fill Dams
(1) Application
(2) Soil Excavation Works
(3) Embankment Works
5. Foundation Grouting Works
(1) Application
(3) Boring Works
(4) Grouting Works
(4) Standard Technical Specifications for Public Building Construction (Building Works)

(Building Works)
MLIT Building Works
1 General Provisions
(1) General
(2) Documents for Construction Works
(3) Construction Work Supervision
(4) Materials
(5) Construction Works
(6) Inspections
(7) As-build Drawings
2. Temporary Works
(1) General
9-19
MLIT Building Works

(2) Measurement
(3) Temporary Works
(4) Temporary Facility Removal Works
3. Earthworks
(1) General
(2) Pit Excavation & Backfilling Works
(3) Shoring Works
4. Foundation Works
(1) General
(2) Tests & reports
(3) Prefabricated Concrete Pile Works
(4) Steel Pile Works
(5) Cast-in-situ concrete Pile Works
(6) Gravelling Works
5. Steel Bar Works
(1) General
(2) Materials
(3) Processing & Assembly
(4) Gas Pressure Welding Works
(5) Special Joint Works for Steel Bars
6. Concrete Works
(1) General
(2) Quality of Concrete
(3) Materials of Concrete
(4) Order, Manufacture & Transportation of Concrete
(5) Concrete Quality Management
(6) Transportation inside construction site, casting and compaction of
concrete
(7) Curing of Concrete
(8) Handling of Concrete during the Hot Season
(9) Formwork
(10) Tests
(11) Light Weight Concrete
(12) Winter Concreting
(13) Mass Concrete
(14) Plain Concrete
(15) Handling of High-strength Concrete
(16) Super-Plasticized Concrete
7. Steel Structure Works
(1) General
(2) Materials
(3) Processing
(4) High Tension Bolt Joints
(5) General Bolt Joints
(6) Welded Joints
(7) Stud Bolt Welding & Steel Deck Plate Welding
(8) Corrosion Proof Painting
(9) Fireproof Covering
(10) In-situ Construction
9-20
MLIT Building Works

(11) Light Gauge Section Steel Structure
(12) Galvanization
8. Concrete Block, ALC Works & Extruded Cement Plate Works
(1) General
(2) Reinforced Concrete Block Works
(3) Concrete Block Wall Works
(4) ALC Panel Works
(5) Extruded Cement Plate (ECP) Works
9. Water Proofing Works
(1) General
(2) Asphalt Waterproofing
(3) Modified Bitumen Waterproofing
(4) Synthetic Polymer Waterproofing
(5) Paint Film Waterproofing
(6) Sealing
10 Stone Works
(1) General
(2) Materials
(3) Exterior Wall Wet Processing Works
(4) Interior Wall Dry Masonry Works
(5) Dry Works
(6) Stone Veneer Works on Floors & Stairways
(7) Stone Veneer on Special Portion
11. Tile Works
(1) General
(2) Materials
(3) Ceramic Tile Works
(4) Ceramic Tile Work with tiles on Formwork
12. Wood Works
(1) General
(2) Materials
(3) Partitioning and Floor Frame Works for Reinforced Concrete Structure
(4) Window & Entrance & Exit
(5) Floor Boarding
(6) Ground Works for Ceiling & Walls
13. Roof and Roof Gutter Works
(1) General
(2) Shingle Roofing with Long Metal Plates
(3) Shingle Roofing with Folded Plates
(4) Shingle Roofing with clay tiles
(5) Roof Gutter Works
14. Metal Works
(1) General
(2) Surface Treatment
(3) Welding & Brazing
(4) Ground Works for Light-Weight Steel Frame ceiling
(5) Ground Works for Light-Weight Steel Frame Wall
(6) Metal Plate Planking Works
(7) Aluminum Top Rail
9-21
MLIT Building Works

(8) Handrail & Ladder Rung
15. Plaster Works
(1) General
(2) Mortar Paste
(3) Finishing Works of Floor Concrete
(4) Self-leveling Material Painting
(5) Finishing Coat Painting
(6) Gypsum Plaster Painting
(7) Rock Wool Spraying
16. Joinery Works
(1) General
(2) Aluminum Finishing Hardware
(3) Steel Finishing Hardware
(4) Light-weight Steel Finishing Hardware
(5) Stainless Steel Finishing Hardware
(6) Wooden Finishing hardware
(7) Finishing Hardware
(8) Automatic Door
(9) Automatic Hang-on Sliding Door
(10) Heavy-Weight Shutter
(11) Light-Weight Shutter
(12) Overhead Door
(13) Glasses
17. Curtain wall Works
(1) General
(2) Metal Curtain Wall
(3) PC Curtain Wall
18. Painting Works
(1) General
(2) Surface Treatment
(3) Anticorrosive paint
(4) Synthetic Resin Painting
(5) Clear lacquer Painting
(6) Acrylic Resign Painting
(7) Weather Resistant Paint
(8) Gloss Synthetic Emersion Paint
(9) Synthetic Emersion Pattern Paint
(10) Urethane Resin Varnish Painting
(11) Oil Stain Paint
(12) Wood Protection Coatings
(13) Mastic Paint
19. Interior Works
(1) General
(2) Vinyl Floor Sheet & Tile and Rubber Floor Tile Works
(3) Carpet Works
(4) Synthetic Resign Floor Painting
(5) Flooring Works
(6) Mat Works
(7) Gypsum Board & Plywood Works
9-22
MLIT Building Works

(8) Wallpaper Works
(9) Insulation % Dew Proofing Work
20. Unit Facility Works
(1) General
(2) Unit Works
(3) Precast Concrete Works
(4) Wedge-shaped Stone and Concrete Wedge-shaped Stone Works
21. Drainage System Works
(1) General
(2) Materials
(3) Construction
22. Pavement Works
(1) General
(2) Subgrade Works
(3) Base Course Works
(4) Asphalt Pavement Works
(5) Concrete Pavement Works
(6) Colored Pavement Works
(7) Permeable Pavement Works
(8) Drainage Pavement Works
(9) Block Pavement
(10) Gutter, Corner Stone & Side Ditch Works
(11) Gravelling
23. Planting Works
(1) General
(2) Foundation Works for Planting
(3) Planting
(4) Lawn and Spray-seeding Works
(5) Rooftop Gardening
(5) Standard Technical Specifications for Public Building Construction (Electric Works)

(Electric Works Edition)
MLIT Electric Works
2. Electric Power Equipment Works
(1) Materials
(2) Construction
3. Electric Substation Equipment Works
(1) Materials
(2) Construction
4. Power Storage Equipment Works
(1) General
(2) Materials
(3) Construction
9-23
MLIT Electric Works

5. Power Generator Works
(1) Materials
(2) Construction
6. Telecommunication Works
(1) Materials
(2) Construction
7. Central Control and Monitoring Facility Works
(1) Materials
(2) Construction
8. Medical Facility Works
(1) General
(2) Ungrounded Power Distribution Switch Board
(3) Nurse Call Facility
(6) Standard Technical Specifications for Public Building Construction (Machinery Works)

(Machinery Works Edition)
MLIT Machinery Works
2. Common Works
(1) General
(2) Plumbing Works
(3) Heat Insulation, Painting, Anti-Corrosion Works
(4) Related Works
3. Air Conditioning Equipment Works
(1) Materials
(2) Construction
4. Automatic Control Equipment Works
(1) General
(2) Materials
(3) Construction
5. Water Supply, Drainage & Hygiene Works
(1) Materials
(2) Construction
6. Gas Facility Works
(1) General
(2) City Gas Facility Works
(3) LPG Facility Works
7. Well Drilling Works
(1) General
(2) Drilling Facilities
8. Lift facility Works
(1) General
(2) Standard Elevator Facilities
(3) Standard Hydraulic Elevator Facilities
9-24
MLIT Machinery Works

(4) Popular Model Elevator Facilities
(5) Emergency Elevator Facilities
(6) Machine Room-less Elevator Facilities
(7) Freight Exclusive Elevator Facilities
(8) Escalator Facilities
9. Mechanical Parking Works
(1) General
(2) Two-story Parking Facilities
10. Medical gas Facilities
(1) General
(2) Gas Facilities
(7) Standard Technical Specifications for Sewer Facility Construction
Table 9.2.10 Standard Technical Specifications for Sewer Facility Construction

SAITAMA CITY SEWER FACILITIES
1. Sewer Pipe Work
(1) General Provisions
(2) Regulations & Technical Standards
(3) Pipe & Drainage Works (Open Excavation)
(4) Propulsion Work Method (Small Diameter)
(5) Propulsion Work Method (Other than Small Diameter)
(6) Propulsion Work Method (Shield Methods)
(7) Manhole Works
(8) Special Purpose Manhole Works
(9) Pipe Joint Works
(12) Shaft Works
2. Sewage Treatment Plant
(1) General Provisions
(2) Regulations & Technical Standards
(3) Site Preparation
(4) Slope Works
(6) Earthworks
(7) Temporary Works
(8) Building Works
(9) In-site Pipe & Drainage Works
(10) Outlet Works
(11) In-site Road Works
(12) Retaining Wall Works
(13) In-site Planting Works
(14) Biotope Pond Works
(16) Facility Removal Works
9-25
(8) Standard Technical Specifications for Fishing Port Construction
Table 9.2.11 Standard Technical Specifications for Fishing Port Construction

Hokkaido Government FISHING PORTS
1. Dredging & Sea Bed Excavation Works
2. Soil Improvement Works
3. Mat Works
4. Riprap Foundation Works
5. Pile and Sheet Pile Works
6. Anchor reinforcement Works for Sheet Pile Revetment
7. Concrete Works
8. Caisson Works
9. Concrete Block Works
10. Filling Works
11. Upper Concrete Works
12. Pavement Works
13. Accessory Works
14. Welding & Cutting Works
15. Reclamation and Backfilling Works
16. Water Pollution Prevention Curtain
9.2.6 Reference-2; Guidelines for Editing Technical Specifications in Vietnam
Table 9.2.12 shows the manuals for editing technical specifications which are already
published under development in Vietnam.
Table 9.2.12 Manuals for Editing Technical Specifications in Vietnam
Title Date of Issue Publisher
GUIDELINES FOR EDITING TECHNICAL

1 August 2008 Ministry of Transportation
SPECIFICATION FOR ROADS AND BRIDGES
PROPOSED CONTENTS OF THE GUIDELINES FOR Vietnam Association of Structural
Under
EDITING TECHNICAL SPECIFICATION FOR Engineering and Construction
development
BUILDING WORKS Technology (VASECT)
(1) Guidelines for Editing Technical Specifications for Roads and Bridges (Published by, 1
August 2008, MOT)
Table 9.2.13 Contents List of MOT Manual
Chapter Items Contents

PART -A General Specification (1) Forewords
(2) General Requirements
(3) Laboratories and Testing Equipment
9-26

(4) Site Engineering Services
(5) Additional Geological Survey
(6) Traffic Assurance
PART- B Particular Specification (1) Site Works
(2) Earthworks
(3) Drainage Systems
(4) Pavement
(5) Concrete and Bridge
(6) Steel and Metal Structures
(7) Other Items
(8) Electricity, Lighting and Other Utilities
(2) Proposed Contents of the Guidelines for Editing Technical Specifications for Building
Works (Draft, Vietnam Association of Structural Engineering and Construction
technology (VASECT)
Table 9.2.14 Draft Contents List of VASECT Manual

PART - 1 General Requirements (1) Technical Standard and Definitions
(2) Requirement on Administration
(3) Requirement on Quality
(4) Requirement on Products
(5) Requirement on Implementation
(6) As-Built Documents
(7) Prohibition
PART- 2 Preparation for Execution (1) Preparation or Materials
(2) Land Acquisition
(3) Ground Leveling
(4) Site Management
(5) Geological Survey
(6) Site Testing
(7) Laboratory Testing
PART - 3 Piling Works (1) General Requirements for Piling Works
(2) General Requirements for Reinforced Concrete Piles
(3) Normal Concrete Pre-Stressed Concrete Piles
(4) Bored Piles
(5) Driving Piles
(6) Steel Piles
(7) Wooden Piles
(8) Testing of Piles
PART - 4 Concrete Works (1) Concrete and Admixtures
(2) Reinforced Concrete
(3) Cast in-situ Concrete
(4) Finishing of Concrete Floor
(5) Pre-stressed Concrete
(6) Pre-stressed Concrete
9-27

PART - 5 Steel Structure (1) Structure Steel
(2) Steel Floor
(3) Combined Steel Floor
(4) Metal Processing
(5) Metal Staircase
(6) Hand Rail
(7) Hand Rail Combination with Safety Glass
(8) Deck and Frame
(9) Cover Combination for Expansion Connection
PART - 6 Equipment (1) Specific Equipment
(2) Facility Equipment
(3) Technology Equipment
(4) Electricity Works
(5) Communication Equipment
(6) Equipment for Security and Safety
PART - 7 Finishing
9.2.7 Refrence-3; Items and Contents for General Provisions
Table 9.2.15 shows samples of general provisions, one for public works developed by JICA
Project team and the other for public building works published by MLIT in Japan.
Table 9.2.15 Contents List of General Provisions
Title Date of Issue Publisher

STANDARD SPECIFICATION FOR PUBLIC
November, 2011 JICA Project Team
WORKS, GENERAL PROVISIONS, DF REPORT
STANDARD SPECIFICATIONS FOR PUBLIC

6 December 2010 Public Building Association, MLIT
BUILDING WORKS IN JAPAN
(1) Items and Contents for Public Works (Roads/bridges, Hydro-power, ports)
Table 9.2.16 shows sample items and contents to be noted in the general provisions. They
are among representative items and contents specialized for the general provisions for public
works such as roads, bridges, ports, dams or the like. However, there may be no big
differences between construction sectors. Activity-5 of this JICA Project has developed
sample general provisions applicable for public works in Vietnam. The report in the above
table provides further information on these general provisions.
9-28
Table 9.2.16 General Provisions for Public Works (JICA Project Team)
Section Items Contents
1 General 1 Description
1.1 Main contents and application
1.2 Scope of application
1.3 Abbreviations
1.4 Units of measure
1.5 Definition of the terms
2 Requirements
2.1 Contract document confirmation
2.2 Requirements
2 Preliminaries 1. Description
2. Requirements
2.1 Materials, equipment and plants
2.2 Project meetings
2.3 Commencement of the works
2.4 Insurance and warranty
2.5 Protection of works
2.6 Protection of utilities and existing structures
2.7 Protection of cultural asses
2.8 Working-in and dealing-with existing water flows
2.9 Maintenance of existing waterway
2.10 Temporary installations
2.11 Preservation of secrets
3 Mobilization and 1. Description
demobilization 2. Requirements
2.1 Contractor's Mobilization
2.2 Subsidiary requirements
2.3 Demobilization
4 Engineering Services 1. Description
2. Requirements
2,1 Setting out of the work
2.2 Additional geotechnical engineering services
5 Submittals 1. Description
2. Requirements
2.1 Submittals classification and list
2.2 Submittals requirements
2.3 Project records
2.4 Drawings
2.5 Photographs and videos
6 Program of Work 1. Description
2. Requirements
2,1 General
2.2 Program composition and contents
2.3 Schedules
2.4 Submittal and approval
7 Construction Work 1. Description
Safety 2. Requirements
2.1 General
2.2 Safety plan
9-29

2.3 Safety manager
2.4 Special requirements for safety
8 Maintenance and 1. Description
Traffic Protection 2. Requirements
2.1 General
2.2 Traffic control plan
2.3 Traffic supervisor
2.4 Special requirements for traffic control
9 Environmental Control 1. Description
and Protection 2. Requirements
2.1 General
2.2 Avoidance of nuisance
2.3 Contractor’s plan for environmental control and Protection
2.4 Special requirement for environmental control
10. Laboratory and 1. Description
Engineer’s Equipment 2. Requirements
2.1 Material testing laboratory
2.2. Submittals
2.3 Testing procedures
2.4 Special requirement
2.5 Certificate of satisfactory laboratory operation
11. Quality Control 1. Description
2. Requirements
2.1 Reference standards
2.2 General
2.3 Quality control plan (QCP)
2.4 Special requirements for quality control
12. Material Management 1. Description
2. Requirements
2.1 Material testing laboratory
2.2 Submittals
2.3 Testing procedures
2.4 Special requirement
2.5 Certificate of satisfactory laboratory operation
13. Inspections 1. Description
2. Requirements
2.1 General
2.2 Significance of inspection
2.3 Types of inspection
2.4 Request of inspection
2.5 Engineer’s authority
2.6 Assistance of contractor
9-30
(2) Items and Contents for Building Works
Table 9.2.17 also shows sample general provisions selected from the MLIT Standard
Specifications for Public Building Works in Japan. These standard specifications have been
applied to build staff apartments for relevant ministries. One may understand that detailed
items and contents look very similar to those for civil construction works shown in Table
9.2.16 .
Table 9.2.17 General Provisions for Building Works (MLIT Specifications)

1.1 General 1.1.1 Application
1.1.2 Definition of Terminology
1.1.3 Administration Procedures for Work Implementation
1.1.4 Registration of Construction Work Data
1.1.5 Document Formats
1.1.6 Handling of Design Drawings
1.1.7 Coordination with neighbor works
1.1.8 Dispute & Settlement
1.1.9 Temporary Construction Work Suspension
1.1.10 Documents for Change in Construction Period
1.1.11 Handling of Patents & Copyrights
1.1.12 Handling of Cultural Assets
1.1.13 Conformity of Regulations
1.2 Construction Work 1.2.1 Implementation Schedule
Documents 1.2.2 Work Implementation Plans
1.2.3 Shop Drawings
1.2.4 Records of Construction Works
1.3 Work Supervision 1.3.1 Work Supervision
1.3.2 Construction Work Supervisor
1.3.3. Electrical Safety Engineer
1.3.4. Safety Engineer for Temporal Electricity
1.3.5. Construction Conditions
1.3.6 Construction Quality Management
1.3.7 Construction Work Safety management
1.3.8 Treatment of Disposals generating at sites
1.3.9 Traffic Safety Management
1.3.10 Safety Management during Disasters
1.3.11 Environmental Protection during Works
1.3.12 Curing
1.4 Materials 1.4.1 Consideration from Material View to Environment
1.4.2 Material Qualities
1.4.3 Carry-in of Materials
1.4.4. Material Inspection
1.4.5. Tests for Material Inspection
1.4.6 Material Storage
1.5 Construction Works 1.5.1 Construction Works
1.5.2 Vocational Qualities
1.5.3 Vocational Quality Holders
1.5.4 Staged inspection & Reporting
1.5.5 Inspection during Works
1.5.6 Tests for Inspection during Works
1.5.7 Attendants of Inspections
1.5.8 New Construction Work Proposal
1.5.9 Concentration Measurements for Chemical Substances
1.6 Inspections 1.6.1 Inspection
1.6.2 Engineering Examination
1.7 As-Built Drawings 1.7.1 Final Documents
1.7.2 As-Built Drawings
1.7.3 Materials for Maintenance
9-31
9.3 FRAMEWORK OF QUALITY MANAGEMENT MANUAL
9.3.1 Rationale
 Basic functions of construction project and quality management have been well
developed by MOC in the form of regulations including the Decree No.12, Decree
No.209 and relevant Circulars and Decisions. In fact, the regulations have been playing
an important role in developing construction project and quality management in Vietnam.
 In order to further enhance construction quality, it is important to enhance the capacity

closely associated with construction work management and supervision in the fields.
However, In general, regulations have a lot of limitation in providing detailed information
associated with construction field works.
 Quality management manuals have been widely spread in the foreign countries in order to
supplement regulations and to provide detailed information which is beneficial to project
owners, consultants and contractors, who are directly involved in the construction project
and the quality management in the fields.
 Although there is no fixed format for the quality management manual, the Project
recommends that construction quality management manuals should be fully utilized. In
this Project, the framework of quality management manuals will be developed as well as a
sample manual for the purpose of civil works1.
 Quality Management Manual is one of the inevitable tools for the good quality products
that can sustain their lives for long time.
9.3.2 Overseas Practices (MLIT in Japan)
MLIT prepares « Guidelines for Construction Work Supervision, Inspection and Contractor
Work Performance Evaluation » and « Standards for Civil Work Supervision ». The following
are the outlines of these materials.
1
Civil Works ; Here in this section, it means public works including road/bridge works, river works, seashore
works, disaster prevention works, dam works, etc.
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(1) Guidelines for Construction Work Supervision, Inspection and Contractor Work
Performance Evaluation
1) Objectives
The guideline elaborates on the procedures of construction work supervision, inspection and
contractor work performance evaluation, which is prepared for MLIT staff to have common
understanding on construction work supervision, inspection and contractor work evaluation.
2) Contents
Its contents structure is shown in Table 9.3.1 .
Table 9.3.1 Contents List
Chapter Major Contents

Chapter-1:  Outline of the construction work supervision, inspection and contractor
Outline of the guideline work performance evaluation
 Related regulations
 Related technical standards
Chapter-2: Construction work  Legislation of the guideline

supervision  Supervision methods
 Points of supervision
 Smooth implementation of design change
 Reinforcement of supervision to low-price bidding projects
 Approval of completed works for interim payments
Chapter-3:  Inspection types

Inspection  Inspection standards
 Inspection work flow
 Roles and responsibilities for inspection
 Implementation of inspection
 Report of inspection results
Chapter-4: Contractor work  Outline of contractor work performance evaluation

performance evaluation  Regulatory function of the guideline
 Explanation on how to use the guideline
(2) Standards for Civil Work Supervision
1) Objectives
The standards are prepared not only for MLIT staff, but also for consultants and contractors in
construction projects. The standards are in general prepared by regional bureaus under the
MLIT headquarters. Providing consolidated information on the key subjects of supervision
focusing on the measurements of work completed facilities and laboratory/field tests, the
standards intend to eliminate mishandling and misinterpretation of these tasks, thereby to
facilitate supervision on civil works.
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2) Contents of the Standards
The standards are composed of three elements as shown in Table 9.3.2 .
Table 9.3.2 Major Contents of Standards for Civil Work Supervision
Chapter Major Contents

Chapter-1:  Definition of management subjects in supervision
Standards for Civil Work  Methods of supervision
Supervision  Construction schedule management
Chapter-2:  Measurements of work completed facilities
Standards for Final Measurements  Comparison between actual dimensions and design dimensions
 Data preservation
Chapter-3:  Methods of laboratory and field tests
Standards for Quality Management  Test standards to be referred.
 Reporting
3) Standard for Civil Work Supervision (Chapter-1)
This Chapter describes the standard of general procedures for the supervision of civil works
like definition of management subjects in supervision, methods of supervision and
construction schedule management.
4) Standards for Final Measurements (Chapter-2)
Final measurements shall be executed in order to examine whether completed facilities meet
design conditions. The contractor shall measure the size, number, shape, thickness,
angulations, flatness, and so forth of the completed facilities based on the standard and make
comparison between design values and measurements in the drawings. Final measurements
are the most important component for facility acceptance.
The procedures of final measurements are as follows.
 Check the frequency of inspection and pick the inspection points without any bias.
 Measure the size of completed objects at the site and observe their unevenness.
 Confirm that the measurements satisfy the completion standard or not.
 Judge the advisability based on the confirmation and comparison with design sizes.
Table 9.3.3 shows a part of the MLIT standards. The whole contents of that are attached in
"GUILDINES AND MANUALS".
5) Standards for Quality Management (Chapter-3)
Quality management shall be implemented in order to examine whether that the quality of
construction facilities and materials conform to the quality specified in the contract dossiers.
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The contractor shall carry out the required tests so as to prove quality of facilities in
accordance with the test standards.
The procedures of quality management are as follows.
 Observe the execution sites and their pictures and then confirm the construction works
were properly done in accordance with the design drawings.
 Confirm the quality control data; investigate test items, test frequencies, and standard
value which are regulated in quality control standard.
 Judge the advisability with standard values and observation of the construction sites.
Table 9.3.3 shows a part of the MLIT standards. The whole contents of that are attached in
"GUILDINES AND MANUALS".
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Table 9.3.3 Standards for Final Measurement (MLIT Case)
Measurement
Field Work Item Measurement Item
Location
1 Per 40 meters away from
Road Standard Height ▽ ± 50 the operating extension
earthworks places, define a point. In
case that of the extension
Length of fewer than 40 meters,
Excavation works l＜ 5m - 200
slope define 2 points per
operating places. The
Length of standard height will be
l≧ 5m Length of slope -4%
slope measured at the central
Width W - 100 line and edges of
highway.
1 Embankment Construction Per 40 meters away from

Standard Height ▽ the operating extension
± 50 places, define a point. In
Roadbed Embankment
case that of the extension
Construction Length of
l＜ 5m - 100 fewer than 40 meters,
slope
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define 2 points per

Length of operating places. The
l≧ 5m Length of slope -2% standard height will be
slope
measured at the central
Width W1, W2 - 100 line and edges of
highway.
Table 9.3.4 Standards for Quality Management (Tests, MLIT Case)
Types of
Classification Testing Division Testing Items Testing Methods Standard Value Testing Standard Summary
Works
Cement- Materials Essential Aggregate's JIS A 1109 Density in oven-dry condition: above Performing before starting JIS A 5005 Crushed
concrete Consistency and JIS A 1110 2.5 construction, and over one sand and macadam
Water absorption JIS A 5005 Water absorption Rate of fine time every month during JIS A 5011-1 Blast-
Rate Test JIS A 5011-1～3 aggregate: under 3.5% the construction, changing furnace slag
Water absorption Rate of coarse the producing place. aggregate
aggregate: Under 3.0% JIS A 5011-2
Refer to application for standard value ( Ferronickel slag
of crushed sand and macadam, Blast- fine aggregate
furnace slag aggregate, Ferronickel slag JIS A 5011-3
fine aggregate, Copper slag fine （ Copper slag fine

aggregate, aggregate)
Road earthwork Execution other Density of building The maximum particle ・filled up ground ：Not less than 85% In the case of filled up even if it meets the
site test diameter ≦53mm： of maximum dry density ground, carry out with the mentioned standard
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JIS A 1214 ・ roadbed ： Not less than 90% of rate of one time per 1,000 value, when the point
JIS A 1210 A-B maximum dry density m3. However, in case of which is remarkably
method Others 、 Based on a drawing and the construction below less than the standard
The maximum particle specification. 5,000 m3 is 3 times or value exists, after
diameter ＞53mm： more per construction. talking with a
The pavement In the case of a road bed, supervisor staff,
examining method carry out with the rate of 1 rolling compaction
manual time per 500 m3. shall be (re-)
1-7-2 However, the construction performed
below 1,500 m3 is 3 times
or more per construction.
9.3.3 Practices in Vietnam
Quality management manuals have never been spread in Vietnam. This is partly because
those regulations including decrees and circulars, which prescribe the general rules of
construction project and quality management, have been well prepared by MOC.
However, with advances in construction technology and in project scale, further detailed
information and breakdown of tasks rather than those stipulated in the regulations will be
required. Manuals play a bridge role between contract dossiers and technical standards, and
can supplement the regulations in order to avoid misunderstanding, mishandling and
misinterpretation of the regulations.
9.3.4 Frameworks of Quality Management Manual
In fact, there is no fixed format for the quality management manual, but very flexible in
formatting. Any information including support formation and supplemental information of
regulations can be all assembled into the construction quality manuals. Information deemed
beneficial to project owners, consultants and contractors, who are directly involved in
construction project and quality management, can be selected into the manual.
On the basis of the current status survey, the Project recommends that much focus be placed
on the development of the manuals stated below. These independent manuals can be
assembled and integrated into the quality management manual. The manual listed herein is
expected to play a key role in ensuring smooth implementation of construction project and
quality management between project owners, supervision consultants and contractors.
 Manual on procedures and documents for acceptance
 Manual on laboratory tests and field tests
 Manual on measurements of completed facilities
 Manual on labor safety
It should be noted here quality management manuals should be in principle developed sector
by sector as much as possible, as the information included in the manuals is closely associated
with technical standards and field construction works, thereby information requirements may
fairly differ depending upon sectors. It is necessary to understand that quality management
manuals are for the purpose of construction works.
MOC is kindly requested to encourage relevant ministries, MOC, MOT, MOI and MOA, to
develop their own quality management manuals in order to facilitate field construction works.
The manuals listed above are briefly outlined below;
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(1) Manual on Procedures and Document Preparation for Acceptance
The manual is intended to focus on the enhancement of construction work management. The
word « acceptance » has two notions which include « daily quality management » and «
acceptance of completed facilities » in Vietnam. The daily quality management is the most
fundamental management methods to be implemented by contractors, and its daily records are
assembled to the source materials for acceptance and interim payment. It is therefore very
important to standardize the recording methods of the quality management data prior to
construction works. It is also important to clarify the formats for quality management
including acceptance and to compile them in the quality management manual. Preliminary
agreement on these formats would reduce conflicts which often arise between the above three
stakeholders, thereby contribute to better construction project and quality management.
(2) Manual on Laboratory Tests and Field Tests
The manual is focused on the quality management of construction facilities. Many laboratory
and field tests are required in the course of construction works. However, detailed information
on these tests is in general prescribed in the technical specifications and technical standards.
The manual aims to consolidate the information on work items, points of measurements and
tolerances with illustrations and show them to consultants and contractors as easy reference in
order to avoid mishandling, misinterpretation and misconduct of these tests.
(3) Manual on Measurements of Completed Facilities
The manual is focused on the quality management of construction facilities. The measurement
of facilities upon completion of construction works is an important element to confirm the
quantities of completed facilities which will be source data for the payment of construction
works. The manual shows test methods including test classification, test timing, base
standards, standard values, test methods, depending upon structure types.
(4) Manual on Labor Safety (to be taken care in Activity-6)
The manual is focused on the labor safety during construction works. Labor safety is now
becoming a hot issue in construction project management. However, due to the lack of
reference materials, stakeholders in construction works including project owners, consultants
and contractors can hardly take concrete actions to the labor safety. The manual aims to
provide information on relevant regulations, safety policy, safety educations, protective
equipment and safety measurements including case studies on near-miss accidents to the
stakeholders. The material will be used in many ways in order to raise stakeholder’s
awareness to labor accidents.
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9.3.5 Guidelines for Developing Quality Management Manual
(1) Development of Manual
Information included in the manuals is closely associated with field construction works;
thereby information requirements may fairly differ depending upon sectors, so that quality
management manuals should be in principle developed sector by sector. MOC, MOT, MOI
and MOA are encouraged to develop their own quality management manuals based on their
technical standards and technical specifications.
The following are the brief guidelines for developing quality management manuals, taking
civil works1 as a sample. It is also assumed that quality management manual consists of the
following volumes.
Vl.1: Definition of Manual
Vol.2: Measurements of Work Completed Facilities

Quality
Management Vol.3: Tests and Standards
Manual
Vol.4: Acceptance Procedures and Documents
Vol.5: Report Formats
Figure 9.3.1 Manual Structure
1) Volume-1; Definition of the Manual
Definition of the manual is placed at the beginning of the manual so that the user can
understand how to use the manual efficiently. This volume should include the following
clauses;
 Purpose of the manual
 Status of the manual including legal status
 Structure of the manual
 Usage of the manual
 Contents of all Volumes
 Reporting
The actual descriptions of each clause as an example are shown in the followings.
1
Civil works here indicate public works including road/bridge, ports, irrigations, dam works, and similar works.
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a. Purpose of the Quality Management Manual
The purposes of quality management manual are;
- To secure the good quality of construction products in any construction project

- To implement quality management activities exactly and smoothly
- To assist persons in charge of quality control for their good performance
The ultimate objective of the manual is to secure the good completed products satisfied
with the regulations described in the contract dossiers and to hand over them to the owner
with official acceptance approval.
The manual is utilized by the all persons involved in projects (the owner, the engineer and
the contractor); therefore, it has to be a user-friendly manual showing the keys to
construction quality assurance. Quality management manual is one of the inevitable tools
for the good quality products that can sustain their lives for long time.
b. Status of Quality Management Manual including Legal Status
It becomes the half-finished handling to use the manual at the level of merely reference
materials, and if it is used in that way, as a result, the case that quality control duties are
not surely and appropriately carried out will occur. Therefore, it is desirable for the
manual to be handled as one of official contract documents as well as standard
specifications. In Japan, it becomes a right official document in the public works project.
It is better that the manual is not an additional contract document to the present five
dossiers which are Instruction to bidders, Condition of contract, Technical specification,
Bill of quantity, and Drawings but, a quasi-official contract document whose treatment is
stipulated in Technical specification where the manual should be used for all quality
control activities in a project. Consequently, the contractor must implement
measurements of completed facilities and quality control tests as they are described in a
manual and the project owner also must have duties to watch whether they were carried
out surely.
As stated already, it is desirable for the quality management manual to be made in each
sector individually and it should be applied to all construction projects of each sector as
an associate contract document of the project contracts.
As a rule, high-grade public construction projects like the project of the country level are
objects to be applied; however, local projects should also be applied by all means in the
future and if all items do not correspond in the local project, it will become acceptable
with the additional description that “omit the chapter not to be corresponded”.
If the contents of the quality management manual are carried out steadily in this way, the
quality of the construction products can be naturally secured at high-level and after
receiving the appropriate maintenance duties afterwards, the construction products can
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last their life for a long time. It is recognized that every day’s construction and quality
management is very important considering life-cycle of construction products.
c. Structure of Quality Management Manual
This is already explained in section 9.3.5(1)
d. Usage of Quality Management Manual
(1) Users
The users of these manuals are all stakeholders regarding public works, who are owners,
employers, contractors and consultants. The users who particularly and frequently utilize
the manuals are contractors and consultants among them and they use them when quality
examinations in a laboratory or construction site are carried out, when measurement
inspections are executed at the time of work completion, and when the procedures at the
time of the hand-over are implemented with approval acceptance.
Before these events are performed, contractors and consultants have to carefully examine
each event’s contents and methods etc. from manuals and learn them well. It is because
the event is carried out surely, precisely and smoothly. If either does not understand well,
the event will not be performed according to plan, thereby useless time is much spent and
it is non-efficiency.
When witness of consultant is necessary, the contractor must submit a document for
request of appearance to consultants with the designated date and time beforehand. After
an event, the contractor must immediately report the results to consultants by prescribed
format. The consultant who received a report has to strictly check whether the event was
carried out according to the manual’s stipulation or not and whether the result is
satisfactory or not.
It is necessary for the owner and employer to confirm the approval act that the consultant
performed without relying on only consultants in the responsibility of a side receiving the
final construction products. Therefore, it is also necessary for them to understand even the
basic contents of the manual. Particularly, in the event of acceptance, they have heavy
responsibility in the fact that they receive the completed facilities for eternal use. They
have to have rather enough knowledge about acceptance so that they can point out the
mistake which the consultants might make in the event.
(2) How to Use Manual
As described in the section of structure of the manual, the manual consists of five
volumes (see 9.3.5) and the main contents among them are Vol. 2 Measurements of work
completed facilities, Vol. 3 Tests and standards, and Vol. 4 Acceptance procedure and
documents.
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Each volume is briefly explained in an order from Vol.1 below.
- Vol.1 Definition of Manual
The basic information about the manual such as the purpose of the manual, status of the
manual, structure, usage etc. is here explained and explanation which is understood what
kind of thing this manual is written.
Moreover, the whole table of contents is also indicated so that the whole contents can be
looked through. At first, users read this part and then understand the overall constitution
and essence of the manual. After that, they go into the part necessary and learn how to
manage the events.
- Vol.2 Measurements of Work Completed Facilities
In this Vol., it is judged whether the measurement values of completed facilities are
within tolerance values or not at every construction facility so that the output of the
construction in a certain time for a basis of the progress payment in the middle of
construction is quantitatively expressed with its volume numerically and completed
objects are created exactly as a design plan at the time of construction completion. The
contractor measures the facilities beforehand, fills in a predetermined style format, and
achieves results compared with the acceptable value.
Although all the checks are principles looked at the results, consultants may measure
portions such as key points by arbitrary extraction from all facilities due to time limitation,
and check whether contractor's result is right or not.
If there are the some parts which do not satisfy with standard values as acceptable values,
the contractors have to finish restoration work by the time of consultant's inspection only
in the case of easy restoration to be done. When un-restorable, the cause is considered and
found and even if the acceptable value is not kept, the measures where the facility is kept
structurally satisfactory in practice is devised and that is explained to a consultant at the
time of an inspection.
The contractor executes the devised measures with approval of owners and consultants on
the contractor’s responsibility. After finish of restoration work, it will go into the
procedures of formal halfway payment and handover.
- Vol. 3 Test and Standard
In this Vol., various examinations for use materials and construction objects under
construction carried out in order to secure good quality in quality control duties and their
results are drawn and confirmed whether they pass standard value or not based on the test
and standard of the contents of this Vol. and finally judged their success. The contractor
also implements the tests and fills the results in a fixed format as a report to consultants
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before the presence of the consultants. When a test result does not meet the standard value
by the judgment of the consultant, contractor has to change materials or carry out the
fresh construction work again.
This Vol. shows what kind of materials and what kind of execution of work should be
examined by suitable tests and also how and when they should be done, thereby, all the
tests should be carried out according to those contents of Vol. 3.
This information was individually written in particular technical portion of specifications

in previous case; however, this manual includes all tests and their standards necessary and
organizes them exhaustively by classification of each construction method. As a result,
the manual is very understandable and easy to use for all stakeholders. Because a result
report style varies according to each examination, the contractor must pay attention in
reporting with related format showed in Vol. 5 by all means.
- Vol. 4 Acceptance Procedures and Documents
This Vol. shows standards to judge whether construction is completed according to

drawings of contract dossiers at the time of the partial payment and completion of the all
construction works at the time of handover. This inspection is the very important
judgment materials which decide whether a middle payment is performed and the
acceptance to the project owner is performed. Judgments have varied with construction
fields and work methods so far; however, with the establishment of this manual, all
construction works are integrated and their acceptance regulation was standardized, and
then consistency could be kept in all public works projects with various construction
methods.
- Vol. 5 Report Formats
In this Vol., all standardized report formats recording results about quality control of the
construction and arranged as reporting document are accumulated. The contents are three
kinds of report formats; (1) Measurement data of work completed facilities, (2) Tests
results, (3) Documents for acceptance activity.
There have not been such unified formats in the whole public construction so far and each
consultant and contractor has individually made them in every construction work. Even in
same construction work, there has not been the same one. It varies among consultants and
contractors and its unification should be measured.
If there is a unified format decided at every report contents in this way, time for making
every different format is saved and all construction works can use unified format. The
contractor and consultant only take out necessary style formats from this Vol., copy them,
fill out them, and send them to the receiver.
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(3) Contents of All Volumes
Regarding not only Vol.1 Definition of manual, but also Vol.2, Vol.3, Vol.4 and Vol.5,
all tables of contents are described here and it can make users look up the necessary parts
very easily.
(4) Reporting
As for the report, the most of them are delivered from contractors to consultants. After
performing measurements and examinations etc. in any report, contractors have to fill the
data in predetermined format and report it to consultants immediately. Contractors have
to convey the results such as the measurement or the examination as raw data honestly to
consultants and never fill the manipulated data in the form. Even if the data are not values
reaching a pass level, the real data must be reported and possible reasons or causes after
analysis should be added as excursus in the report.
In this case, contractors should make possible solutions and measures against
unsuccessful data and then suggest them to consultants expecting supervising consultants’
judgments and estimations. For example, in the case of materials, material change is
proposed and in the case of measurement of completed facility, some measure actions to
be taken including a fresh start of the construction are proposed by contractors.
Finally, the measures must be repeated until the result satisfies the standard value in order
to secure fixed quality. In view of the importance of the result, contractors have to
suggest their own ideas and try to support the judgment of consultants.
2) Volume-2; Measurements of Work Completed Facilities
In measurements of work completed facilities, the size, number, shape, thickness, angulations,
flatness, etc. of the completed objects are measured and then checked whether they satisfy the
tolerance values or not by the supervisor. This activity varies with construction work methods,
thereby; construction work methods shall be first classified so that each work’s measurement
criteria are rationally clarified.
a. Selection of Construction Works
Construction work methods of civil works are basically classified into those three
categories such as common works, general works and special field works. Common
works, general works and special field works signify common construction work methods,
ordinary construction work methods and peculiar construction work methods in special
field of all civil works respectively. Common construction work methods and general
construction work methods are described in Table 9.3.5 and in Table 9.3.6 respectively.
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Table 9.3.5 Common Construction Works

Common Construction Work Methods
 Rebar work
 Sheet Pile
 Slope-crib works
 Shot Crete
 In situ concrete retaining wall
 Precast retaining wall
 Anchor
 Gutter
 In situ concrete waterway
 Water basin
 Underground duct
 Planting
Table 9.3.6 General Construction Works

General Construction Work Methods
Article Section
Foundation work Foundation (Seawall)
Precast pile
Cast in place pile
Caisson pile
Open-caisson foundation
Pneumatic caisson foundation
Steel pipe sheet pile
Rock block work Concrete block work
Plant-block work
Rock laying (stretching) work
General pavement Asphalt pavement
Concrete pavement
Thin-layer color pavement
Brock pavement
Ground improvement work Subgrade stability processing work
Substitute work
Surface stability processing work
Pile net work
Sand mat
Vertical drain
Compaction improvement
Solidification work
Temporary work Earth retaining・cofferdam work
Consecutive underground wall (wall type)
Consecutive underground wall (Pillar line type)
Slope spraying work
Light weight embankment Light weight embankment
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In special field’s works, Road works, River works, Seashore works, Dam works, Sabo works
and so forth are included. Each special field has its own construction work methods
individually. Quality management of those special works is not commonly treated in a manual
thereby; it is stipulated in each technical specification in each project.
b. Selection of Points to Measure
As for the measurements of work completed facilities, the manual needs to show the
points to measure and standard values to be compared with measured values in the same
formats. The points to measure in principle include length, width, thickness, and so forth.
Rather than stating in sentences, simple illustrations will provide clear instruction to the
users. It should be noted that points to measure should be carefully selected in order to
facilitate the calculation of work volumes consistent with BOQ pay items.
c. Selection of Standard Values
Measured data need to be compared with standard values in order to make judgment on
facility performance. The standard values including tolerances can be quoted in general
from technical specifications for the project and technical standards applied to the project.
It is desirable that these values are quoted and enumerated in a table in advance so that
judgments by comparison become smooth and immediate.
d. Compilation of Information on Measurements
All indexes including standard values on measurements for completion need to be

compiled into a table format by construction work method for users’ convenience. Table
9.3.7 shows a sample table format. This table format is newly developed and arranged
from Table 9.3.3 for Vietnamese construction projects by this Activity.
Table 9.3.7 Compiled Table Format of Information on Measurements

Measurement Standard Measurement Measurement
Work field Kind of work Work method
Item value location place
Common, Pavement Asphalt Height ,length Tolerance Principal Figure where
General Earthwork Embankment size etc. values location and Locations are
etc. etc. etc. pitch displayed
3) Volume-3; Tests and Standards
Tests for quality assurance of the construction objects are implemented on the materials used
and objects themselves under construction. Therefore, all tests shall be classified depending
on the construction work methods and the conditions whether they are intended for materials
or objects, and whether they are essential or not for quality assurance.
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a. Selection of Construction Work Methods
As tests may differ depending upon construction materials and work methods, the
material and construction work methods should be properly selected. Classification by
construction work methods differs from that of measurements because tests and
measurements are quite different in their nature. Classification depending on construction
work methods on the quality tests are shown in Table 9.3.8.
b. Selection of Test Methods
All tests necessary for quality assurance shall be listed up and classified in accordance
with construction work methods. A necessary test method shall be selected from the work
methods concerned shown in the Table 9.3.8.
Table 9.3.8 Classification by Construction Work Methods for Testing

Classification by Construction Work Methods
Field Work method
Common works Cement concrete
Welding
Gas welding
Gas cutting
Pile work
Earthworks Anchor
Shot Crete
Shot Crete slope crib
Solidification work
Reinforcing retaining wall
Pavement works Simple pavement
Subbase
Upper Subbase
Asphalt stabilized base
Cement stabilized base
Asphalt pavement
Roller compacted concrete
Mastic asphalt pavement
Stabilized subgrade work
Surface stability processing work
Tunnel works Lining concrete(NATM)
Shot Crete(NATM)
Rock bolt
Road works Road earthwork
River/seashore works River/seashore work
Sabo works Sabo work
Maintenance works Roadbed reconstruction
Surface reconstruction
Plant recycle pavement
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c. Compilation of Information
As is the case of measurements in the previous section, compilation of information into

table formats will facilitate users to refer to the tests and standards. Considering the
classification of construction work methods, the project suggests the following Table
9.3.6 for the framework of tests and standards. All tests necessary for quality assurance
are classified with following categories and then shall be absolutely carried out by the
contractor.
Table 9.3.9 Compilation of Information on Testing
Work Classificat Testing Testing Testing Standard Test

Worked Summary
method ion division item method value standard
Common Concrete Essential Material Compressi AASHTO, Within Location, Remark
Earthwork Welding or not or on test, ASTM, ±1.2%, No. of test
etc. etc. Execution CBR test, etc. Under pieces,
etc. 50%, etc. etc.
4) Volume-4; Acceptance Procedures and Documents
(2) How to Develop and Manage Quality Management Manual
The ways of developing and managing the quality management manual are basically the same
as those for standardization of technical specifications.
It is recommended to organize a permanent committee where professional members are

assembled from every organization such as ministries, research institutes, academic
associations, and some representative consultants or construction companies for developing
and maintaining the manual.
It is also recommended to update manual contents at least every two years by the committee
so that the manual can follow the renewal and the changes of technical standards.
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CHAPTER 10 GUIDELINE FOR THE FORMULATION OF

BUILDING FACILITY MAINTENANCE PROCEDURES
(ACTIVITY - 5)
10.1 BACKGROUND
Under the current Law on Construction in Vietnam, building facility owners are obliged to
conduct maintenance after facility construction is completed. However, facility owners are in
general said to be nonprofessional in building facility maintenance, so that the regulation
stipulates the measure that design consultants develop maintenance procedure manuals and
then project owners implement facility maintenance following procedures shown in the
manual.
This Guideline on the Preparation of Maintenance Procedure Manuals for Building Facilities
is to support design consultants to develop maintenance procedure manuals for building
facilities.
10.2 OBJECTIVE
The Guideline on the Preparation of Maintenance Procedure Manual for Building Facilities
(Hereinafter called as “the Guideline”) aims to show guidelines to building facility design
consultants who develop maintenance procedure manuals for building facility owners. The
Guideline shows not only the regulations relevant to building facility maintenance, but also
general procedures and technical guidelines for developing Maintenance Procedure Manuals
(Hereinafter called as “Maintenance Manuals”) for facility owners.
In developing Maintenance Manuals, design consultants should fully understand the

stipulations of Decree 114 and other relevant regulations and develop Maintenance Manuals
following this Guideline. Also, building facility owners should implement maintenance for
their building facilities, observing regulations concerned and the contents shown in the
maintenance Manuals..
In developing Maintenance Manuals following this Guideline, the stipulations of relevant

regulations are to be preferentially treated if inconsistency is detected between regulations and
this Guideline.
10.3 CURRENT STATUS OF BUILDING FACILITY MAINTENANCE IN VIETNAM
In Vietnam, Law on Construction stipulates facility maintenance of all infrastructures

including building facilities. In addition, Decree 114 and relevant circulars which are
promulgated under Construction Law stipulate details of facility maintenance procedures.
Current regulations stipulate that responsibility for facility maintenance belongs to facility
owners or authorized persons. However, in reality, there are many facility owners or
10-1
authorized persons who are unfamiliar with construction and maintenance management, in
particular in the building facility maintenance sector. I addition, there are also many who do
not fully understand the legal framework under Construction Law and regulations relevant to
facility maintenance including Decree 114 and Circular 02. With this reason, The regulations
enhance the responsibility of design consultants to make maintenance procedure manuals and
submit to facility owners or authorized persons for approval. Upon approval of these manuals,
facility owners or authorized persons need to develop maintenance plans and implement
maintenance based on these plans. However, guidelines to design consultants in developing
maintenance procedure manuals have not been well prepared for the consultants, so that it is
pointed out that there exist maintenance procedure manuals which are short of quality and
contents.
10.4 INTRODUCTION OF FOREIGN PRACTICES (PRACTICES IN JAPAN)
Before developing the Guideline, the Project introduced practices in Japan regarding building
facility maintenance. Comparison of the legal framework between Japan and Vietnam is
shown in Error! Reference source not found.. Also, Error! Reference source not found. shows
the practices of local Governments concerning the selection of building facilities on which
owners are obliged to conduct regular reports to local Governments.
10.5 FUNCTIONAL REQUIREMENTS OF THE GUIDELINE
Based on the current status survey and the practices in Japan, the Projects recommends that the
Guideline should include the following two conditions;
(1) It can disseminate information on relevant regulations to facility owners or authorized

persons.
(2) It can show detailed technical and practical information on inspection frequencies,
inspection methods and diagnosis on inspection results.
10.6 DEVELOPMENT OF THE DRAFT GUIDELINE ON THE PREPARATION OF

MAINTENANCE PROCEDURE MANUAL FOR BUILDING WORKS
10.6.1 Structure of the guideline
To meet the functional requirements stated above, the Project developed the Guideline,
classifying it into the following two parts;
1) Part-1: Outline of the current regulations regarding building facility maintenance
In this part, interpretation is made focusing on regulations relevant to facility maintenance.

Design consultants are requested to fully understand all provisions in the relevant regulations
and to develop maintenance procedure manuals for building facilities.
10-2
2) Part-2: Components of the Maintenance Procedure Manual for building facilities
In this part, step-by-step explanation to develop Maintenance Procedure Manuals is made in

line with contents shown below. Recommendations are also made in the components shown
with the letter of “Recommendation”.
(a) Objectives
(b) Author information
(c) Regulations, technical standards and technical specifications to be applied
(d) Formulation, appraise, approval and adjustment of construction facility maintenance

procedure manual
(e) Selection of inspection facilities (Recommendation)
(f) Development of maintenance plans
(g) Facility check, maintenance and repair (Recommendation)
(h) Types of inspection (Recommendation)
(i) Frequencies of inspection (Recommendation)
(j) Quality inspection for maintenance
(k) Inspection items (Focuses of inspection) (Recommendation)
(l) Inspection methods (Recommendation)
(m) Criteria of diagnosis on inspection results (Recommendation)
(n) Check list and data preservation (Recommendation)
(o) Construction facility monitoring
(p) Quality management of maintenance
(q) Construction facility maintenance for facilities which do not have maintenance procedure
manuals
(r) Use of facilities that expire life expectancy
(s) Reporting of construction facility maintenance
(t) Treatment of facilities that show quality degradation and unable to ensure safety for
operations
(u) Consultation with qualified agencies or competent state authorities (Recommendation)
(v) Labor safety during facility maintenance (Recommendation)
10-3
10.6.2 Draft guideline
Developed draft guideline on the Preparation of Maintenance Procedure Manuals for Building
Facilities is attached in the project reports, [GUIDELINES & MANUALS] edition.
10.6.3 Actions to be taken hereafter
MOC is kindly requested to take the following actions to institutionalize the Guideline.
 To have more discussions on the technical issues in the Guideline with professional
organizations.
 To disseminate the Guideline through training courses to design consultants
 To study on engineer qualifications which can meet the demand of professional engineers
for building facility inspection.
10-4
Table 10.6.1 Comparison of Vietnamese and Japanese system
Ordinances Vietnam Japan
Other major ordinances
- Decree 114 Maintenance Works Building Standard Law
- Circular 02 Civil Building Fire Service Act
- Circular 08 Maintenance
Buildings
- TCXDVN 318-2004 Reinforced
concrete building maintenance
- TCXDVN 373-2006 Evaluate the Article 8
Damage Status of Buildings Article 8
Fire Prevention Manager Article 17-3-3 Law for Maintenance of
Maintenance
- TCXDVN 270-2002 Survey & Article 8-2-2 Inspection of fire defense Sanitation in Buildings
Evaluate Brick - Stone Buildings Article 12
Periodical Inspection and equipment
- Circular 16/2008/TT-BXD Periodical Report
Report
instruction on certifying the
Essential
quality of construction works,
Points
- Articles of Housing Law: 75, 76,
for

77, 78, 79, 80, 81, 82.
Maintenance
Ensuring environmental hygiene
in building facilities a large
Maintenance of the site, building Maintenance of the site, building Maintenance of the fire defense
Maintenance of the facility in a number of people use by
Objective of facility and building equipment in a facility and building equipment in equipment in fully operative
10-5
safe state in terms of fire stipulated maintenance

the ordinance state complying with legal a state complying with legal condition in terms of fire
prevention and evacuation procedures during operation
requirements requirements prevention and evacuation
including inspection, reporting
and cleaning.
Owner of specific facility is
obligated to assign the fire
prevention manager and have
Owner of specific facility is
him/her prepare fire defense plan,
obligated to assign licensed
conduct drills for fire
engineer to supervise
extinguishing activities and
maintenance of the facility
manage and maintain the
equipment and the structure in Owner of specific facility is
To check, inspect, evaluate quality Owner of specific facility is Owner of specific facility is
terms of evacuation or fire obligated to organize
Obligation of of the building, implement obligated to organize specialist's obligated to maintain the facility
prevention, etc. specialist's periodical
the owner maintenance and report to competent periodical inspection and report according to the ordinance
inspection and report to the fire
authorities to the administration.
In addition to above, owner is chief or the fire station chief.
Owner of facility that is not
also obligated to commit
specified is obligated to make
qualified inspector to inspect if
effort to maintain the facility in a
the above mentioned
good state according to the
management and maintenance are
ordinance
carried out lawfully and report to
the fire chief or the fire station
chief.
Buildings
Maintenance
Report
Essential
Points
for
77, 78, 79, 80, 81, 82.
Maintenance

- Following facilities capable to
accommodate over 30 people
(small multi-tenant building, etc.)
Specified Properties:
Maintenance 1. Ones whose parts for specific
Facilities the head of the local Super market, inn, shop,
- all building facilities except for use are located on the basement Specified building facilities with
10-6
government specifies out of the restaurant, play center, hospital,

detached houses in rural area / one floor or over the 2nd floor floor area over 3,000m2 (Theater,
Objects applied Special Buildings with floor area clinic, etc.
storied houses not facing street 2. Ones with single stairway department store, assembly hall,
with the over 100m2 and offices over
library, museum, art museum,
ordinance 1,000m2, their building Other properties:
Measurement - Specific building facilities play center shop, office, school,
equipment, lifts and play Mill, office, warehouse,
- large scale building facilities capable to accommodate over hotel, etc.)
facilities, etc. corporative housing, parking
- facilities on the verge of collapse 300 people (department store,
building, bath house, etc.
play center, movie theater,
hospital, elderly nursing home,
etc.)
Buildings
Maintenance
Report
Essential
Points
for
77, 78, 79, 80, 81, 82.
Maintenance

Fire Prevention Manager: For the facilities with floor area
- 1st class Kenchiku-shi Taking the required training over 1,000m2:
- Architectural certificate - 2nd class Kenchiku-shi sessions - Fire Defense Equipment
- Civil Engineering certificate - Qualified design Inspector Officer
- Engineer with the qualifications - Engineer with the qualification Inspector: - qualified fire defense
10-7
issued by SACQI specifies on MLIT minister specifies Taking the required training equipment inspector
Inspection for buildings > Building facilities: Qualified sessions in addition to, such as,
Required
- Building equipment certificate: survey engineer on specific - having experience of fire For the facilities with floor area
Qualification Not required
Qualified Inspection for Building buildings prevention manager with under 1,000m2:
for Inspectors
equipment issued by Vietnam > Building equipment: specified period - Fire Defense Equipment
Metrology Institute Qualified inspection engineer on - licenses such as Kenchiku-shi, Officer
- Elevator, escalators: Qualified building equipment with specified period experience - qualified fire defense
Inspection Engineer on Elevator, > Lifts, escalators and play on fire prevention management equipment inspector
escalator & lifts from the Supplier. facilities: Qualified inspection - being a fire fighter with - Fire Prevention Manager
engineer on lifts, etc. specified period experience of - owner, manager or possessor,
supervisory etc.
Buildings
Maintenance
Report
Essential
Points
for
77, 78, 79, 80, 81, 82.
Maintenance

Periodical inspection Inspection items and frequency
- Theaters, schools, hospitals, are as follows:
stadiums, supermarkets, etc. : 3 - interior air environmental
years analysis: 2months
Inspection period
- Hotels, offices, construction Inspection frequency shall be - measurement of free residual
10-8
- fire defense equipment

industrial workss, urban technical specified by the head of the local Fire prevention management: chlorine in tap water: 1week
inspection: 6 months
infrastructure works : 5 years government with the period of; from time to time to keep safe - tap water analysis for other
Inspection - general inspection: 1 year
- National or world cultural relics : - building facilities: 6months to 3 status inclusion: 6 months or 1year
Frequency
annual years - clean out of drainage: 6months
Reporting period
- building equipment and the Inspection period: 1 year - pests control (insect/rats):
- Specified Properties: 1 year
Sudden inspection: after storm, others: 6months to 1 year 6months
- Other Properties: 3 years
earthquake, flood, fire, big crash, or - special cleanout: 6 months
unusual accidence - cleanout of sump pit: 6 months
(Circular 08/2006 on Maintenance Public health center is supposed
Works). to instruct the owner for detail of
Buildings
Maintenance
Report
Essential
Points
for
77, 78, 79, 80, 81, 82.
Maintenance

Inspection items: Notifications under the act inspection.
Fire prevention management, fire stipulate the inspection items
prevention equipment, condition and the focused points in detail.
of water supply for fire defense For summary, see below.
and facilities necessary for fire
10-9
extinguishing activities. Fire defense equipment

All items of buildings including:
inspection:
structural system (foundation,
Focused points are legal - Mainly carried out on each
column, roof, walls, floors …),
conformity as well as the equipment/device
Inspection damage signs (slope, subsidence, Notifications under the law
following points. - Visual inspection (focused on
items and crack …), equipment inside stipulate the inspection items and
- if the fire prevention manager deployment condition,
focused points buildings. the focused points in detail.
has been assigned damages, etc.)
To be carried out according to the
- if the fire - Function test (focused on
maintenance manual prepared by the
extinguishing/reporting/evacuatio simplified operation test)
consultant.
n activities are conducted
- obstacles around the fire doors General inspection:
- obstacles in the stairways - Mainly carried out on total
- check of indications on items function of the equipment
proving flame retardant - Function test (focused on total
etc. operation test)
Buildings
Maintenance
Report
Essential
Points
for
77, 78, 79, 80, 81, 82.
Maintenance

Notifications under the law
stipulate the criteria mainly in
terms of the following points.
- Being maintained in conformity
Legal conformity, observance of Notifications under the law
To be carried out according to the to specified articles of the law Conformity with the criteria
10-10
requirements on fire prevention stipulate the criteria in detail for

Acceptance maintenance manual prepared by the - Being without fatal degradation stipulated in the ordinances and
management and being kept each equipment/device and
criteria consultant. Also, law conformity or damage municipal bylaws in detail for
without obstacles around the fire system of equipment,
shall be secured. - Being duly operative to achieve each inspection item.
doors and in the stair ways, etc. respectively.
the required functions
- Being in good state for safe
operation (ex. no obstacles
around the fire doors)
Table 10.6.2 Japanese application instances by local governments
OBJECTS AND FREQUENCY - Buildings obligated for periodical inspection and report based on Article 12 of Building Standard Law -
Designated buildings according Examples of the specific regulations by local government ordinances
to Note) 1. Local governments are supposed to supplement/adjust Building Standard Law with detailed ordinances. 2. Numbering of floor is according to the
Building Standard Law US way. (ex. "the 2nd floor" means 1foor above the floor near ground level)
Kumamoto
Classification
Sapporo City Kobe City

Prefecture
Frequency
Period /
Frequency
Frequency
Frequency
Applicable Applicable Applicable
Period /
Period /
Period /
Category
buildings buildings buildings
Stipulated Stipulated
Scale/Description Stipulated Category Scale/Description Scale/Description
Category Category
Condition of the part
served for left mentioned
purpose is either of
Theaters, served for left mentioned Theaters,
Theaters, Theaters, assembly followings: Floor area served for
assembly halls, purpose is either of assembly halls,
3 years
3 years

approx. 3 years
assembly halls halls, auditorium - located on the basement left mentioned
auditorium halls followings: auditorium halls
designated)
and auditorium halls and floor or above the 3rd floor purpose is on or
and entertainment - located on or above the and entertainment
(to be
halls, etc. entertainment halls and the floor area is over above 300m2
(applicable if the floor area >= 100m3)
halls 3rd floor halls

100m2
- floor area is over 200m2
- Total floor area of the
10-11
building is over 200m2

6 Months to 3 Years

Special Buildings
Hospitals, clinics served for left mentioned

Hospitals, clinics Condition of the part
(having purpose is either of
approx. 3 years (to be designated)

(having served for left mentioned
hospitalization followings:
hospitalization purpose is either of
capacity), elderly - located on the basement
Hospitals, clinics capacity), elderly followings: Hotels and inns
nursing homes and floor or above the 3rd floor
(having nursing homes - located on or above the The whole building
child welfare and the floor area is over
hospitalization and child welfare 3rd floor has 3 or more floors
facilities, hotels and
3 years 100m2
3 years
capacity), hotels, facilities - floor area is over 500m2 and the part served
inns - Total floor area of the
inns, apartments, for left mentioned
building is over 300m2
condominiums, purpose is over
Condition of the part Total floor area of the Hospitals, clinics
and dormitories, 300m2
etc. served for left mentioned building is over 500m2 and (having
purpose is either of the part served for left hospitalization
apartments and
Inns and hotels followings: mentioned purpose is over capacity), elderly
condominiums
- located on or above the 100m2 with location on nursing homes
3rd floor basement floor or floor and child welfare
- floor area is over 300m2 above 5th floor facilities
(applicable
Monthsto3
designated
if the floor
Condition of the part Museums, art Total floor area of the

Buildings
years (to
area >=
3 years
Years
Schools and Schools and served for left mentioned museums, library, building is over 2,000m2
be
- -
6
gymnasiums, etc. gymnasiums purpose is either of bowling alleys, and the part served for left
followings:- located on or swimming pools, mentioned purpose is over
Kumamoto
Classification

Prefecture
Frequency
Period /
Frequency
Frequency
Frequency
Period /
Period /
Period /
Category
Category Category
above the 3rd floor - floor exercise facilities, 100m2 with location on
area is over 5,000m2 gymnasiums and basement floor or floor
schools above 2nd floor
served for left mentioned
Bowling alleys,
purpose is either of
skiing ground, ice
followings:

rink, swimming - - - -
- located on or above the
pools and
3rd floor
exercise facilities
- floor area is over
2,000m2
10-12
Department
Cabarets, hostess
approx. 3 years (to be

stores, markets,
bars, nightclubs, Condition of the part Total floor area of the
exhibition halls, The whole building
bars, dancehalls, served for left mentioned building is over 500m2 or
designated)
Cabarets, hostess has 3 or more floors
Annual
amusement purpose is either of Department stores, the part served for left Department
3 years
bars, nightclubs, and the part served
arcades, pinball followings: markets, shops, mentioned purpose is over stores, markets,
bars, dancehalls, for left mentioned
parlors, mahjong - located on or above the exhibition halls 100m2 with location on shops
amusement purpose is over
parlors, public 3rd floor basement floor or floor
arcades, pinball 1,000m2
bath houses, - floor area is over 500m2 above 2nd floor
parlors, mahjong
restaurants
parlors, etc.
Garages, repairing
factories for Not required Not required Not required
vehicle, etc.
floor area >= 1,000m3) and
Other buildings (applicable
Condition of the part The whole building
years (to approx. 3 years

Total floor area of the
if over 5 storied and the
designated designated)
served for left mentioned has 5 or more floors
6 Monthsto3 Years
building is over 1,000m2

3 years
3 years
(to be
Office buildings, purpose is either of and the part served
Offices Offices and the part served for left Offices
equipment
etc. followings:- located on or for left mentioned

mentioned purpose ranges
above the 5th floor - floor purpose is over
over 4 floors or more
area is over 1,500m2 1,000m2
Total floor area of the
Annual
Underground building is over 500m2 and
be
Others All applicable Public bath houses - -
shopping malls the part served for left
mentioned purpose is over
Kumamoto
Classification

Prefecture
Frequency
Period /
Frequency
Frequency
Frequency
Period /
Period /
Period /
Category
Category Category
100m2 with location on
basement floor or floor
above 2nd floor
・Mechanical Having fire dampers driven Mechanical Ones set as per
Mechanical driven
approx. 1 year (to be

driven ventilation All applicable with smoke detectors with driven ventilation Building Standard
ventilation system
system thermal fuse system Law
designated)
Building service
・Mechanical
Annual
Annual
Mechanical driven

equipment for the Smoke exhaust Including passive
driven smoke All applicable smoke exhaust Having smoke exhaust fans
above shown system exaust system
exhaust system system
buildings
・Emergency Emergency Ones set as per
Emergency lighting
lighting All applicable Ones without battery lighting Building Standard
10-13
equipment
equipment equipment Law
Ones installed in
6 Months to1 Years
buildings (except
detached houses) and
Elevators Elevators
independently
constructed for sight
Annual
Annual
Elevators and All except for detached seeing
- -
escalators houses
Ones installed in
buildings and
Escalators Escalators independently
constructed for sight
seeing
Water chute, coaster,
Elevated facilities Water chute, coaster, etc. Elevated facilities
etc.
Annual
Annual
Carousels, Ferris
Play facilities - -
Carousels, Ferris wheels, Rotating facilities wheels, octopus, etc.
Rotating facilities driven by motors
octopus, etc.
Water slide Height is over 4m
CHAPTER 11 DEVELOPMENT OF CONSTRUCTION WORK

SAFETY MANUAL (ACTIVITY 6)
11.1 FRAMEWORK OF DEVELOPMENT
11.1.1 Concept of Development
Labor accidents during construction works is a growing concern in the society, so that the
Government has been urged to take prompt actions to reduce accidents. Annual statistics of
labor accidents reported that 6,777 labor accidents occurred in 2012 in the whole country. It
caused 6,967 victims. Of which 606 lives was lost and 1,470 seriously injured persons, as
shown in the above charge of Figure 11.1.1. The below charge also explains that about 19%
of accidents occurred in the works related with construction field.
1,470
16%
606
7% 6.967
Number of victims
Victims Number of death
Number of serioutly injured persons
6,967
77%
235 Manual labour of mining works,

422
330 4% construction works
6%
5%
301 Worker of mining works,
4% construction works
6.777
Metal processing worker and related
Accidents works
Machine and equipment

5,489 assembling, operating workers
81%
Others works
(Source) Announcement No. 543/TB-LDTBXH of MOLISA about work accidents situation in 2012
Figure 11.1.1 Labor Accidents in 2012
11-1
11.1.2 Methodology
In order to reduce labor accidents during construction works, much focus should be directed
to the construction activities in the fields, in particular raising stakeholder’s awareness in
construction sites is an essential issue. The Project directs its attention to the stakeholders of
construction projects including main contractors, subcontractors and field workers and make a
construction safety manual in order to support safety activities to be taken during construction
works. The Project first carries out surveys and assessment on the labor accidents in the fields
and on the current status of regulations, safety standards and safety provisions in the contract
documents. Then, the Project formulates a framework of the safety manual aiming to clarify
objectives, inter-relation with regulations and technical specifications, structures, contents of
the manual, how to use the manual and how to manage the manual including data update.
The construction safety manual will consist of two main chapters; Chapter (1) prescribes the
outline of regulations relevant to labor safety management and Chapter (2) prescribes sample
potential hazardous accidents to which stakeholders need to pay more attention.
(1) Develop Safety and Health Manual in Construction
As provisions relevant to the labor safety are delivered in various documents such as
regulations, contract documents, technical specifications etc. it is challenging for the
stakeholders to cite information and to make use of them in the field labor safety management.
The Project assembles relevant information and put them into the Chapter (1) of the safety
manual.
(2) Develop Case Studies on Accidents and Near misses in Construction
In order to reduce labor accidents during construction works, raising awareness to labor
accidents is the key to success. This also needs cooperation with all stakeholders involved in
construction works. In particular in Japan, the manual which illustrates potential hazardous
accidents (Hiyari-Hatto cases) has played an important role in raising people’s awareness to
the labor accidents. The Project edits Hiyari-Hatto cases.
(3) Outputs
 Safety and health manual in construction
 Case studies on accidents and near misses in construction
11-2
11.1.3 Rationale
Public awareness to labor safety during construction works is rising rapidly with increase in
construction works nationwide. Currently, contractors are obliged to formulate labor safety
plans in their method statements which are in general issued to project owners for approval
when construction contracts were made. However, rather important is to equip engineers with
knowledge and expertise in labor safety and let them implement safety measures through the
daily supervision of construction works. Of these safety measures, it is critically important to
raise worker’s awareness to labor safety getting directly involved in the construction works in
the sites. It is therefore urgently needed to prepare materials on labor safety and provide
managerial information to field engineers and more practical information to field workers.
With these reasons, the Project develops “Safety and Health Manual in Construction” and
“Case Studies on Accident and Near Misses Handbook”.
11.2 OVERSEAS PRACTICES (PRACTICES IN JAPAN)
11.2.1 MLIT Practices in Japan
In Japan, safety manuals and handbooks containing examples of labor accidents have been
widely used in the construction works in order to raise labor safety awareness and to enhance
safety knowledge for the people who are directly engaged in construction works. They can
refer to these materials and labor safety rules and principles from these materials. On the
government side, MLIT has been tackling labor safety, preparing safety manuals from the
viewpoints of laws and related ordinances. Also, regional development bureaus under MLIT
sometimes develop their own safety manuals based on their original experiences, featuring
regional natural environment and culture. In addition, regional development bureaus also
prepare the statistical data on labor accidents obtained in the regional construction works.
Consultants and contractors can anytime refer to these information and the results of analysis
and incorporate them into their labor safety programs. Speaking of prefecture level,
prefectures often develop their own safety and health manuals, focusing on more particular
conditions of each prefecture.
11.2.2 Semi-public Organization Practices
In addition to the above, Japan International Safety and Health Association offers website
information on labor safety and introduces some examples of industrial labor accidents
including near-miss cases. Contents of examples are as follows:
 Details of accidents
 Causes of accidents
 Countermeasures against potential accidents
11-3
More than 2,300 accidents are currently registered in the website.
11.2.3 Contractor’s Practices
(1) Safety Supervisor-centered Labor Safety Planning
In accordance with the Industrial Safety and Health Law in Japan, contractors are obliged to
assign safety supervisors to each construction project. The safety supervisors, who are
stationed at their construction sites, take initiative in formulating labor safety plans and
implementing labor safety plans in the fields. In addition, contractors have been making their
efforts such as periodically holding labor safety trainings to their workers including
subcontractors using labor safety manuals and video tapes. Nowadays, contractor’s awareness
towards labor safety is fairly high such as developing their own labor safety manuals and
video tapes.
(2) Sanctions
When labor accidents occur at construction sites, contractors should inform immediately not
only to the project owners, but to the Labor Standards Inspection Offices stationed in many
regional cities. If serious fatal accidents unfortunately occur at construction sites, the Labor
Standards Inspection Office gives instructions to contractors to find out the causes of
incidents, to review existing labor safety plans and to implement again labor safety trainings
to their workers. With these procedures, construction works are in general suspended for a
while. In addition, sanctions, dependent on the severity of incidents, is imposed on the
contractors. According to the MLIT sanction plans, the contractors are not allowed to
participate in new construction projects for a while, in general from one month to 4 months
dependent on the severity of incidents. Also, their work performance is evaluated lower which
is definite handicap for contractors to participate in new construction projects.
11.3 PRACTICE IN VIETNAM
(1) Industrial Safety and Health Law and Related Ordinances
In Vietnam, the law system of safety and Health is formulated under the Labor Code. The
Occupational Safety and Health are stipulated as articles (Article 95～108) in Chapter 9 of
Decree 06 which was promulgated on January 20th 1995. An outline of safety and health
regulations is shown in Figure 11.3.1.
Many laws and regulations, such as Decrees, Circulars, Decisions and Standards, are
promulgated by the Vietnam government and ministries. Decrees, Circulars and Decisions are
compulsory. However, there are two types in Standards. One is compulsory and the other one
11-4
is noncompulsory. The government and/or each ministry which promulgate standard decide
its character individually.
Figure 11.3.1 Law System of Safety and Health in Vietnam
11-5
(2) MOC’s Approach to Safety and Health
Pursuant to the Construction Law (promulgated November 26th, 2003), Decree

No.17/2008/ND-CO (promulgated February 4th, 2008, defining the functions, tasks, powers
and organizational structure of the MOC) and Decree No.12/2009/ND-CP (promulgated
February 12th, 2009, on management of work construction investment projects), MOC
promulgated Circular No.22/2010/TT-BXD on December 3rd, 2010. Though many standards
for safety and health have been issued by MOC and other ministries individually, the Circular
No.22/2010/TT-BXD is the first circular (=compulsory) promulgated by MOC to stipulate
general rules of safety and health on construction.
Almost the same time, MOC instructed IBST (Institute for Building Science and Technology)
to revise the “Code of practice for building safety technique: 1991 version” for the sake of
improving safety and health on construction field. The final version of “Code of practice for
building safety technic” was submitted to CAMD in May, 2012.
(3) Safety and Health Management System on Construction Sites
Necessary items to establish/maintain safety on site are mostly described in Circular

No.22/2010/TT-BXD. Main items are follows.
 Establish a safety committee
 Set up a full-time or part-time safety manager for the observation of labor safety
 Provide construction method statement, safety and health plan
 Furnish sufficient personal safety equipment for workers
 Provide safety trainings. Workers must be trained in labor safety and must possess labor
safety cards.
 Provide medical check-up to all workers at the construction site
 Workers are allowed to work only jobs suitable to their professional qualifications. Select
and arrange suitable workers at site according to their professional qualifications.
 When contractor’s violations against labor safety rules are found, suspend the arranged
construction work for night are suspended and a contractor is instructed to take remedies.
If the contractor fails to take remedies, the construction is stopped or the contract is
terminated.
 Install notice/warning boards at the construction site
 Supplies and materials must be placed neatly based on the approved site plan.
 Trenches and foundation pits must be fenced with warning boards. Lighting must be
11-6
It is the role of DOC (Department of Construction, under the control of MOC) to observe the
compliance of contractor for such rules. However, only few construction sites are inspected
by DOC due to the limited staff of DOC. Regarding the safety plan and safety manager,
according to information obtained through hearing from five Japanese-affiliated sites, it is
found that all sites submitted a safety-plan and a full-time safety manager are employed .
(4) Increase of Accidents on Site
Both total number of accidents and fatal accidents in construction industry are high despite
legal groundwork for safety and health is improving. (Many laws, ordinances and regulations
for safety and health have already promulgated in Vietnam and the quality and quantity of
contents stipulated in laws/ordinances/regulations are reasonably enough to manage safety
and health for sites. The problem is that there are some difficulties to find particular items
from laws/ordinances/regulations because they are not well classified.)
The number of total accidents and fatal accidents in construction industry are shown in
Figure 11.3.2.
4000
3500
3000
2500
2000
1500
1000
500
0
2005 2006 2007 2008 2009 2010 2011 2012
Total of accidents 1857 2555 1954 2167 3379 1314 1269 752
The number of fatal
210 218 307 230 297 237 182 57
accidents
(Source) Announcement No. 543/TB-LDTBXH of MOLISA about work accidents situation in 2012
Figure 11.3.2 Situation of Occupational Accidents on Construction and Mining
11-7
MOLISA (Ministry of Labor, Invalids and Social Affairs) announces the statistical results of
accident every year. The causes of work accidents are extracted from the reports and
summarized in Table 11.3.1
Table 11.3.1 Causes of Work Accidents

No.
No. of accident / Percentage of total accident
Causes
2009 2010 2011 2012 2013
Jan-Jun Jan-Jun Jan-Jun Jan-Jun Jan-Jun
Caused by the employer side
138 77 102 153 436

1 Lack of safety induction/training
(7.05%) (2.9%) (2.9%) (5%) (13.1%)
92 112 64 107 708
2 Lack of machinery maintenance
(4.7%) (4.3%) (1.8%) (3,5%) (21.31%)
68 85 46 72
3 Lack of safety equipment
(3.47%) (3.2%) (1.3%) (2.4%)
109 72 194 190 436
4 Lack of safety process and method
(5.56%) (2.8%) (5.6%) (6,2%) (13.1%)
77 38 39 109
5 Work by unqualified/inadequate labors
(3.93%) (1.5%) (1.1%) (3.27%)
38 18 65
6 Lack of safety equipment for labor
(1.94%) (0.7%) (2.1%)
337 616 1058 246
7 Other causes
(17.2%) (23.6%) (30.7%) (8%)
Caused by the labor side
656 766 766 1106 817

1 Violation against safety method/rules
(33.5%) (29.3%) (29.3%) (36%) (24.59%)
85 87 87 121 106
2 No usage of personal safety equipment
(4.34%) (3.3%) (3.3%) (4%) (3.2%)
Violation against other work 148 105 105 67 602
3
regulations (7.56%) (4.0%) (4.0%) (2.2%) (18.11%)
(Source) Annual Announcement of MOLISA about work accidents situation
11.4 FINDINGS
From the above table, it is found that “Violation against safety method and rules” by labors is
the biggest cause of accidents. It was also pointed out by counterparts that the safety
awareness of labor is very low. As results, many accidents happens due to labors easily
engaged in dangerous behavior and dangerous works without self-consciousness.
MOLISA also pointed out the causes of accident in its reports as follows.
 There are quite enough legal documents on labor safety. However, there are not enough
sanctions and those sanctions are not strict enough. So employers and laborers do not
observe regulations.
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 There are not enough government labor inspectors. In recent years, there are not enough
supplements for the government labor inspectors. This fact does not match the rapid
development of the number and scale of enterprise. So the authorities could not carry out
closer inspection and could not detect and prevent work accidents.
 There are many small enterprises, cooperatives and trade villages. However, they are not
fully guided in labor safety regulation, the process and method of working. They are not
timely inspected. So there are numbers of violation and risk of working accidents and
occupational diseases.
11.5 ACTIONS TO BE TAKEN
Based on the above statistical results, analysis of MOLISA, opinions of counterparts and the
study of JICA team, it was agreed by MOC and the JICA study team to prepare a “Safety and
Health Manual in Construction”. The purpose of manual was discussed between counterparts,
PMU and JICA study team many times for 4 months. And three parties agreed the following
purposes.
 The manual is used by the government staff at the office/site where they manage.
 Safety rules, laws, knowledge and common sense that everyone at construction sites must
obey are summarized in the manual.
 When management staffs conduct a safety patrol at site, it is recommended that they
understand the contents of the manual and advise contractors/consultants to
rectify/correct/improve safety and health matters that are against law and/or the manual.
 The manual can be used for self-study of safety and as a text for workshop and/or seminar.
(1) Labor Accidents in Vietnam
Currently, the survey has reported that provisions concerning labor safety and health in
Vietnam are spread over Degrees, Circulars and Decisions, Technical Standards. This
sometimes makes it difficult for contractors to quote information from related regulations in
preparing labor safety and health measures for their construction sites. To cope with these
difficulties, the labor safety manuals where information on relevant regulations and labor
safety measures is assembled are expected to contribute to the planning of labor safety
measures in the fields.
To begin with this activity, the analysis was carried out by the Project team on the causes of
labor accidents in Vietnam in an attempt to select manual contents. Counterpart members
gave advice to the Project to include labor safety measures against “Falling” and
“Electrification” due to high frequency in occurrence in the construction sites. These two
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accidents are shown as the worst No.1 and 2 fatal accidents in the statistical data provided by
MOLISA.
Table 11.5.1 Labor Accident Statistics in Vietnam
Jan-Jun, 2011 Jan-Jun, 2012 Jan-Jun, 2013

Cause of Accident
Total No. of No. of death Total No. of No. of death Total No. of No. of death
accident accident accident
Falling 246 61 167 39 863 81
Electrocution 134 45 236 73 327 31
Stuck between objects 945 32 933 16 598 57
Falling objects, burying 293 54 252 25 664 61
Trip and fall by objects 351 9 331 14
Throw out 51 8 84 9 327 31
Traffic accident 205 25 198 9 436 41
(Source) Annual Announcement of MOLISA about work accidents situation
11.5.2 Basic Concept of Labor Accidents
It is very important to raise safety awareness among people and to enhance their capacities on
labor safety. Knowing the causes of accident is one of the actions for these purposes.
However, Herbert W. Heinrich reported that to know the causes of accidents was not good
enough. He was born in 1986 and an assistant superintendent of the engineering and
inspection division of a private company when he published the book titled “Industrial
Accident Prevention, A Scientific Approach” in 1931. In this book, he stressed the following
findings.
 Behind one big injury accident, there are 29 small injury accidents and 300 minor
accidents that do not result in injuries as seen in
 Figure 11.5.1.
Since his study, which was based on the labor accidents that occurred in the 1920s, many
researchers have analyzed new accidents and derived new results. For example, Frank E. Bird,
Jr, who was the director of engineering service for an insurance company, analyzed 1,753,489
labor accidents reported from 297 cooperating companies in the year of 1969. He derived the
following 1-10-300-600 relations in an accident pyramid as shown in
Figure 11.5.1.
11-10
Also Tye and Peason derived the similar relations in 1974 1nd 1975.The ratio Tye and Peason
was 1 (Fatal or serious injury) – 3 (Minor injuries) – 50 (First aid treatment injuries) – 80
(Property damage accidents) – 400 (Near misses).
1 1
Major injury Fatal accident
29 10
Minor injuries Minor injuries
30
300 Incidents (Near misses) Accidents
600
Incidents (Near misses)
Heinrich Bird Jr.
Heinrich Theory Bird. Jr Theory
Figure 11.5.1 Heinrich Theory and Bird. Jr Theory
Although the figures vary from study to study, the basic principle remains the same. The
“Near Misses” are the potential to be more serious incidents. Of course, not all near misses
cause fatal or serious injuries. However, if appropriate actions are taken at this level, potential
of more serious injuries can be reduced dramatically. This is the main reason to prepare and
introduce the “Case Study on Accidents and Near Misses Handbook” in this project. Similar
handbooks are also used in Japan for the safety induction and education to superintendents
and workers.
11.5.3 Design Concept
Base on the studies and analysis so far, it is found that to increase the safety awareness of
labor is the most effective action to decrease accidents on construction sites. Therefore, it was
agreed by MOC and JICA study team to prepare the “Safety and Health manual in
Construction” and “Case Study on Accidents and Near Misses Handbook”. These books are
mainly designed for MOC but it can also be used for the general civil works and building
works.
At the beginning of office work in Hanoi, the timeline of preparing safety manual was
submitted to the PMU by JICA study team at MOC’s office. This timeline was approved by
the PMU and it was agreed that JICA study team conducted their work based on the timeline
in cooperation with PMU and counterparts. The timeline of preparing safety manual is shown
below.
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Table 11.5.2 The Timeline of Preparing “Safety/Health Manual” and “Case Studies on Accident and Near Misses”
2011 2012
Actitities
Aug Sep Oct Nov Dec Jan Feb Mar Apr May Jun
A. Study the current conditions of safety and health
A.1 Labor Code and Chapter 9 of Labor Code
Articles of Chapter 9 (Occupational Safety and

A.2
Hygienic)
A.3 Decrees and Circulars
B. Preparing Safety Manual

B.1 Prepare items in safety/health Manual

Discussion with counterparts for items in safety/health
B.2
manual
Submit items of Safety/Health Manual to MOC for
　　　　▼
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B.3
concurrence
Concurrence on items of Safety/Health Manual by
B.4 　　▼
MOC
B.5 Prepare the Safety/Health Manual item by item
B.6 Concurrence on the Draft Safety Manual ▼
C. Preparing Case Studies of Potential Accidents

C.1 Prepare samples of case study of potential accidents
Discussion with counterparts for contents of case

C.2
study
Concurrence on items/styles of Case Studies of

C.3 ▼
Potential Accidents
D. Modifications on Manuals for Final Version
E.1 Modify manuals based on comments/advice
7/30 8/29 9/25 10/27 11/12 12/22 5/17 6/15

E. Assignment of JICA Safety Management Expert
31days 33days 41days 30days
11.6 SAFETY AND HEALTH MANUAL IN CONSTRUCTION
Many discussions for safety and health matters were held with counterparts for 5 months and
the progress of JICA study team went almost on schedule. As a result, the final version of
“Safety and Health Manual in Construction” was submitted to PMU on June 7th, 2012. It was
agreed between PMU and the Project team that some construction sites would be selected by
PMU for the trial, where the manual is used on sites for several months. Comments from sites
after trial, such as opinions against contents, usability of manual and so on, are reflected in the
future version of manual. The following are the outline of the manual;
(1) Expected Users
Government staff, supervision consultants, contractors, subcontractors
(2) Content List

Chap. I; Introduction
Chap. II; Regulations and technical standards on safety and health and safety
management (Figure 11.3.1)
II.1 Outline of regulations and technical standards on safety and health and
safety management (Table 11.6.1)
II.2 Rights and duties of Employers and Workers Responsibilities of POs,

PMUs and Consultants, Contractors
II.3 General Issues on Labor Safety
II.3.1 Safety management system and Safe induction
II.3.2 Regular safety management and safety education
II.3.3 Working wear and protective equipment
II.3.4 Keeping things tidy and in order
II.3.5 Walkways at site
II.3.6 First-aid tools
II.3.7 Signage for hazards
II.3.8 Strict requirements of employment (License, Age, Sex, Previous illness,

Medical check, etc.)
II.3.9 Application for construction permits - Specific work
II.3.10 Signals
11-13
Table 11.6.1 Labor Safety Related Regulations
11-14
Chap.- III Safety Measurements by Incident
(Figure 11.6.1, Figure 11.6.2 and Figure 11.6.3)
III.1 Prevention of Falling
III.2 Prevention of danger caused by falling/littering
III.3 Prevention of danger caused by collapse/rolling
III.4 Prevention of danger caused construction vehicles
III.5 Prevention of danger caused by electricity
III.6 Prevention of danger caused by hauling, loading and unloading
III.7 Prevention of danger to public
III.8 Prevention of danger caused by fire and explosion
III.9 Prevention of danger caused by tunnel works
III.10 Prevention of danger caused by offshore operation
III.11 Prevention of health disorder
APPENDIX
1. Manual check lists
2. Work license required
3. Format of labor safety and health
(3) Illustration
Some of illustrations included in the Manual are shown on following figures.
11-15
Figure 11.6.1 Prevention of Falling

(Manual, Chapter III, Sample)
11-16
Figure 11.6.2 Prevention of Danger Caused by Collapse/Rolling

11-17
Figure 11.6.3 Prevention of Danger Caused Construction Vehicles

11-18
11.7 CASE STUDY HANDBOOK ON LABOR ACCIDENTS AND NEAR-MISS

INCIDENTS
It is expected that the handbook is practically used by staff of MOC and other related people
in Vietnam to reduce accidents. All examples are shown with pictures for easy understanding
by workers.
The Project team selected 93 samples of labor accidents and near-miss incidents out of 542
samples. These 93 samples were translated into English and Vietnamese. However, only 43
samples are employed for this handbook after close discussion with the counterparts who
know the construction circumstance in Vietnam very well. 50 samples which are not used for
the handbook are stored in disks, so that MOC can easily replace samples in the handbook to
other samples according to the target people of handbook. The final version of the handbook
and electric data were submitted to MOC on December 7th, 2012.
Figure 11.8.1, Figure 11.8.2, Figure 11.8.3 and Figure 11.8.4 shown on next pages are
samples of this Handbook.
11.8 MANAGEMENT OF MANUAL AND HANDBOOK
Safety management of construction continues for many years in Vietnam. Accordingly, it is

necessary to improve, revise and correct the manual and handbook on its continuous process
of safety management. Therefore, it is recommended that MOC manages the “Safety and
Health Manual in Construction” and “Case Study Handbook on Labor Accidents and Near-
Miss Incidents”.
11-19
Figure 11.8.1 Case Study (Sample-1)
11-20
11-21
11-22
CHAPTER 12 DEVELOPMENT OF TRAINING SYSTEM AND

TRAINING PLANS (ACTIVITY-7)
12.1 DEVELOPMENT AND IMPLEMENTING TRAING PROGRAMS
(1) Concept of Development
In order to enhance capacities of construction project management and quality assurance,

dissemination of capacity enhancement plans to the end users is also an important issue in
addition to the development of capacity enhancement plans. Current practices of training
programs in MOC, including information dissemination and training programs, has explained
that there are two major training programs implemented by MOC;
 Information dissemination mainly for the enforcement of new regulations and technical
standards, and
 Training programs for enforcement of regulations on engineer qualifications and for

enforcement of regulations and technical standards.
The former is conducted with free of charge by the MOC departments in charge of preparing
regulations. It is implemented in the form of seminars or workshops, and in general three
opportunities are given to the stakeholders for the enforcement of one new regulation.
The latter is conducted based on a business scheme. For instance, any training centers, which
are approved by MOC and given business licenses, can provide training courses on engineer
qualifications in response to the market demands. In this context, CQM can also play a role of
giving training programs to the public, making use of its business license. In this respect,
CQM is not a representative organization authorized by MOC.
The document and interview surveys conducted in the Project have revealed that
understanding of regulations and awareness about construction quality assurance and labor
safety are not high due to lack of training programs and training opportunities, in particular
for the stakeholders in the regions. In fact, stakeholders’ demands for the capacity
enhancement programs may differ depending upon stakeholders. Taking this point into
consideration, training programs should be carefully planned.
Focus points of this activity are as follows.
 Conduct a baseline survey and develop recommendations on the capacity enhancement

plans for MOC training programs.
 Develop during-project training programs for the dissemination of project outputs and
implement training programs.
 Develop post-project training programs for the dissemination of project outputs.
12-1
(2) Methodology
1) Conduct a Baseline Survey and Develop Recommendations on the Capacity

Enhancement Plans for MOC Training Programs
Before going into main topics of this activity that includes planning of during-project and
post-project training programs and their implementation, the Project thoroughly conducted a
baseline survey on the current MOC training programs and makes a brief recommendation on
the comprehensive training programs in MOC provided by the Academy for Managers of
Construction and Cities (AMC). In this activity, analysis will be conducted including training
program demand analysis, stakeholders’ analysis, training program analysis and training
implementation body analysis, taking account of not only project outputs, but also future
expectation of construction works and construction quality assurance in the future.
2) Develop During-project Training Programs for the Dissemination of Project

Outputs and Implement Training Programs
The Project will develop during project training courses for the purpose of technology transfer
and raising lecturers and implement these training courses. The Project plans basically two
times of training courses in Vietnam in a year. However, the number of the training courses
may change subject to the implementation of other seminars and workshops handling with
similar topics of construction project management and quality assurance. In particular, as
project outputs to be disseminated to the stakeholders are expected to come out in the latter
half of the project period, during-project training programs may change their nature from
training programs on the project outputs to information dissemination to stakeholders, which
cover the subjects such as the principles of construction work management and their quality
assurance, introduction of foreign practices and so forth,
3) Develop Post-project Training Programs for the Dissemination of Project Outputs.
Post-project training programs will be developed to disseminate project outputs on the basis
of the following design concepts;
 To transfer practical technologies to the direct stakeholders to be involved in the tasks

assigned by project outputs,
 To disseminate technologies or information needed for each stakeholder, and
 To diversity training implementation bodies in cooperation with private sectors.
The training programs will be developed in accordance with the following steps. In
formulating training programs, following the above concepts, care should be paid not to put
12-2
much workload to MOC, so that phased programs and cooperative training with private-sector
would be incorporated in the draft training programs.
 To identify project outputs
 To identify stakeholders
 To clarify stakeholders’ task assignments that will be the requirements for technology
transfer.
 To select training program implementation methods
 To develop training programs
(3) Outputs
Following output are produced through the activity.
 Recommendations on Capacity Enhancement Plans
 Training programs for During and Post Project
 Implementation of Trainings
12.2 CURRENT STATUS OF SCHOOL EDUCATION AND TRAINING IN THE

CONSTRUCTION SECTOR
The Baseline Survey herein conducted started with a macroscopic survey on school education
and training programs in Vietnam, as universities and colleges in Vietnam in the construction
sector often offers training courses.
12.2.1 School Education Involved in the Construction Sector
(1) General View of Organizations Involved in School Education
The ministries who are responsible for the state management of school education in the
construction sector are the Ministry of Education and Training (hereinafter MOET), the
Ministry of Construction (hereinafter MOC) and Ministry of Labour, Invalids and Social
Affairs (hereinafter MOLISA). MOET is responsible for the state management of all types of
school education while MOC functions for the state management in construction with MOET
for professional upper secondary education and vocational upper secondary and College
program, and so does MOLISA for the preliminary vocational program for less than one year
within the framework of vocational training. Figure 12.2.1 shows structure of school
education and training programs.
12-3
Figure 12.2.1 Structure of Formal Education and the State Management in the Construction
Sector
Source: Ministry of Education and Training (http://en.moet.gov.vn) for the part of “Education Framework”.
Note: (1) In the MOET web site, the chart is name as “Education Landscape” and noted as “Updated on
02/10/06”.
(2) The above part, “State Management Authority” with the abbreviation of the three ministries with the
attached arrows from the ministries are added at the Report Draft Meeting on 8 September, 2011.
(3) About the Responsibilities of the MOET, please see the above section on legal backgrounds and
documents, especially about Decree 115/2010/ND-CP dated 24/12/2010. MOET is responsible for
the state management in Education in general. In other words, all schools and institutes indicated in
the chart are under the state management of MOET.
12-4
(2) Number of Implementation Bodies under MOC
There are 33 schools and institutions in the formal education sector under MOC1 as shown in
Table 12.2.1.
Table 12.2.1 Number of Schools under MOC

Construction Vocational
Academy Construction Vocational
Technical Secondary
Universities of Technical Colleges of Total
Secondary Schools of
Managers Colleges Construction
Schools Construction
Total in 2 1 6 10 7 7 33
Construction
MOC 2 1 6 1 1 11
Enterprises 7 6 4 17
Localities 2 3 5
Source: The Master Plan on Human Resource Development of the Construction Period 2011-2020 (MOC,
March 2011),Page 17, “Table 7: Network of training establishments under the Construction sector
according to the level of training”, Page 13, Table 9: “ system of training network under the
Construction Sector according the decentralized management “
Note: i) In the original text the table is separated into two as noted above.
ii) “Academy of Managers” is correctly the Academy of Managers for Construction and Cities.
iii) The two postgraduate institutes, Vietnam Institute for Building Science & Technology (IBST), and the
Vietnam Institute of Architecture, Urban & Rural Planning are excluded in the original table,
although the Master Plan indicates them in the main text (Page 17).
(3) Training Courses and Participants under MOC
According to the statistics available in the Master Plan 2011-20202, the number of trainees in
the formal education sector has increased at every education level since 2004, and led to the
accumulation of more than 278,000 persons as trained. The majority of trainees are produced
through vocational schools that train about 70 percent of trainees in the formal education
sector for construction. Table 12.2.2 shows numbers of trainees through school education
under MOC. In the table, the «Full-time training» is equivalent to a regular course, «Not full-
time training» an irregular course and «Nomination training» is one which does not use state
budgets, but financed by individual trainees or companies on a contract basis.
1
Master Plan on Human Resource Development of the Construction Period 2011-2020 (hereinafter, Master Plan 2011-2020)
2
Master Plan on the Human Resource Development of the Construction Sector Period 2011 -2020 (published by MOC in
November, 2010
12-5
Table 12.2.2 Number of Trainees through School Education under MOC

Sum of
2009 2010 (estimated)
2004-2010
Training level Number % Number % Number %
Postgraduate 1,281 0.46 233 0.51 245 0.48
Doctor (PhD) 77 0.03 13 0.03 15 0.03
 1,204 0.43 220 0.48 230 0.46
University 18,345 6.61 3,136 6.83 3,448 6.82
Full-time training 10,845 3.92 1,699 3.70 1,867 3.70
Not full-time training 7,182 2.58 1,377 3.00 1,511 2.99
Nomination training (without examination) 318 0.11 60 0.13 70 0.14
College 14,476 5.15 3,079 6.70 3,386 6.69
Not full-time training 1,976 0.67 744 1.62 813 1.61
Nomination training (without examination) 41 0.01 14 0.03 20 0.04
Secondary schools 39,887 14.33 6,623 14.42 7,328 14.49
Not full-time training 4,017 1.44 503 1.10 543 1.07
Nomination training (without examination) 73 0.03 0.00 10 0.02
Vocational training 204,427 73.43 32,855 71.54 36,140 71.54
Long-term 101,450 36.44 14,848 32.33 16,332 32.33
Short-term 102,977 36.99 18,007 39.21 19,808 39.21
Total 1 278,416 100.00 45,926 100.00 50,547 100.00
(4) Training Courses and Participants outside of the MOC’s State Management
In the construction sector, there are people who are educated or trained at schools outside of
the state management of MOC. Table 12.2.3 summarizes the numbers at different levels of
education. According to the table, almost 200,000 trainees are trained in the formal sector
outside the MOC supervision since 2004, leading accumulation of increasing numbers of
trainees from 33,000 in 2004 to 44,000 in 2010. These are as great as of the 70 % of the
number of trainees produced under MOC. The majority of profession is “Industrial & Civil
Engineering” followed by “Transportation Engineering” and “Water Supply and Drainage
Profession”.
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Table 12.2.3 Number of Trainees through School Education outside of the MOC State Management
Training system Outside of MOC related schools / institutes Sub Total
A B C D E F G H I J K L M N P Q
Water
Industrial Building Steel Carpenter Outside
Transport supply Urban waste Construction Architectural Construction And
and Civil material Plaster Concrete structure work, Others of
Engineering and management economics design machinery Upper
Engineering production professing scaffolding MOC
Drainage
Total since 2004 0
Postgraduate 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
University 14,230 6,450 2,230 1,730 2,360 5,485 1,345 0 0 0 0 0 4,080 38,210 38,210
College 24,170 6,775 1,760 1,325 2,620 50 1,055 0 0 0 0 0 0 37,755 75,965
Professional secondary school 38,405 16,820 1,510 1,270 1,080 100 2,610 0 0 0 0 0 600 62,395 138,360
Vocational training 32,115 5,170 11,740 0 0 0 6,040 2,300 1,180 210 1,850 530 250 61,385 199,745
Year 2009 0
Postgraduate 0 0
University 2,480 1,120 215 495 380 1,030 130 5,850 5,850
College 7,615 1,375 335 605 645 345 10,920 16,770
Professional secondary school 5,580 2,575 175 150 160 370 9,010 25,780

Vocational training 480 300 120 900 26,680
Vocational secondary school 900 250 1,150 2,300 300 220 40 250 60 5,470 32,150
Technical worker 9,540 750 3,100 300 250 60 270 100 14,370 46,520
Year 2010 0
Postgraduate 0 0
University 2,120 1,140 325 225 330 1,055 165 5,360 5,360
12-7
College 5,135 1,490 150 295 430 7,500 12,860

Professional secondary school 5,395 2,645 120 190 190 100 360 9,000 21,860
Vocational training 470 300 50 820 22,680
Vocational secondary school 880 730 1,411 1,200 100 180 30 230 60 4,821 27,501
Technical worker 12,830 870 2,725 250 300 60 90 17,125 44,626
Source:
The Master Plan on Human Resource Development of the Construction Period 2011-2020 (MOC, March 2011), Appendix 8: The number of people being trained at schools outside of the MOC
every year.
Note: i) The table limits the information within the Accumulated figures since 2004, in 2009, and in 2010 although the original data covers all year since 2004.
ii) “Total Since 2004” is calculated from the 5 years data (from 2004 to 2008).
iii) Sub-Total is also calculated and added by the draft writer of the report.
iv) The column of “And Upper” is calculated as the addition of the column from the top to the equivalent line.
For example, the data of college and upper is the addition of the number of universities and college, and the professional secondary school is the addition of the professional secondary school,
college, and universities.
12.2.2 Short-term Training Courses in the Construction Sector
(1) General View of Short-term Training Courses in the Construction Sector
The related organizations working for short-term training courses under the state management
of MOC can be seen in Table 12.2.4 .
Table 12.2.4 Organizations Working for Short-term Training under the MOC’s State
Management
Organizations (Including the MOC Department)

Authorities SACQI, CAMD, CQM, Science and Technology Department, Organization
and Personnel Department, Economic Department
Implementers Universities and Colleges under the MOC, Academy for Mangers of
Construction and Cities (hereinafter, AMC), and Private / Joint Stock
Enterprises
Organizations to be targeted DOCs, CICs, Private and Joint Stock Enterprises (Contractors and/or
Consultants)
(2) Organizations Short-term Training Courses
Table 12.2.5 summarizes Authorities for State Management and Implementers of training
courses.
Table 12.2.5 Short-term Training Courses Authorized by MOC and their

Implementers
Authority for Implementers

Main Subject
No. State
/ Course Title Associations University Academy CQM Institutes Private
Management
and Colleges Enterprises
SACQI,
1 Supervision X X X X X
CAMD
Project SACQI,
2 X X X X X
Management CAMD
3 Inspection SACQI X X
Cost
4 Economic X X X
Estimation
Material SACQI,
5 X X
Testing CQM, ST
Site
6 N/A X X X X X X
Management
12-8
Table 12.2.6 Number of Qualification Training Implementers Authorized by MOC

Project Training for
Supervision Cost Estimation
Management Testers
Associations 3 5 4 -
Institutes including Academy and 5 4 9 2
CQM
Universities/ Colleges 5 13 7 -
Enterprises 13 11 23 1
Total 26 33 43 3
Source: SACQI, MOC

Note: 1) The categorization of implementers is discussed at the Meeting on 16 September, 2011.
2) The total number of training centers for supervision is 39 as of November, 2011.
3) The location of the authorized training center for supervision” as follows; Hanoi: 26, Da Nang: 2,
Binh Duong: 1, Dong Nai: 1, Ho Chi Minh City: 6, Nam Dinh: 1, Phu Yen: 1, and Quang Ninh: 1.
Table 12.2.7 shows the targets of short-term training courses. The implementers of
qualification training are authorized by the relevant department in MOC.
Table 12.2.7 Targets of Short -term Training Courses

Implementers Target Category Qualification
No. Main Subject / Course Title
Positions Organizations Private Public Qualified Not
SACQI, DOCs,
1 Supervision Any X X X
CAMD Contractors
Project SACQI, DOCs,
2 Any X X X P
Management CAMD Contractors
DOCs,
3 Inspection SACQI Supervision X X
Contractors
DOCs,
4 Cost Estimation Economic Any X X X
Contractors
SACQI, DOCs,
5 Material Testing Lab Staff X X X
CQM, ST Contractors
DOCs,
6 Site Management N/A Any X X X
Contractors
(3) Short-term Training Courses Organized by CQM
1) Overview of Training Course by CQM
In 2010, Viet Nam Center for Technology of Construction Quality Management (hereinafter
as CQM) implemented 35 training courses as seen in Table 12.2.8. Among them, training for
Inspection and training of Verification of Construction Qualification Skill are considered as
directly related to the CQM’s original tasks. However, from the point of view of number of
courses and targeted people, training for Project Management and Supervision also take great
parts for its implementation, almost the same or greater parts compared to the CQM’s original
tasks. Among these training courses, Project Management courses are implemented upon the
request by corporations.
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CQM cannot implement training courses with experiment related training courses as it does
not have laboratory facilities. Only those implementers with laboratories such as the Institute
of Building Science and Technology (hereinafter, IBST) can conduct training courses at the
practical levels such as training for Testers (noted in the Table) for Quality Assurance of
Construction.
Table 12.2.8 Short-term Training Courses by CQM in 2010

Program No. of Attendants
Program Title
Type Courses Number Man * Day
Training Training of Management of construction building 8 620 3150
investment project skill
Training Training about Construction supervision skill 3 280 1680
Training Training of Inspection and Certification of full 3 145 290
satisfaction of Force-bearing
Training Training of Verification of construction 5 554 2216
qualification skill
Training Training of Site manager 5 505 1515
Training Training of Tender skill 5 394 1182
Seminar Sciences seminar "Photometric System with 2 400 400
Construction Qualification"
Other Disseminate the Normative Law of Construction 3 224 672
inspection
Source: CQM, MOC
Table 12.2.9 Short-term training courses by CQM from 11/2012 to 8/2013

Program Type Program Title No. of Courses Attendants
Training Improvement of Project Management 3 180
Training Improvement of Supervision Skill 3 218
Training Improvement of Construction Quality Inspection Capacity 3 142
Improvement of Making Bill of Quantity and Cost
Training 1 70
Estimation Qualification
Guidance on Making Built-in Document and Payment
Training 1 68
Document
Training Improvement of Qualification of Site Manager 1 62
Training Improvement of Project Evaluation Qualification 2 139
Training Improvement of Tendering Qualification 1 145
Training and Training courses to disseminate outputs of the Project for
Disseminating Rules Capacity Enhancement in Construction Quality Assurance 6 823
and Regulations sponsored by JICA
Training and
Training courses to disseminate construction related
Disseminating Rules 11 2,180
relevant rules and regulations
and Regulations
2) Teaching Methods
Teaching methods taken in training courses implemented by CQM is ‘Lecturing’ by a teacher

to trainees. This may be related to the fact that the attended number in a course / class is great.
The problem that the training does not directly involve the practical technologies at the
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construction sites is also found in 12.2.2(6) Short-term Training Courses for Public
Servants, and 12.2.5 Major Findings in the Study.
(4) Short-term Training Courses at Universities, Colleges, Academies and Others
Table 12.2.10 shows the examples of Short-term training courses conducted by two
universities and an association. As can be seen in the table, short-term training courses held
by the two universities are in somehow related to qualification training courses; Supervision
(Sp in the table), Cost Estimation (CE), and Project Management (PM) that is stipulated in the
same document, Circular No.25/2009/TT-BXD, with the training courses for Supervision.
According to the responsible of SACQI, this situation can be related to the facts ; 1) these
courses can easily attract participants, and 2) training course fees are fixed.
On the other hand, the Vietnam Federation of Civil Engineering Associations (Hereinafter,
VFCEA) implemented other types of training courses such as ‘Green Architecture,
sustainable development and energy saving’ that follows the recently promulgated law for
environment, and ‘Development Consultancy for Region’. These training courses target
workers at MOC and the Departments of Construction (hereinafter, DOC), however, they are
out of the framework of the training courses for capacity development organized by
Department of Personnel and Organizations and other departments of MOC. These training
courses are implemented with the support of organizations abroad.
The baseline survey clarified that the trend of focusing on the training courses for
qualification is found not only with universities but also with the departments of MOC.
Table 12.2.10 Example of Short-term Training Implementation in 2010

Subjects / Topics of
Implemented Training courses, Seminar, <Day x Man> in Year 2010
Implementer of Total
training & Workshop
training courses attendants
courses
T S W Total T S W
University of 15 Sp, CE, PM 760 10,372 10,372 0 0
Technology
HCMC University 10 Sp, PM 618 8,205 8,205 0 0
of Technology
VECAS 18 Tn, FIDIC, DC NA, 985 1,890 1,020 345 525
Sp, GA IC
Source: Questionnaire collected through the baseline survey
Note: 1) Abbreviation in the Table
T=Training, S=Seminar, W=Workshop, Sp=Supervision, CE=Cost estimation, PM= Project
Management, Tn=Tendering, FIDIC = Federation Internationale des Ingenieurs –Couseils
(International Federation of Consulting Engineers), GA=Green Architecture, sustainable
development and energy saving, DC=Development Consultancy for Region, NA= New Approach
and Solution to renovation of consultancy business, IC=Idea Contribution to Planning for Hanoi
Capital HCMC= Ho Chi Minh City, VECAS = Vietnam Engineering Consultant Association
2) The HCMC University did not answer the days spent for each training course. There the
calculation of <Day x Man> are based on the assumption that the university spend the regulated
number of day for the qualification training courses.
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(5) Short-Term Training Courses for CIC Staff Members
Although CQM is expected to play a role as a major part of training organization for CIC staff
training, there are other training implementers involved.
Table 12.2.11 also shows examples of training courses that staff members of four (4) CICs
attended to in 2010. As the right part of the above table shows, the staff members of Dak Lak
and Da Nang CICs do not have any opportunities to attend training courses directly related to
laboratory practicality. Even those staff members of the Saigon CIC where many staff
members have training opportunities, the training courses are limited to a one-day training
course and a workshop when 105 members and 150 members attended to respectively.
The situations can be summarized that there is not enough training courses for practical
techniques targeting CIC staff members. This is very similar to the training courses for Short-
term training courses, and also the training courses for public servants in general where there
is significant lack of practicality at the actual site level knowledge and skills.
Table 12.2.11 Example of Training Courses that CIC Staff Members Attended in 2010
<Day x Man> <Day x Man>
Staff Under
Total of Training course, <Day x Man> Laboratory related
CIC Name 30 years old
Number seminar & workshop trainings
No. % l/o T S W Total l/o T S W
Sai Gon 217 45 20.74 2y x 2 105 0 150 255 ? 105 0 1 x150
Dak lak 26 12 46.15 0 143 2 0 145 0 0 0 0
Da Nang 22 6 27.27 0 0 14 0 14 0 0 0 0
5x2
Nam Dinh 62 15 24.19 35 811 0 35 846 7 x 5 20 x 3 0 0
18 x 9
Source: Questionnaire collected through the Baseline Survey

Note: i) This table is made from the training course lists that they submitted.
ii) l/o=Long Term Training or overseas training, T=Short-term Training, S=Seminar, W=Workshop,
iii) 2y x s in the Saigon CIC row means that the CIC now has two master trainees. As the subjects or the
major are not known, “<Day x Man> Laboratory Related Trainings” is marked “?”.
iv) No. is the number of staff members under 30 years old.
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(6) Short-term Training Courses for Public Servants
1) Organizations Involved in Short-term Training Courses for Public Servants
The organizations working for short-term training courses for Public Servants who belong to
MOC, DOCs and other local governmental offices are summarized in Table 12.2.12.
Table 12.2.12 Organizations Working for Short-term Training for Public Servants
Organizations (Including the MOC Department)
The Responsible in MOC Department of Personnel and Organizations
Other related Department of Planning and Finance
Implementer of Training Courses AMC
Organizations that have training target individuals Departments in MOC, DOCs
For details in relation to these organizations for the planning, monitoring and evaluation
please see 12.2.4 Planning, monitoring and evaluation of education and training in the
construction sector
2) Training Courses
Short-term training courses for Public Servants are planned and managed by the Department
of Personnel and Organizations and Academy for Managers of Construction and Cities
(hereinafter as AMC). Table 12.2.13 shows the list of training courses implemented by AMC.
The table has summarized that there are 23 courses where 15,825 trainees attend to 217
classes in total. AMC also conducts training courses on international cooperation, for foreign
languages, and for refreshers. Therefore AMC accommodates about 21,000 trainees in a year.
It is observed that a number of trainees in a class are great in some courses. This could be
considered with relation to the teaching style of lecturing to trainees.
In the list, the first training course, Grade Promotion (or Grade-up) Training1 in the category,
G-3 is implemented by AMC under the state management of Ministry of Home Affaire
(hereinafter, MOHA).
1
Grade-up training is the training course that one needs to attend to for promotion from ordinary level to Expert, Chief
Expert, then to Senior Expert, with the duration of three, two and one month/s respectively. Within the three training courses,
the training for Expert is implemented at AMC while the training course for Chief expert is done at the Institute of Public
Administration under MOHA, where trainees from other ministries. At the Grade-up training framework, there is no specific
training on construction except to be treated as a case study, however, trainees mainly study three subjects of A) Public
Administration, B) Political Argument, C) Computer & foreign language (English).
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Table 12.2.13 List of Training Courses Implemented by AMC in 2010

Basic Data Target of Training Course
Category No. Training Course Title (Types) Number Civil
Total Avg. Qualific Local
of Servants
number number ation level
classes only
G-1 II Training of Supervision 38 2,896 76 
Training of Construction
III 23 1,391 60 
Valuation/Tendering
VI Training of Real Estate Business 4 158 40 
XVII Training of Cost Estimation 2 50 25
Training of Project Management /&
G-2 I 44 3,237 74 
Consultancy
Training for Director for Project
IV 3 105 35 
Management Consultancy
V Training for Site manager 13 529 41 
VIII Training for Inspector of Construction 2 145 73
Training of Grade Promotion Examination of
G-3 VII 5 223 45 
Enterprise, Experts and Chief Experts
XIX Training of Public Administration 1 145 145 
Training of Construction Management for
G-4 X 11 1,022 93  
Professional of communes
Training of Urban Management for
XI 19 1,063 56  
Professional of communes
Training of Construction Planning for New
XII 22 2,876 131  
rural area
Training of legal knowledge of People's
IX 3 235 78  
Council of all level
Training of legal knowledge and construction
G-5 XIII 8 653 82
inspection
Training of Document of As-built,
XIV 2 102 51
acceptance, payment and liquidation
XV Training of enterprise audit 2 76 38
Training of leading skills for enterprise
XVI 8 343 43
management
Training of Practice for quantity estimation
XVIII 1 28 28
and formulation of Bill Quantity
Training of knowledge and skill for factory
XX 1 53 53
manager
XXI Training of quality management 1 22 22
XXII Training of Political Argument K18 1 120 120
XXIII Other training 3 353 118
Source: Department of Personnel and Organizations
Note: The categorization of the training courses are as follows; G-1: Training Courses for Qualification, G-
2：Training Courses that involve trainees out of public servants, G-3: Training Courses that target only
public servants, G-4 ： Training Courses that target only public servants at local levels, and G-5 ：
Training Courses out of the above noted categories.
12.2.3 Legal Documents on Education and Training Systems in the Construction Sector
(1) Legal Documents on School Education
In the Vietnamese legal system, all legal documents on school education is under the
Education Law (No: 38/2005/QH11), with its Amending and Supplementing articles of the
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Education Law (No. 44/2009/QH12), which stipulates the formal education in general. In the
law, Article 32 defines the category of professional education into the two main categories,
professional upper secondary education, and vocational training as noted in the next table.
Table 12.2.14 Categorization of Professional Education

(Article 32 of the Education Law)
Requirement Level
Category of Education Duration to be required
for Learners
Professional upper secondary Education Three to four years Lower secondary education
diplomas
One to two years of studies Upper secondary education
diplomas
Vocational Vocational upper secondary and One to three years (not noted)
Training college program
Preliminary vocational program Less than one year (not noted)
In case of the construction sector, legal documents for professional upper secondary education
and vocational upper secondary and college programmers, most part of the above table except
the last line, are usually issued by MOET alone or by both of MOET and MOC. Legal
documents for primary vocational program, the last part of the table, are issued by both of
MOET and MOLISA. This categorization matches to the responsible organizations or
ministries of the state management of education and training programmers
(2) Legal Documents on Short-term Training
The legal document in relation to short-term training courses1 are mainly issues by MOC.
There is no comprehensive legal document on the state management of short-term training
under MOC. There are three types of legal documents from the point of view of how to deal
with short-term training courses in the construction sector.
 Qualification training courses stipulated in the designated legal documents
 Training courses stipulated as one of the functions of the related organization, and
 Non-official / Qualification training courses stipulated in legal documents on a particular

issue in the construction sector.
In the first category, there is Circular on the training of Project Management and
Specification2.
The organizations targeted in the second category, for example, are MOC and DOCs. Within
the framework of the state management by the organizations, the needs of administrative
1
About the qualification training course for supervision, please see <3.11 Construction Supervisor Qualification System > in
details.
2
Circular 25/2009/TT-BXD: Guidance on Professional Training of Construction Investment Project Management and
Construction Supervision.
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management of the training and information dissemination on technical and practical issues is
stipulated1.
Safety Management is an example in the third category. In the Circular2 on labor safety in
work construction, project managers are required for the provision of training opportunities
on safety3, while workers are required for training4.
(3) Legal Documents on Training for Public Servants
In relation to training courses for Public Servants who belong to MOC and DOCs, Decision
No. 959/ QD-BXD (dated on 3rd Nov, 2011) on “issuance of planning for training and
retaining for staff and public servants of MOC for the period of 2011 – 2015” stipulates the
ways of planning (please see the part on organizations).
12.2.4 Planning, monitoring and evaluation of education and training in the construction sector
Every decade, the Master Plan on Human Resource Development of the Construction 5
analyses and evaluates the situations of education and training in the construction sector, and
then plans the education and training activities in the sector for the next decade. While
planning, monitoring and evaluation of (1) School Education and (3) Training for public
servants are effectively conducted as follows, there can be found problems for (2) Short-term
Training.
(1) Planning, Monitoring and Evaluation of School Education
The data of enrolment and complement of the courses of each school are also collected and
analyzed every year. The result of analysis is reflected to the targeted number of enrolment of
each school and education level. Allocation of teachers and budgeting for school education
are also based on these data. In 2012, MOC expects the total enrolment of 24,296 students
that can be broken down to 51 at PhD, 340 at Masters, 3,375 at Universities, and 6,600 at
College level (all the above-noted are for full-time students) and others6.
1
Decree 17/2008/ND-CP: Defining the functions, tasks, powers and organizational structure of the Ministry of Construction,
Article 2; Joint Circular 20/2008/TTLT-BXD-BNV: Guiding the functions, asks, powers and organizational structure of
specialized bodies belonging to the provincial level People’s Committee, the District Level People’s Committee, and tasks as
well as powers of the Commune level People’s Committee in the field of state management of the construction industry,
Article 3.
2
Circular 22/2010/TT-BXD: On labor safety in work construction
3
Article 6 of the above noted Circular
4
Article 9 of the above noted Circular
5
The Master Plan is prepared by the Department of Personnel and Organization of MOC, and then submitted to the Ministry
of Planning and Investment (MPI).
6
Others cover 1,750 at College (Part-Time), 3,150 and 450 for Up-Grading courses (full time and part time respectively),
also 8,300 and 260 at Junior College ((full time and part time respectively).
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(2) Planning, Monitoring and Evaluation of Short-term Training
Planning of short-term training in the construction sector is basically done by Implementers of

training courses. The framework of the state management of short-term training courses are
limited into the activities such as the appraisal of Implementers of training courses for
qualification, and monitoring and evaluation of courses.
Implementers of short-term training courses for qualification, such as Implementers of

courses for Supervision for example, are officially required to submit a simplified report on
the basic data on training courses (numbers of training courses held, and number of
participants in a course) 1 However, about only half of the required Implementers submit
reports to the responsible in SACQI, MOC as of November 2011. Those Implementers for
non-qualification training courses are not required for the submission or reporting basic data
on training courses. Under these circumstances, it is hardly assumed that monitoring and
evaluation for short-term training courses are adequately conducted.
(3) Planning, Monitoring and Evaluation of Short-term Training for Public Servants
Similar to school education, training (often called, Training and Re-Training) for public
servants is planned reflecting the current situations based on the statistical data of each
department through annual human resource survey. There is a series of forms for the survey
that covers common factors such as the level of tasks of allocated employees, education levels,
specializations, ages, and the requirement of training courses as well as their language levels
and computer skills.
In relation to the training courses for public servants, the responsibilities of the above-noted
organizations are clearly stipulated in the recent document2. The next chart shows the process
of planning as stipulated according to the documents. It is stipulated that the Department of
Personnel and Organizations plans training courses based on the above-noted data as survey
result (including the requirement of training) submitted by each department in the right
column. In the same document, it is also stipulated that the feed-back is also conducted after
the implementation of training courses.
1
Circular 25/2009/TT-BXD: Guidance on Professional Training of Construction Investment Project Management and
2
Decision No. 959/ QD-BXD on “Issuance of planning for training and retaining for staff and civil servants of the MOC for
the period of 2011 – 2015” (dated on 3rd Nov, 2011)
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Source: Decision 959/ 2011/ QD-BXD (3 Nov, 2011), Part VI: Responsibilities for implementation
Note: (i) The explanation after “To” in boxes are taken from the source, however, shortened, and placed under
the categorized organizations, except the box under the academy for “To implement training
courses”.
(ii) The second upper framework shows the process of planning with the arrows added by the draft
writer. The bottom framework shows other responsibilities.
Figure 12.2.2 Responsibilities of the MOC Organizations for Planning, Implementation,

Monitoring and Evaluation of Training and Retraining Courses by the Academy
12.2.5 Major Findings in the Study
The followings are the summary of major findings identified through the Baseline Survey on
the Education and Training System in the Construction Sector, categorizing training as
follows;
(1) School Education
 In viewing university-level and college-level education systems, their education systems

have been well organized and implemented.
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 Curriculums prepared for secondary and vocational schools are focused on providing
practical technology-based knowledge and information on the representative construction
works in particular to technicians and to workers in the construction sites.
 However, in general, school education has a limitation of providing practical training,

with focus on On-the-Job Training that needs flexibility in training program organization,
and also focuses specialized for construction project management and quality
management including labor safety.
 It is therefore needed to develop more practical training schemes, separately from school
education.
(2) Government Staff Training
 The government staff training has been well organized and implemented as seen in Table
12.2.13. These training courses are to provide management and administrative
information and knowledge needed to perform their duties.
 Besides the above government staff training, other technical training courses specialized
for the construction project and quality management are not currently available.
(3) Technical Training (On-the-Job Training)
 In order to enhance construction project and quality management in the fields, it is

important to provide technical trainings focusing on the management technologies
including construction supervision, inspection, material testing and site management,
besides providing management training programs. CQM is a prime organization under
MOC which can provide technical training to DOCs and CICs. However, due to the
limitation of capacity and facility, their training programs are not site-oriented, but lecture
training.
(4) Training for the Engineer Qualifications based on Regulations
 These training courses have been developed closely associated with engineer qualification
systems. There are more than 30 organizations who conduct the training courses. MOC
has authority in approving organizations that provide training courses. The basic
frameworks of these training courses including curriculums, durations of training courses
and examinations, etc., are all stipulated by related legal documents.
 However, the currently-on-going training courses focus only on basic knowledge and
information, which are a minimum requirement for each engineer qualification, without
the contents to meet demands responding the social and economic development.
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 It is therefore needed to discuss both, to strengthen these currently-on-going qualification

training courses, as well as to upgrade engineer qualifications independently from other
training programs.
(5) Summary of Findings
MOC, as a state management organization in construction, plays a leading role in

infrastructure development in Vietnam. In order to enhance capacity of construction project
management and quality management in the fields, it is important to concentrate on enhancing
the capacities of On-the-Job Training which provide direct impacts on the construction project
and quality management in the fields.
With the reasons stated above, the Project will focus on the further development of On-the-
Job Training. The frameworks of its capacity enhancement plans are further discussed in the
following sections.
12.3 DEVELOPMENT OF CAPACITY ENHANCEMENT PLANS FOR MOC TRAINING

PROGRAMS
In line with the Baseline Survey, the frameworks of capacity development plans are
developed.
12.3.1 Demand Analysis
On the basis of the Baseline Survey and the discussions in the course of the Project
implementation, a brief demand analysis on training courses was made. Major findings are
described as follows;
(1) Stakeholder Analysis
 Table 12.3.1 shows the expected beneficiaries of training regardless of implementation

bodies. As construction project and quality management require knowledge and
experience specialized for the construction sector, staff involved in construction need to
undertake trainings in order to equip with fundamental rules including relevant
regulations, law conformity, procedures of project management and so forth.
 In viewing organizations, there are two main categories; (1) Central-level and provincial-
level organizations, and (2) Construction state management organizations, professional
sector organizations and non-professional sector organizations. The construction state
management organizations play an important role in supervising law conformity of
construction projects and in publishing construction permits (CPs) to private sector
building work projects.
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 Much concern has been directed to the Non-professional project management

organizations. As they are not professional in construction, much attention should be paid
on how to raise their capacities in construction project management.
 Regarding staff category, there are four types of expected beneficiaries; (1) Construction
state management staff (MOC, DOC), (2) State authority staff (Other than MOC/DOC
staff), (3) Project management staff and (4) Inspection and test staff. Since the
responsibilities assigned to these staff differs each other, training programs need to be
prepared for each staff category.
Table 12.3.1 Stakeholder Analysis

Category Organization Category Beneficially Category
State Management in MOC/Ministerial Agencies State Management Staff
Construction
Project Management Staff
Provincial-level/Agencies State Management Staff
Inspection & Test Staff
Professional Sector MOT, MOA, MOI/Ministerial State Authority Staff
Agencies
Provincial-level/Agencies State Authority Staff
Non-Professional MOE, MOH/Ministerial Agencies State Authority Staff
Sector
Provincial-level/Agencies State Authority Staff
(2) Training Program Analysis
 Table 12.3.2 shows the brief demand analysis on training programs, showing expected
training programs and beneficiaries. Masked portions are the training programs which
have been already implemented.
 As shown in the table, there are some training programs which are preferably
supplemented to the existing programs. In particular, training courses on construction
permits (CPs), including design inspection and mid-term and final inspection, need to be
obliged to State management staff (MOC and DOC staff), since CP examinations provide
significant impacts on the building quality upon completion of construction. MOC
subordinate institutes and CQM are recommended to share responsibilities in providing
technical training, taking their professionalism into account.
 MOC including CQM and other subordinate organizations are encouraged to focus on the
training courses given to State authority staff, while associations including VFCEA,
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VECAS and VNBAC are encouraged to provide training courses to contractors and
consultants in the private sector.
Table 12.3.2 Training Program Analysis

Beneficiaries
Construction
Categories Training Programs State Project Inspection
State
Authority Management and Test
Management
Staff Staff Staff
Staff
Regulations Enforcement and revision of X X X
regulations on construction project
management and quality management
Regulation on sanctions X X X
Project Construction project management X X X
Management Tendering & contract management X X X
Construction supervision X X X
Construction permits (Design X
Inspection), mid-term/ final
inspections
Technical design inspection X X X
Cost estimation X X X
Quality management and acceptance X X X X
Project Site Inspections X
Management Material Testing X
New Inspection technology Voluntary Voluntary Voluntary Voluntary
Technology Test technology Voluntary Voluntary Voluntary Voluntary
Construction technology Voluntary Voluntary Voluntary Voluntary
JICA Construction state audit X X X
Project Construction company registration X X
Outputs
Contractor work performance X X X
evaluation
Labor safety and hygiene X X X
(3) Implementation Body Analysis
 Focusing on On-the-Job Training courses, there are two (2) prime implementation bodies
under MOC and two (2) external associations as listed in Table 12.3.3. As discussed
below, there seem to be demarcation in the selection of training programs.
 AMC shown below is conducting training courses for central-level and provincial-level
government staff. Also, AMC training programs already cover a wide range of training
programs, intended to provide overall knowledge and technologies on construction
project and quality management as shown in Table 12.3.4
 On the other hand, CQM provides technology-oriented training programs for DOC and
CIC staff, dealing with demand responsive training programs as shown in the table.
 VECAS also provide their own programs to construction companies and consultants in
the private sector as shown in the table.
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Table 12.3.3 Implementation Bodies for On-the-Job-Training Programs

Implementation bodies Training programs No. of Trainees
Programs
Central- Provincial-
level level
Academy for Managers of Training courses for government 23 courses X X
Construction and Cities (AMC) staff by staff grade.
Viet Nam Center for Technology Training courses for DOCs and 34 courses X
of Construction Quality CICs
Management (CQM)
Vietnam Federation of Civil Training courses and seminars for N/A X X
Engineering Associations construction companies
(VFCEA)
Vietnam Engineering Consultant Training courses and seminars for N/A X X
Association (VECAS) consultants
Table 12.3.4 Training Programs by Implementation Body

Training Programs AMC CQM VECAS
Supervision X
Construction valuation and tendering X
Cost estimation X
Project management and tendering X
Director for project management consultancy X
Inspection of construction X
Construction management for professional staff of communes and X
wards
Legal knowledge and construction inspection X
Document of As-built, acceptance, payment and liquidation X
Practice for quantity estimation and formulation of Bill Quantity X
Construction management of building investment skills X
Construction supervision X
Inspection and certification of full satisfaction of force-bearing safety X
Verification of Construction Qualification skill X
Site manager skill X
Tendering skill X
Science seminar on photometric system with construction qualification X
Disseminate the normative law of construction inspection X
Tendering X
FIDIC X
Construction Supervision X
Green architecture, sustainable development and energy saving X
Development of consultancy for regions X
New approach and solution for renovation of consultancy business X
Idea contribution to the planning for Hanoi City X
12.3.2 Principle of Development
On the basis of the Baseline Survey and the demand analysis stated in the previous sections,
the following principles are set in advance of developing frameworks.
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 It is necessary to develop training programs which can meet stakeholders’ demands.
 It is necessary to select training programs which correspond to current project

environment.
 Existing training schemes need to be made use of, rather than creating new schemes.
12.3.3 Enhancement of Training of Academy for Managers of Construction and Cities (AMC)
In line with the past experience, AMC is recommended to develop further training programs
for the government administration and Project management staff in the Government including
relevant agencies, and to open training opportunities to the following stakeholders stated
below, in particular to those in the Project management and in the Non-professional sectors.
(1) Expected Trainees
It is recommended that training programs should be addressed to the following stakeholders.

Care should be paid on Non-professional state authority staff and Project management staff.
 State management staff in construction
- MOC and DOC officers
 State authority staff in charge of construction project management
- Non-Professional ministries/provincial-level organizations/related agencies
 Project management staff
- Project owners, PMU/PMC staff
(2) Enhancement of Training Programs
 Training programs need to be developed to meet the requirements for the above trainees.
Table 12.3.5 shows the candidate training programs to be supplemented.
 Focuses need to be placed on providing administration or management information to

stakeholders, rather than technical information.
 Of these candidate programs, the programs on the regulation enforcement/revision and on

the sanctions need to be reinforced and implemented independently from other programs.
12-24
Table 12.3.5 Recommended AMC Training Programs

Beneficiaries
Categories Training Programs State Project
Construction State
Authority Management
Management Staff
Staff Staff
Regulations Enforcement and revision of regulations on X X X
construction project management and
quality management
Regulation on sanctions X X X
Project Construction project management X X X
Management Tendering & contract management X X X
Construction supervision X X X
Construction permits (Design Inspection), X
mid-term/ final inspections
Technical design inspection X X X
Cost estimation X X X
Quality management and acceptance X X X
Project Site Inspections
Management Material Testing
JICA Construction state audit X X X
Project Construction company registration X X
Outputs
Contractor work performance evaluation X X X
Labor safety and hygiene X X X
Note: Masked training programs are ones which have been already implemented.
(3) Enhancement of Implementation Methods
 It is recommended to study further the legalization of training obligation to Non-

professional project management staff.
 Professional organizations, which include MOT, MOA and MOI, are encouraged to
develop their own training programs for construction project management and project site
management in corresponding to their specialized sector projects, except for the training
on regulations.
(4) Special Note
It should be noted that as the development of AMC training programs is beyond the scope of
this JICA Project, MOC is kindly advised to further develop AMC training programs on its
own, taking account of the framework stated above.
12.4 DEVELOPMENT OF DURING-PROJECT TRAINING PROGRAMS AND

IMPLEMENTATION OF THE TRAINING PROGRAMS
The Project has implemented two workshops and six times of training courses as shown
below;
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12.4.1 MOC-JICA Joint Coordination Workshop
Two workshops were co-organized by the MOC and the JICA project. For the preparation,
operation and implementation of the workshop, the SACQI and CQM played a great roles.
(1) Workshop 2012
 Program title: The Workshop On Construction Quality Assurance and Safety

Management
 Objective: To promote understanding construction quality assurance system and

technologies proposed and improved by the Project
 Date: 9 February, 2012
 Venue: The Conference Hall, MOC, Hanoi, Vietnam
 Program: Shown in Table 12.4.1.
 Organizers: MOC and JICA
 Participants: About 200 people attended to the workshop (from MOC, other
ministries, DOCs, CICs, PMUs, Contractors, Consultants, Research Institutes,
Associations, Media) .
Please note that there are people who registered without writing the organization names.
Table 12.4.1 Workshop on Construction Quality Assurance and Safety Management

Time Agenda Presenter
8:00~8:30 Registration
(30')
8:35~8:50 Opening remarks by the Deputy Minister of the Mr. Nguyen Thanh Nghi,
(7') MOC Deputy Minister of MOC Mr. Nagase,
Message from the Representative of JICA Office Deputy Chief Representative of JICA
(8') Vietnam Office
8:50~9:10 Introduction of the Project for Capacity Dr. Le Quang Hung,
(20') Enhancement in Construction Quality Assurance Chief of SACQI - MOC, Director of PMU
9:10~9:45 Topic 1: Institutional Issues for the Improvement of Mr. Kato Tsuneo
(35') Construction Quality Q&A: No Q & A. JICA Expert Team Leader
9:45~10:15 Topic 2-1:Contractor Registration & Construction Mr. Hoang Tho Vinh,
(30') Package Database System Vietnam expert, Deputy director of CAMD –
MOC
10:15~10:35 Topic 2-2: Construction Contractor Performance Mr. Ngo Lam,
(20') Evaluation System Vietnam Expert, Head of Decision No.3
Q&A: No Q & A SACQI - MOC
10:35~10:50 Coffee break
(15')
10:50~11:05 Topic 3: Introduction of Manuals for Safety Mr. Nguyen Duc Toan,
(15') Management Vietnam expert, Lecture of Ha Noi University
Q&A: No Q & A of Civil Engineering
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11:05~11:20 Topic 4: Engineer qualification system for Mr. Nakasuka Satoshi Construction Quality
(15') supervising engineers Assurance Advisor
Q&A: No Q & A
11:20~11:50 Q & A for all topics
(30')
11:50~12:00 Closing remarks of the Workshop Mr. Nguyen Thanh Nghi,,
(10') Deputy Minister of MOC
(2) Workshop 2013
 Program Title: The Workshop on Quality Assurance and Safety Management in

Construction
 Objective: To promote understanding over construction project management,

construction quality assurance and safety management.
 Date: November 1st, 2013
 Venue: Kim Lien Hotel (Address: 5-7, Dao Duy Anh Str., Ha Noi)
 Program: Shown in Table 12.4.2.
 Organizers: MOC and JICA
 Participants: About 200 (from MOC, other ministries, DOCs, CICs, PMUs, Contractors,
Consultants, Research Institutes, Associations, Media) people attended to the workshop.
Table 12.4.2 Workshop on Quality Assurance and Safety Management in Construction

Time Agenda / Activity Speaker
8:00 – 8:30 30 Registration
8:30 – 8:40 10 Opening remarks Mr. Nguyen Thanh Nghi, Vice
Minister of Construction
Mr. Yamamoto Kenichi,
Senior Representative of JICA
Viet Nam Office
8:40 – 8:50 10 KEYNOTE: Mr. SHICHIJO Makio
International Cooperation between Ministry of Director, Overseas Project
Construction, Vietnam and Ministry of Land, Division, Policy Bureau,
Infrastructure, Transport and Tourism, Japan MLIT
8:50 – 9:30 40 Current Situation of Construction Projects in Japan Mr SHIRATO Masami,
Construction Works Inspector,
Engineering Affairs Division,
MLIT
9:30 – 9:50 20 Current Topic on the Enhancement of legal framework Mr Hoang Hai
under Decree 15 and related circulars Director General, SACQI,
MOC
9:50 – 10:05 15 Discussion
10:05 – 10:0 20 Coffee Break
10:20 – 10:50 30 Final Report on Project for Capacity Enhancement in Mr Tsuneo KATO,
Construction Quality Assurance JICA project team,. Team
Leader
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Time Agenda / Activity Speaker

10:50 - 11:10 20 Guideline for Preparing Technical Specifications for Mr. Ha Minh,
Buildings and Industrial Works Deputy Director General,
CONINCO
11:10 – 11:40 30 Registration System Mr. Masafumi YAMAUCHI
Construction Package Database System JICA project team, Expert
Contractor Performance Evaluation System
11:40 – 12:20 40 Discussion
12:20 – 14:00 100 Lunch Break
14:00 – 14:30 30 Draft Guideline for the Formulation of Building Facility Mr Shunji ABE
Maintenance Procedures JICA project team, Expert
14:30 – 14:50 20 Major Contents of Draft of Construction Law (Revision) Mr Hoang Tho Vinh
Deputy Director General,
CAMD, MOC
14:50 – 15:00 10 Coffee Break
15:00 – 15:40 40 Views on the Revision of Construction Law Mr Tsuneo KATO,

JICA project team,. Team
Leader
15:40 – 16:20 40 Discussion
16:20 – 16:30 10 Closing Remarks of the Workshop
12.4.2 CQM Training Courses to Spread-out Project’s Outputs
Nine training courses were implemented in 2012 and 2013 by the Ministry of Construction
with MOC funds in order to spread out the project’s outputs to stakeholders as shown in
Table 12.4.3. Details of these training courses are described below the table.
Table 12.4.3 CQM Training Courses

No. Date Venue Participants No.
No.1 Nov 2nd , 2012 Guest House of National Defense Ministry, No. 33A – Pham Ngu 120
Lao St., Ha Noi City
No.2 Nov 23rd , 2012 Kim Thơ Hotel – No. 1A Ngo Gia Tu St. - Tan An – Ninh Kieu – 90
Can Tho City
No.3 Nov 28th , 2012 Vien Dong Hotel – No.275A Pham Ngu Lao St., District 1, 130
HCMC
th
No.4 Dec 15 , 2012 Bamboo Green Hotel, No. 177, Tran Phu Street, Da Nang City 110
No.5 Dec 19th , 2012 Viet Trung Hotel, No.667 Nguyen Binh Khiem Str., Dong Hai, 100
Hai An, Hai Phong
No.6 Dec 24th, 2012 Luxury Hotel, No.24 Tran Phu Street, Nha Trang City, Khanh 90
Hoa Province
No.7 Oct 25th, 2013 Muong Thanh Hotel, No. 38, Le Loi Street, Hue City, Thua 200
Thien Hue Province
No.8 NovemberNov 15, My Tra Hotel, Le Dung Street, Cao Lanh City, Dong Thap 250
2013 Province
No.9 NovemberNov 22, Blue Moon Hotel, No.4, Phan Boi Chau Street, Da Lat City, Lam
2013 Dong Province
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(1) 1st Training Course
 Program: The program of the 1st training course is shown in Table 12.4.4.
 Term: 01 day, 2 November, 2012
 Venue: Guest House of National Defense Ministry, No. 33A – Pham Ngu Lao St., Ha Noi
City
 Participants: Around 120 persons from Departments of Construction, Construction

Inspection Centers and construction companies in and around Ha Noi attended this
training course.
12-29
Table 12.4.4 Program of the 1st Training Course to Spread-out the Project’s Outputs
8:00 – 8:30 Registration Organizing Committee
8:30 – 8:40 Opening Mr. Le Quang
Deputy Director General, SACQI,
MOC
8:40 – 9:50 Safety management of construction works in Japan Mr. Nakasuka Satoshi
Advisor on construction quality
assurance, JICA Project Team
Prevention of public accidents Mr. Inoue Sadafumi
JICA Expert on construction
management
9:50 – 10:10 Break
10:10 – 11:10 Regulations & Technical standards on labor safety and health Mr. Phan Dang Tho
and safety management (Project for Capacity Enhancement Deputy Chief Inspector, MOLISA
for Construction Quality Assurance)
Outline of regulations & technical standards on labor safety &
health
Rights & duties of employers and workers
General issues on safety
11:10 – 11:30 Discussion
11:30 – 13:30 Lunch
13:30 – 14:30 System of selection, registration and evaluation of Mr. Hoang Tho Vinh
contractors/consultants Deputy Director General, CAMD,
Improvement of the construction supervisor qualification MOC
system
14:30 – 15:30  Individual safety & health management (Project for Dr. Pham Duc Toan
Capacity Enhancement for Construction Quality Assurance) University of Civil Engineering
 Prevention of danger caused by falling/littering
 Prevention of danger caused by electricity
 Prevention of danger caused by collapse/rolling
 Prevention of danger caused construction vehicles
 Prevention of danger caused by hauling, loading and
unloading
 Prevention of danger caused by tunnel works
 Prevention of danger caused by fire and explosion
 Prevention of danger caused by offshore operation
 Prevention of health disorder
 Prevention of danger to public
15:30 – 15:50
Break Dr. Pham Duc Toan
 Case studies on accidents in construction University of Civil Engineering
 Falling down
 Buried/Crushed by objects
 Collapse/Rolling
 Construction vehicles
 Hauling/Loading and Unloading
 Fire & Explosion
 Health disorder
 Electricity related accidents
 Others
16:50 – 17:00 Closing remarks & awarding certificates Leader of SACQI, MOC
12-30
(2) 2nd Training Course
 Program: The program of the 2nd training course is shown in Table 12.4.5
 Venue: Kim Thơ Hotel – No. 1A Ngo Gia Tu St. - Tan An – Ninh Kieu – Can Tho City
 Participants: Around 90 persons coming from Departments of Construction and

construction companies in and around Can Tho City attended this training course.
Table 12.4.5 Program of the 2nd Training Course to Spread-out the Project’s Outputs
8:30 - 8:50 Opening Head of SACQI, MOC
8:40 - 9:15 Construction project management & quality assurance in Japan Mr. Kato Tsuneo
Team Leader, JICA project team
9:15 – 9:50 Prevention of Public Accidents Mr. Inoue Sadafumi
JICA Expert on construction
management
9:50 –10:10 Break
10:10-10:30  Regulations & Technical standards on labor safety and health Dr. Pham Duc Toan
and safety management University of Civil Engineering
 Outline of regulations & technical standards on labor safety
& health
 Rights & duties of employers and workers
 General issues on safety
10:30-11:30  Individual safety & health management (Project for Capacity Dr. Pham Duc Toan
Enhancement for Construction Quality Assurance) University of Civil Engineering
 Prevention of danger caused by falling/littering
 Prevention of danger caused by electricity
 Prevention of danger caused by collapse/rolling
 Prevention of danger caused construction vehicles
 Prevention of danger caused by hauling, loading and
unloading
 Prevention of danger caused by tunnel works
 Prevention of danger caused by fire and explosion
 Prevention of danger caused by offshore operation
 Prevention of health disorder
 Prevention of danger to public
11:30-13:30 Lunch
13:30-14:15  Case studies on accidents in construction Dr. Pham Duc Toan
 Falling down University of Civil Engineering
 Buried/Crushed by objects
 Collapse/Rolling
 Construction vehicles
 Hauling/Loading and Unloading
 Fire & Explosion
 Health disorder
 Electricity related accidents
 Others
14:15-16:00  Improve project management method and clarify Mr. Le Văn Thinh
responsibilities of stakeholders (Act.1) Head of Inspection Division No.1
 Improve State agencies’ inspection (Act.2 ) - SACQI - MOC
16:00-16:15 Discussion
16:00 Closing remarks and certificate awarding Head of SACQI, MOC
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(3) 3rd Training Course
 Program: The program of the 3rd training course is shown in Table 12.4.6.
 Venue: Vien Dong Hotel – No.275A Pham Ngu Lao St., District 1, HCMC

construction companies in and around Ho Chi Minh City attended this training course.
Table 12.4.6 Program of the 3rd Training Course to Spread-out the Project’s Outputs
8:30 - 8:40 Opening Head of SACQI
8:40 - 9:15 Safety management of construction works in Japan Mr. Nakasuka
Advisor on construction quality
assurance, JICA Project Team
9:15 – 9:50 Contractor/consultant registration system & construction Mr. Yamauchi Masafumi
package database system JICA Expert
9:50 –10:10 Break
10:10– 11:30 Improve project management method and clarify Mr. Le Văn Thinh
Improve State agencies’ inspection (Act.2 ) - SACQI - MOC
11:30 -12:00 Discussion
12:00 – 13:30 Lunch
13:30 – 14:30 Develop project management technologies in construction Mr. Tran Chung
quality assurance (Act.5) Head of Quality Division, VN
Guideline of standardization of technical specifications Federation of Civil Engineering
Association
14:30 –15:00 Regulations & Technical standards on labor safety and health Dr. Pham Duc Toan
and safety management University of Civil Engineering
Outline of regulations & technical standards on labor safety &
health
Rights & duties of employers and workers
General issues on safety
15:00 –15:30 Individual safety & health management (Project for Capacity Dr. Pham Duc Toan
Enhancement for Construction Quality Assurance) University of Civil Engineering
Prevention of danger caused by falling/littering
Prevention of danger caused by electricity
Prevention of danger caused by collapse/rolling
Prevention of danger caused construction vehicles
Prevention of danger caused by hauling, loading and unloading
Prevention of danger caused by tunnel works
Prevention of danger caused by fire and explosion
Prevention of danger caused by offshore operation
Prevention of health disorder
Prevention of danger to public
15:30 -15:45 Case studies on accidents in construction Dr. Pham Duc Toan
Falling down University of Civil Engineering
Buried/Crushed by objects
Collapse/Rolling
Construction vehicles
Hauling/Loading and Unloading
Fire & Explosion
Health disorder
Electricity related accidents
Others
16:00 Closing remarks and certificate awarding Head of SACQI, MOC
12-32
(4) 4th Training Course
 Program: The program of the 4th training course is shown in Table 12.4.7.
 Term: 01 day, 15 December, 2012
 Venue: Bamboo Green Hotel, No. 177, Tran Phu Street, Da Nang City

construction companies in and around Da Nang attended this training course.
Table 12.4.7 Program of the 4th Training Course to Spread-out the Project’s Outputs
8:30 – 8:40 Opening Organizing Committee
8:40 - 9:20 Construction project management & quality assurance in Mr. Kusano Seiichi
Japan JICA Expert
9:20 – 10:00 Introduction on Safety and Health Manual in Construction & Mr. Inoue Sadafumi
Case Studies on Accidents and Near Misses in Construction JICA Expert
(Act. 6)
10:15–10:30 Break
10:30 -11:30 Regulations & Technical standards on labor safety and health Mr. Phan Dang Tho
and safety management Deputy Chief Inspector –
MOLISA
11:30 Discussion
Lunch
13:30 –14:45 Improve State agencies’ inspection (Act.2) Mr. Nguyen Gia Chinh
Deputy Director General – Legal
Affairs Dept. - MOC
14:45-15:30 Consultant registration system (Act.3) Mr. Nguyen Kim Duc
Head of Inspection Division No.2
15:30-16:15 Regulations on verification and State verification in Viet Nam – SACQI – MOC
16:30 Closing remarks and certificate awarding Leader of SACQI, MOC
 Venue: Viet Trung Hotel, No.667 Nguyen Binh Khiem Str., Dong Hai, Hai An, Hai
Phong

construction companies in and around Hai Phong attended this training course.
12-33
Table 12.4.8 Program of the 5th training course to Spread-out the Project’s Outputs
8:30 – 8:40 Opening Organizing Committee
8:40 - 9:20 Safety management of construction works in Japan Mr. Satoshi Nakasuka
JICA Advisor on construction
quality assurance
9:20 – 10:00 Contractor/consultant registration system & Construction Mr. Yoshiro Kunimasa
package database system JICA Expert
10:15–10:30 Break
10:30 -11:30 Develop project management technologies in construction Mr. Tran Chung
quality assurance (Act.5) Head of Quality Division, VN
Guideline of standardization of technical specifications Federation of Civil Engineering
Association
11:30 Discussion
Lunch:
13:30-15:00 Improve project management method and clarify Mr. Le Van Thinh
Improve State agencies’ inspection (Act.2 ) – SACQI – MOC
15:00 – 16:00 Regulations and rules on inspection and state inspection in Mr. Nguyen Kim Duc
Viet Nam Head of Inspection Division No.2
– SACQI - MOC
16:15 Closing remarks and certificate awarding
 Venue: Luxury Hotel, No.24 Tran Phu Street, Nha Trang City, Khanh Hoa Province

construction companies in and around Khanh Hoa Province attended this training course.
8:30 – 8:40 Opening Mr. Le Quang, Deputy Director
General, SACQI, MOC
8:40 - 9:20 Construction project management & quality assurance in Mr. Kato Tsuneo
Japan JICA Project Team Leader
9:20 – 10:00 Contractor/consultant registration system & Construction
package database system
10:15–10:30 Break
10:30–11:30 Improve State agencies’ inspection Mr. Nguyen Gia Chinh
Deputy Director General – Legal
Affairs Dept. - MOC
11:30 Discussion
Lunch
12-34

13:30-14:30 Technical specifications for infrastructure facilities Mr. Tran Chung
Head of Quality Division, VN
Federation of Civil Engineering
Association
14:30 – 15:30 Regulations and rules on inspection and state inspection in Mr. Nguyen Kim Duc
Viet Nam Head of Inspection Division No. ,
SACQI, MOC
16:00 Closing remarks and certificate awarding Mr. Le Quang
Deputy Director General of
SACQI, MOC
 Program: The program of the 7th training course is shown in Table 12.4.10
 Term: 1 day, 25 October, 2013
 Venue: Muong Thanh Hotel, No. 38, Le Loi Street, Hue City, Thua Thien Hue Province

construction companies in and around Thua Thien Hue Province attended this training
course.

8:00 – 8:10 Opening remarks Mr. Le Quang
MOC
8:10-8:20 Speech by DOC of Thua Thien Hue Province Mr. Nguyen Dai Vien
Deputy Director, DOC of Thua
Thien Hue Province
8:20 – 9:10 Capacity Enhancement in Construction Quality Assurance Mr. Kato Tsuneo
JICA Project Team Leader
9:10 – 10:00 Development of Standard Specifications and Manual for Mr. Kusano Seiichi
Construction Quality Assurance JICA Expert
10:00 –10:15 Break
10:15 –11:30 Promulgation of Decree 15/2013/ND-CP dated February 6, Mr. Le Quang
2013 on the quality management of construction works and Deputy Director General, SACQI,
relevant Circulars MOC
Lunch
13:30 -15:30 Promulgation of Decree 15/2013/ND-CP dated February 6, Mr. Le Quang
2013 on the quality management of construction works and Deputy Director General, SACQI,
relevant Circulars (cont.) MOC
16:30 Closing remarks Mr. Le Quang
MOC
12-35
 Program: The program of 8th training course is shown in Table 12.4.11
 Term: 1 day, November 15, 2013
 Venue: My Tra Hotel, Le Duan Street, Cao Lanh City, Dong Thap Province

construction companies in and around Dong Thap Province attended this training course.
Table 12.4.11 Program of the 8 th Training Course to Spread-out the Project’s Outputs
7:30-8:00 Registration Organizing Committee
8:00-8:05 Opening remarks Mr. Le Quang Hung
Director General, SACQI, MOC
8:05-8:10 Speech by DOC of Dong Thap Province Ms. Le Thi Thanh Phuong
Deputy Director, DOC of Dong
Thap Province
8:10-9:10 Regulations on construction work design verification, Mr. Le Quang Hung
appraisal, and approval Director General, SACQI, MOC
9:10-10:10 Capacity Enhancement in Construction Quality Assurance Mr. Kato Tsuneo
10:10-10:30 Break
10:30-11:30 Guideline on Preparation of Construction Work Technical Mr. Kusano Seiichi
Specifications JICA Expert
Lunch
13:30-15:30 Major contents of revised Construction Law Mr. Le Quang
Contractor registration system Deputy Director General, SACQI,
MOC
16:00 Closing remarks SACQI, MOC
(9) 9 th Training Course
 Program: The program of the 9th training course is shown in Table 12.4.12
 Term: 1 day, November 22, 2013
 Venue: Blue Moon Hotel, 4 Phan Boi Chau Street, Da Lat City, Lam Dong Province

construction companies in and around Lam Dong Province attended this training course.
Table 12.4.12 Program of the 9 th Training Course to Spread-out the Project’s Outputs
7:30-8:00 Registration Organizing Committee
8:00-8:05 Opening remarks Mr. Le Quang
MOC
8:05-8:10 Speech by DOC of Lam Dong Province Leader of DOC of Lam Dong
Province
8:10 – 9:20 Major contents of the revision of Construction Law Mr. Le Quang
Contractor registration and performance evaluation system Deputy Director General, SACQI,
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MOC
9:20 – 9:40 Break
Mr. Kato Tsuneo
9:40 – 10:30 Capacity enhancement in construction quality assurance
Draft guideline on the formulation of the maintenance Mr. Tanaka Takuya
10:30 – 11:10
procedure manuals for building facilities JICA Expert
Mr. Le Quang
Regulations on construction work design verification,
11:15 – 12:00 Deputy Director General, SACQI,
appraisal, and approval
MOC
12:30 Closing remarks
12.5 DEVELOPMENT OF POST-PROJECT TRAINING PROGRAMS FOR THE

DISSEMINATION OF PROJECT OUTPUTS
Development of post-project training programs was carried out hereinafter in this section. The
study flowchart is in Figure 12.5.1 shown below. Also; Table 12.5.1 shows the results of this
analysis from STEP-1 to STEP-3.
STEP-1: Identify Project Outputs
STEP-2: Identify Stakeholders (Users)
STEP-3: Identify Stakeholder’s Information Requirements
STEP-4: Develop Training Programs
Figure 12.5.1 Study Flow
12.5.1 Identification of Planning Conditions
(1) Identification of Project Outputs (STEP-1)
There are three types of project outputs; (1) Recommendations, (2) Systems and (3) Manuals,
whose outlines are briefly described as follows;
 Recommendations are the outputs of the studies on institutional capacity enhancement

including Activity-1, Activity-2 and Activity-4. These recommendations produced in the
Project will be incorporated into the revision plan of regulations including Decree 209,
Decree 12, relevant Circulars and Construction Law, so that outputs to be disseminated to
the end users will be the revised regulations.
 Systems include computer software and databases developed in the studies of Activity3.
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 Manuals consist of the outputs of technology development on construction project and

quality management in Activity-5 and Activity-6.
(2) Identification of Stakeholders (STEP-2)
The table has clarified that the stakeholders fall into the following three levels. The
stakeholders are to be targeted in developing action plans for the training courses hereinafter.
1) State management in construction (Level-1)
 State management in construction includes MOC and DOCs that are in charge of
enforcing regulations in construction that do not necessarily turn out to be project
implementation bodies.
 MOC (SACQI, CAMD) and DOCs
2) State authority in implementation (Level-2)
 State authority in construction includes central ministries, ministerial agencies and

provincial-level organizations that are directly involved in the implementation of
construction works, given enforcement of construction regulations.
 Sector management ministries, ministerial agencies, provincial-level departments, project

owners, PMUs
3) End users (Level-3)
 End users include organizations or individuals directly involved in construction projects

in the private sector that represents private consultants and construction companies.
 Consultants and Contractors
(3) Identification of Information Requirements (STEP-3)
In order to implement capacity enhancement plans (project outputs), stakeholders require

different levels of information in consistent with their own purposes. Table 12.5.1
summarizes information requirements by the types of stakeholders, comprising the following
information;
 Information on general guidance for state authorities that need to know outlines;
 Information initially registered by End users (equivalent to registered data by users);
 Information on operation and management of the capacity enhancement plans.
Training programs need to be developed in order to meet the demands of each stakeholder.
12-38
Table 12.5.1 Analysis on Stakeholders and Their Information Requirements
Responsible
STEP-1: Project Outputs STEP-2: Stakeholders STEP-3: Information required by Stakeholders
Organization
Activity 1 & 2: Improve project management methods and clarify responsibilities between stakeholders focusing on construction quality assurance.
Related regulations in the new Decree SACQI DOCs General guidance on the new Decree 209, Decree12, Construction Law and relevant
209, new Decree12, new Construction Sector management ministries Circulars.
Law and relevant new Circulars. Ministerial agencies
Consultants
Contractors
Activity 3: Develop and apply company registration systems for construction companies and consultants.
Activity 3-1-1 CAMD DOCs General guidance on company registration system
Construction Package Information Sector management ministries
System Ministerial agencies
Related regulations in the new Decree CAMD database manager General guidance on company registration system

209, new Decree12, new Construction Operation manual
Law and relevant new Circulars. Data management (web data/ hardcopy/e-mail)
System management (Web-site operation)
Project Owners General guidance on company registration system
Operation manual
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Data input/revision
Web-site data operation
Construction company registration Sector management ministries
system Ministerial agencies
209, new Decree12, new Construction Operation procedures
Law and relevant new Circulars. Data input (Postal & mail data)
Data management (Data verification)
System management (Web-site data management)
Contractors General guidance on company registration system
Operation procedures
Data input
Consultant company registration Sector management ministries
system Ministerial agencies
209, new Decree12, new Construction Operation manual
Law and relevant new Circulars. Data management (web data/ hardcopy/e-mail)
System management (Web-site operation)
Consultants General guidance on company registration system
Operation manual
Responsible
Organization
Data input
Activity 3-2 CAMD DOCs General guidance on company registration system
Contractor work performance Sector management ministries
evaluation system Ministerial agencies
209, new Decree12, new Construction Evaluation manual
Law and relevant new Circulars. Data management
System management
Evaluator (Project Owners, PMUs. General guidance on company registration system
etc.) Evaluation manual
Web-site data input
Data transfer to CAMD
Consultants General guidance on company registration system
Evaluation manual

Web-site data input
Data transfer to CAMD
Activity 4: Improve existing engineer qualification system
Related regulations in the new CAMD DOCs General guidance on new qualification system
12-40
Decree12, Circular 12 and new Sector management ministries

Construction Law CAMD (Examination Centre) General guidance on new qualification system
Planning of examinations
Implementation methods of examinations
Scoring methods of examinations
Coordination with examination implementation bodies and training centers
Engineer registration and database management
Training centres General guidance on new qualification system
Possible training programs
Construction companies General guidance on new qualification system
Consultants Application procedures
Activity 5: Develop project management technologies in construction quality assurance
Related regulations in the new Decree SACQI DOCs General guidance on new qualification system
209, new Decree12, new Construction Sector management ministries
Law and relevant new Circulars. Ministerial agencies
Building facility maintenance Consultants General guidance on maintenance procedure manual
procedure manual Building facility maintenance procedure manual
Activity 6: Strengthen of Road Maintenance Institutions
Responsible
Organization
Safety and health Manual in CAMD DOCs General guidance on new qualification system
Construction Sector management ministries Safety and health manual in construction
Case Studies on Accidents and Near Ministerial agencies Case studies on accidents and near misses in construction
Misses in Construction Construction companies
Related regulations in the new Decree Consultants
209, new Decree12, new Construction
Law and relevant new Circulars.

12-41
12.5.2 Development of Training Programs
Figure 12.5.2 and Table 12.5.2 summaries the training courses recommended in this Project.
The training programs are featured by the following points;
(1) Training Objectives
Training objective is to meet information requirements on the capacity enhancement plans

needed for stakeholders, ranging from state authorities, management and operation
organizations to End users, and to let them fully understand the plans for the smooth
implementation of the plans. With these objectives, of importance in developing training
programs is to disseminate information to End users.
(2) Apply Phased Programs
As there are many types of stakeholders expected to be involved ranging from state
authorities to End users, applying phased training programs is recommended as follows;
1) PHASE-1
In the PHASE-1, as seen in Figure 12.5.2, SACQI and CAMD of MOC, these are the
organizations in charge of developing capacity enhancement plans, will conduct training
programs to (1) State authorities and ministerial agencies, (2) MOC training centers, and (3)
Associations which are the representative organization of private-sectors. MOC training
centers including academy and CQM are requested to get involved in these training programs.
2) PHASE-2
In the PHASE-2, MOC academy is proposed to provide training programs for institutional
issues to project owners and PMUs, while CQM is to provide those on technical issues to
CICs, RTCs, contractors and consultants. CQM is proposed to provide training programs on
the Activity-3 relevant technologies including contractor/consultant registration, project
package information database and contractor performance evaluation system, in particular
those on data registration and system operation. In addition, CQM is also proposed to provide
training programs on Labor safety and Hygiene during construction works in conjunction with
Activity-6 outputs.
With these measures, SACQI and CAMD of MOC can reduce workloads of providing
training programs and disseminate information to End users.
12-42
Organizations in charge of developing capacity

enhancement plans
(SACQI/CAMD.)
PHASE-1
State Authorities/ MOC Training Center Associations

Ministerial Agencies (Academy/CQM) (VFCEA etc.)
(*1)
PHASE-2
Project Owners/ Contractors/
PMUs/CICs/RTCs Consultants
Note: (*1): CQM also provides technical training to contractors and consultants.
Figure 12.5.2 Phased Training Programs
(3) Training Program Styles and Timings
As shown in Table 12.5.2, there are mainly two types of training programs; (1) Seminars or
workshops and (2) Regular training courses as seen in Training Style in the tables. The former
trainings are those for PHASE-1 programs, while the latter for PHASE-2 programs. In order
to disseminate information to End users, it is critically important to share responsibilities with
professional training organizations in MOC.
In order to cope with the frequent change in staff assignment for Project Owners (POs) and
PMUs, regular training programs which are held once or twice a year need to be implemented.
(4) Collaboration with External Organizations
In general, stakeholders would increase as cascades come near to End users, in particular
contractors and consultants. However, it is critically important to let them fully understand
capacity enhancement plans for successful implementation. With this purpose, collaboration
with associations like VFCEA which are the representative organizations of private
construction sectors is indispensable.
12-43
Table 12.5.2 Training Programs for the Project Output Dissemination
PHASE-1 PHASE-2
Products: Current Remarks

Activity
Implementer
Implementer
Training
Targeted Situation Organizer Style Timing and (Other
contents in (As of Sep in Charge Trainees/ Training Trainees/ Training frequency dissemination
Participants components Participants components (Products)
Particular 2012) measures)
Act-1/2 Recommendations New Decree SACQI SACQI  Ministries  Information SACQI  POs  Information Seminar One time right MOC Website,
are integrated into 15 come into  DOCs dissemination (or Training  PMUs dissemination Workshop after MOC magazines
Decree209 effect on April  Any agencies centers) Training promulgation
15, 2013 other than courses
Ministries and
DOCs
SACQI  Associations  Information Association  Construction  Information
of construction dissemination (VFCEA, etc.) companies dissemination

sector  Consultants
(VFCEA etc.)
Recommendations Discussion on CAMD CAMD  Ministries  Information CAMD  POs  Information Seminar One time right MOC Website
are integrated into the revision  DOCs dissemination (or Training  PMUs dissemination Workshop after MOC magazines
Decree12 plan is now  Any agencies centers) Training promulgation
12-44
underway. other than courses

Ministries and
DOCs
CAMD  Associations  Information Association  Construction  Information
of construction dissemination (VFCEA, etc.) companies dissemination
(VFCEA, etc.)
Recommendations Discussion on CAMD CAMD  Ministries  Information CAMD  POs  Information Seminar One time right MOC Website
are integrated into the revision is  DOCs dissemination  PMUs dissemination Workshop after MOC magazines
Construction Law now underway  Any agencies Training promulgation
other than courses
Ministries and
DOCs
CAMD  Associations  Information Association  Construction  Information
of construction dissemination VFCEA, etc.) companies dissemination
(VFCEA, etc.)
Act Construction Under CAMD  Ministries  Overall guidance Seminar Once a year Manuals need to
3-1-1 package development  DOCs  New circulars Workshop be downloaded
information system  Any agencies from website.
other than
Ministries and
DOCs
CAMD  Project  Overall Regular Twice a year
PHASE-1 PHASE-2

Activity
Implementer
Implementer
Targeted Situation Organizer Training Timing and (Other
contents in (As of Sep in Charge Trainees/ Training Trainees/ Training Style frequency dissemination
Particular 2012) Participants components Participants components (Products) measures)
(or Training Owners guidance training

centers)  New circulars courses
 Data input
 Data revision
 Data
management
 (Web data/
Hardcopy/ e-
mail)
CAMD  CAMD  Overall guidance On-the-job On request
Database  New circulars Training

Manager  Data input
 Data revision
 Data management
 (Web data/
Hardcopy/ e-
12-45
mail)
Act 3- Construction Under CAMD CAMD  Ministries  Overall guidance Seminar Once a year Manuals need to
1-2 company development  DOCs  New circulars Workshops be downloaded
registration system  Any agencies from website.
other than
Ministries and
DOCs
CAMD  Associations  Overall guidance Association  Contractors  Overall Workshops Once a year
of construction  New circulars (VFCEA etc.) guidance Training
sector  Data input CQM  New circulars courses
(VFCEA, etc.)  Supporting data  Data input
(Note)  Supporting
 System operation data (Note)
 System
operation
manager (If  Data input
needed)  Supporting data
(Note)
 Data verification
 System operation
Act 3- Consultant Under CAMD CAMD  Ministries  Overall guidance Seminar Once a year Manuals need to
1-3 registration system development  DOCs  New circulars Workshops be downloaded
 Any agencies from website.
PHASE-1 PHASE-2

Activity
Implementer
Implementer
other than
Ministries and
DOCs
CAMD  Associations  Overall guidance  Association  Consultants  Overall Seminar Once a year
of construction  New circulars (VFCEA etc.) guidance Workshop
sector  Data input  CQM  New circulars
(VFCEA, etc.)  Supporting data  Data input
(Note)  Supporting
 System operation data (Note)
 System
operation

manager (If  Data input
needed)  Supporting data
(Note)
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 Data verification
Act 3-2 Contractor Under CAMD CAMD  Ministries  Overall guidance Seminar One a year Manuals need to
performance development  DOCs  New circulars Workshop be downloaded
evaluation system  Any agencies from website.
other than
Ministries and
DOCs
CAMD  Project  Overall Regular twice a year
(Training Owners guidance training
centers)  Evaluators  New circulars courses
 PMUs  Evaluation
methods
 System
operation
 Data transfer
to CAMD
CAMD  Associations  Overall guidance Association  Consultants  Overall Seminar Twice a year
of construction  New circulars (VFCEA etc.) guidance Workshop
sector  Evaluation CQM  New circulars
(VFCEA, etc.) methods  Evaluation
methods
Manager  Evaluation
PHASE-1 PHASE-2

Activity
Implementer
Implementer
methods
 Database
management
Act-4 Decree 12 Under CAMD CAMD  Ministries  Guidance on new Workshop Once after the MOC Website
Circular 12 discussion Examination  DOCs qualifications and enforcement of MOC magazines
Others Center regulations regulation
 Implementation
of exams
CAMD  Associations  Information Association  Construction  Information Workshop Once after the
Examination of construction dissemination (VFCEA, etc.) companies dissemination enforcement of

Center sector  Consultants regulation
(VFCEA, etc.)
CAMD  Existing  Information Workshop Once after the
Examination training dissemination enforcement of
Center Centers regulation
12-47
CAMD  Examination  Guidance on new Workshop Once after the

Center qualifications and enforcement of
 (MOC) regulations regulation
 Planning of
exams
 Implementation
of exams
 Scoring of exams.
 Engineer
registration and
database
management
Act-5 Related regulations Under SACQI SACQI  Ministry level  Information Support
(Decree209, discussion  DOCs dissemination subject of
Decree12,  PMUs Seminars
Construction Law,
Circulars) SACQI SACQI  Project  Construction Regular Twice a year
Building facility (Training Owners safety Training
maintenance centers)  PMUs courses
procedure manual.  Contractors
 Consultants
SACQI  Associations  Information Association  Construction  Information Seminar Once a year
of construction dissemination (VFCEA, etc.) companies dissemination Workshop
sector CQM  Consultants
(VFCEA etc.)
PHASE-1 PHASE-2

Activity
Implementer
Implementer
Act-6.  Safety and Printing is CAMD CAMD  Ministries  Information Seminar Once a year Manuals need to
Health Manual completed  DOCs dissemination Workshop be downloaded
 Case studies on Agencies other from MOC
accident and than Ministries website.
near-miss and DOCs
handbook CAMD  Project  Construction Regular Twice a year
(Training Owners safety Training
centers)  PMUs courses
 Contractors
 Consultants
CAMD  Associations  Information Association  Construction  Information Seminar Once a year

of construction dissemination (VFCEA, etc.) companies dissemination Workshop
sector CQM  Consultants
(VFCEA etc.)
12-48
(5) Enhancement of CQM Training Functions
Following the training programs stated in the previous section, CQM is now proposed to play
an important role in providing technical training programs to stakeholders. As already shown,
outputs of this Project consists of recommendations in the form of regulations, computer
software systems and databases and technical manuals.
In order to ensure successful implementation of capacity enhancement plans produced in this

Project, training programs should cover not only regulations, but also technical issues of the
outputs. CQM is deemed a sole organization in MOC which can meet the demand of providing
technical training programs not only to state authorities, but to private sectors. It is necessary
to reinforce training functions and make it further contribute to enhancing capacity in
construction project management and work quality management.
Thus, following trainings at Phase 1, CQM is recommended to provide technical trainings in

timely manner to meet the progress of project development. Following show outline of each
training. Table 12.5.3 shows project outputs which may need technical training programs for
stakeholders.
1) Technical Training on Activity3
According to the development schedule of activities, technical trainings are to be provided.
 Activity 3-1-2/3-1-3: Construction Company / Consultant Registration System (CRG)
Technical training is required for construction company and consultant to understand the new
system and to develop competent capacity to register. It is preferable to be implemented in
computer based classroom training, however, due to number of stakeholder to be addressed, it
is advised to be implemented in Workshop / Seminar.
 Activity3-2: Contactor Performance Evaluation System
Technical training is also required for construction companies and consultant aiming them to
fully understand the new performance evaluation system. According to the prioritized target
projects for evaluation in phases by project grades, target trainees (contractor and consultant)
is also required to be prioritized accordingly.
2) Technical Training on Activity 5: Building Facility Maintenance Procedure Manual
Building Facility Maintenance Procedure Manual is under process of development during the
project. It is recommended to hold Workshop/Seminar to inform the current progress of work
and discuss with relevant stakeholders for further improvements and enforcement.
12-49
3) Technical Training on Activity 6 : Safety Manual
“Safety and Health manual in Construction ” and “ Case Study Handbook on Labor accident
and Near- Miss Incidents” are prepared and disseminate during the project. CQM is advised
to hold Workshop/Seminar to disseminate information to raise aware of labor safety and
health in construction to contractors and consultants who actually involved in site works.
Table 12.5.3 Requirements of Technical Training

Organizer Training Stakeholders
Activity Project Outputs Training components
in Charge Organizers (Trainees)
Construction CAMD Association Contractors  Overall guidance
company (VFCEA etc.)  New circulars
Act 3-1-2 registration system CQM  Data input
 Supporting data (Note)
Consultant CAMD Association Consultants  Overall guidance
registration system (VFCEA etc.)  New circulars
Act 3-1-3 CQM  Data input
 Supporting data (Note)
Contractor CAMD Association Consultants  Overall guidance
Act 3-2 performance (VFCEA etc.)  New circulars
evaluation system CQM  Evaluation methods
Building facility SACQI Association Consultants  Information dissemination
Act-5 maintenance (VFCEA etc.)
procedure manual. CQM
Safety Manual CAMD Association Contractors  Information dissemination
Act-6. Near-miss cases (VFCEA etc.) Consultants
CQM
12.6 RECOMMENDATION ON HUMAN CAPACITY DEVELOPMENT ON

CONSTRUCTION PROJECT MANAGEMENT FOR REGIONAL GOVERNMENT
12.6.1 Human Capacity Development on Construction Project Management for regional

government in Japan
(1) Characteristics of Human Capacity Development on Construction Management for

Regional Government in Japan
 Training center for staff and official of regional authorities as well as private companies
involved in infrastructure development are established and provided regular intensive
training relevant to managing field of MLIT.
 MLIT College providing regular intensive official training for capacity development of
staff and officials of MLIT, also offers trainings to staff and officials of regional
authorities and agencies.
12-50
(2) Japan Construction Training Centre (JCTC)
1) Background
The Japan Construction Training Center (JCTC), a public foundation, was founded with
financial support from National Governor’s Association in 1962 with an objective of
strengthening management capacity of regional government officers in infrastructure
construction, operation and maintenance. In 1983, JCTC strengthened its functions, upon
receiving request from Japan Association of City Mayor and National Association of Towns
and Villages. It’s been 50 years since its establishment and about 180 thousand of people have
participated in its training programs.
2) Objectives
To enhance capacity of regional government staff and private company staff who are involved
in infrastructure development.
3) Participants
- Central government staff (G)
- Regional government staff (G)
- Ministerial agency/public corporation staff (G)
- Private-company staff (P)
- Membership (M)
4) Type of Program offered
 Training courses:
- Public Official training: targeting National / local governments, foundations
- General Training: targeting officials as well as private companies
- Special training: Training target are limited.
 Qualification exams
 Statutory Project Supervisor Training
a. Training courses
12 training programs of total of about 91courses.in 2013 as shown in Table 12.6.1
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Table 12.6.1 Training courses in 2013

Trainees
No. Training field Training Courses
G G&P M
1) Business management 1 Public works tendering system X
2 Comprehensive evaluation tendering X
3 Prevention of legal conflict in construction X
4 Asset management X
5 PPP/PFI X
6 Lessons learnt from Audit Board inspection X
7 GIS X
8 Presentation skill in construction X
2) Project supervision 1 Cost estimate for public works X
2 Construction work supervisor X
3 Construction work quality control and inspection X
4 Exercise on construction work implementation plan X
5 Construction work supervision X
6 Concrete work supervision X
7 Maintenance and repair of concrete structures X
8 Construction technologies for young engineer (Base X
course)
9 Labor safety management during construction X
10 Temporary works X
11 Points of public works – Planning and design X
12 Points of public works – Construction work, X
supervision and inspection
3) Soil & geology 1 Geological survey X
2 Geological design X
3 Measures against soil pollution X
4) Disaster prevention 1 Disaster restoration X
2 Countermeasures right after large disasters X
3 Flood control X
4 Earthquake resistant design X
5 Slope protection X
6 Measures against land slides X
5) Tunnel 1 NATM construction technology X
6) Land & right-of-way 1 Basics on Land X
acquisition 2 Land Administration (Compensation) X
3 Land Administration (land) X
4 Land Compensation for Professionals X
5 Land investigator X
6 Legislation relevant to land X
7 Land for Professionals X
8 Land Negotiation X
9 Property Evaluation and land price survey X
7) River and dam 1 Dam Management for managers X
2 River Structural Engineering Design X
3 River Development planning and evaluation X
4 Good practice on River side development X
5 Dam Management X
6 Dam Construction Engineer X
7 Comprehensive Dam Engineering X
8 Practice on Dam Operation X
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Trainees
No. Training field Training Courses
G G&P M
9 Chief Dam Management Engineers (lecture /Practice) X
10 Dam Management Engineers(Practice) X
8) Erosion control 1 Planning and design of Erosion Control X
2 Prevention of Erosion disaster
9) Roads 1 Road administration – General X
2 Road administration – Recent policy X
3 Road planning – Exercise X
4 City/town/village roads X
5 Traffic safety measures for City/town/village roads X
6 Road pavement technologies X
7 Road technologies – Special technologies X
10) Bridges 1 Bridge design X
2 Bridge design and construction technology X
3 PC bridge technology X
4 New technology and construction of PC bridges X
5 Bridge maintenance repair X
11) Urban planning 1 Development Permission X
2 Development Permission for Professionals X
3 Urban Planning X
4 Urban Regeneration X
5 Land Readjustment X
6 Housing development technical training X
7 Streetscape X
8 Transport and town planning X
9 Park and Urban green space X
10 Swage system X
11 Swage system management X
12 Landscape planning X
13 Public involvement in town planning X
12) Building facilities 1 Building Standards Act X
2 Quantity survey on public buildings X
3 Quantity survey on public building facility (electricity) X
4 Building Environment X
5 Building Design X
6 Building RC Structure X
7 Design and Construction of Timber framed building X
8 Anti-earthquake technology for building X
9 Building Renewal X
10 Building facility ( Electricity) X
11 Building facility ( Ventilation) X
12 Building Construction Management X
13 Building Construction Supervision X
14 Building maintenance and management X
15 Practice on Building confirmation X
(Note) G: Government staff

P: Private company staff
M: Membership
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b. Examination for licensing qualification
As the accredited training institution by MLIT, JCTC also offers examination of following
three (3) licenses and one (1) certificate stipulated under Construction Industry Act and Land
Readjustment Act, once a year at main regions.
 Civil work construction management engineers
 Piping construction management engineers
 Landscape work construction management engineers, and
 Land use and construction management engineer
c. Statutory training for Project supervisor
Construction industry Act stipulate that engineers who manage construction site requires
sufficient skill and knowledge. Especially for the project over certain size is stipulated to
assign “Construction Supervisor” who have expertise knowledge and skill. With this regards,
the Act stipulate that the supervisor to take training under the accredit training institution. This
Centre offer this stipulated training for “Construction Supervisor”. Training is 1 day training
offered at main regions
1) Training fees
Trainees have to pay trainees fee to JCTC including training, venue, accommodation and
meals. Local officials can apply subsides for training fee from Municipal Development
Corporation.
12.6.2 Recommendations for Human Capacity Development on Construction Project

Management for Regional Government
(1) Rising Needs of Training
Since the year 2000, the Vietnamese Government has accelerated the decentralization policy
of some of the government functions from central ministries to the Provincial-level People’s
Committees (hereinafter to be referred as PPC). With this policy, responsibilities given to PPC
are gradually expanding in particularly in infrastructure development sector, so capacity
enhancement of PPC staff is now becoming an important factor in the sector.
In addition, study on the capacity enhancement in construction quality assurance is now

underway through JICA Project for the project for capacity enhancement in construction
quality assurance. Upon completion of the Project, MOC is encouraged to disseminate
information on the Project products to nationwide and Provincial-level People’s Committees
currently in charge of national road maintenance and operation in the regions.
12-54
(2) Planning of Training Program
In the Japanese practices described above, training programs specialized for regional
government staff including government agency and private company staff. are developed by
Japan Construction Training Center (JCTC), a public foundation approved by MLIT.
Referring this practice to the current situation of Vietnam, the project team formulated draft
training plans as shown in Table 12.6.2
MOC is recommended to initiate development of training program specialized for training of

staff and officials of Provincial, District and Commune level People’s Committees, and private
companies in regions focused on infrastructure construction project management and
maintenance These trainings are provided at Training Centre established for this purpose, or
utilizing existing training centers approved by MOCs as listed in Table 12.6.3. MOC is
proposed to discuss the plan with PPCs for approval, so that Training Centre is developed and
managed with funds of PPCs and tuition fees under the supervision of MOC.
12-55
Table 12.6.2 Planning of Training Programs for Provincial-level People’s Committees
Plans Classification and Participants Focuses of Training Programs Main Topics Training Implementation Consensus and Finance
Body
Practice in  Training on infrastructure  Business management  Training programs for  Japan Construction  Based on consensus of
Japan construction and maintenance  Project supervision infrastructure administration and Training Centre prefecture governors
management  Soil and geology management. (Prefecture-level training is  Financial support (Capital
 Disaster prevention integrated into one center) investment) from prefectures
 Regional Government staff  Roads/Tunnel/Bridges  Training fees from participants
(Prefectures, cities/towns/  River and dam
villages) and Private company  Erosion control
staff  Urban planning
 Building facility
 Land/ right-of-way acquisition
MOC-level Training on infrastructure  Legal frame (Regulations)  Business management  Foundation of integrated  Consensus of the Heads of
plan construction management and  Housing infra. Management  Project supervision training centre for ministry PPCs

maintenance for  Transport infra. Management  Soil & geology level (Hanoi), or  Capital investment from PPCs
DOC/DOT/DOA/DOI staff in  Irrigation infra. Management  Disaster prevention  Training centers (Housing/ for training facilities
Provincial, District and Commune  Industrial infra. Management  Tunnel Transportation/ Industry /  Training fees from participants
People’s Committees, private  Technical infra. Management  Land & right-of-way acquisition Irrigation/ Urban
12-56
companies.  River and dam infrastructure sector)

 Erosion control
 Roads
 Bridges
 Urban planning
 Building facilities
(Note)
Refer JCTC training course (Table 1) for further detail of training on infrastructure construction management and maintenance.
Table 12.6.3 Training Center Approved by MOC (As of March 2013)
Management
No. Name Building Industrial Infrastructure Transport Irrigation Hydropower
Unit
1 Institute for Building Science and technology MOC X X X X X X
2 Academy of managers for construction and cities MOC X X X X X X
3 University of Architecture Ho Chi Minh City MOC X X X
4 College of Construction No.3 MOC X X X
5 University of Architecture Ha Noi MOC X X X X X X
6 Ha Noi Institute for research, education and training to official staff Company X X X X X X
7 Institute for research, training and development management skill Company X X X X X X
8 Apave Vietnam and Southeast Asian Ltd. X X X

9 University of Construction MOET X X X X X X
10 University of Transport and Communication MOET X
11 Ho Chi Minh City Open University MOET X X X X X X
12 University of Technology - Ho Chi Minh City National University NUHCM X X X X
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13 Lac Hong University MOET X X X

14 Institute of Transport Science and technology MOT X
15 Vietnam Center for Technology of Construction Quality Management – CQM MOC X X X X X X
16 Management Consultant Development and Training JSC. Company X X X X X X
17 Centre for applied information technology in construction - Vietnam federation of civil
Society X X X X X X
engineering association
18 Institute for open training and research development - Binh Duong university MOET X X X
19 Construction price JSC. Company X X X X X X
20 Tender consultant training and business development JSC. Company X X X X X X
21 Economic management training and research JSC. Company X X X X X X
22 Institute for Southeast Asian Resource research and development JSC. Company X X X X X X
23 Institute of construction economics sciences - Vietnam union of science and
Society X X X X X X
technology association
24 Vietnam Institute of Architecture, Urban and Rural Planning MOC X X X X X X
25 College of transport MOT X
26 College of Construction and Industrial MOI X X X X X X
27 Vietnam Education JSC. Company X X X X X X
Management
No. Name Building Industrial Infrastructure Transport Irrigation Hydropower
Unit
28 Centre for Science training and construction technology transfer -Vietnam federation of
Society X X X X X X
civil engineering association
29 Vietnam Construction consultant association Society X X X X X X
30 University of Transport Ho Chi Minh City MOT X X X X
31 Song Da Kinh Bac JSC. Company X X X X X X
32 Phuong Nam Training and Real estate assessment Company X X X X X X
33 Management training and international cooperation JSC. Company X X X X X X
34 University of Transport technology MOT X X X X X
35 Centre for Training and Information- Institute of Transport Science and technology MOT X X X X X
36 Centre for Science technology and Investment consultant -University of technology Da
MOET X X X X X X
Nang
37 College of Construction Nam Dinh MOC X X X X

38 Business administration School - Vietnam National Coal - Mineral Industries Group Society X X X X X X
39 Institute for Research and human resource management consultant - Human resource,
Society X X X X X X
talented person development technology association
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40 Institute for Direction and business administration technology - Ho Chi Minh City
Society X X X X X X
Business association
41 Centre University of Construction MOC
X X X X X X
42 Water Resources University MARD
41 Centre University of Construction MOC
X X X
42 Water Resources University MARD
43 College of Construction No.1 MOC X X X
44 Mien Tay Construction University MOC X X X X
45 Sub-Institute of Transport Science and technology in the southern Vietnam - Institute
MOT X
of Transport Science and technology
46 Ha Noi Training and Investment Consultant JSC. Company X X X X X X
47 College of Urban construction work MOC X X X X X X
48 Institute for International Development - Vietnam Southeast Asian Science Studies
Society X X X X X X
Association
49 Institute for training and management development - Branch of Davilaw intellectual
Company X X X X X X
property JSC.
50 Centre for Research and Development Construction Technology - Au Lac Investment
Company X X X X X X
and Construction JSC.
(Source) MOC Homepage http://www/moc.gov.vn
CHAPTER 13 COUNTERPART TRAINING IN JAPAN, VIETNAM-

JAPAN SEMINAR AND EQUIPMENT & MACHINERY
SUPPLY
13.1 C/P TRAINING IN JAPAN
In Total of 50 officials, which are 11 officials in the first year (2010) and the second year
(2011), and 12 officials in the third year (2012) and 16 officials in the fourth year (2013) are
participated in the counterpart training in Japan. Among all participants to 26 officials are
fully funded by JICA and 24 officials are partially funded by JICA and DOC/MOC.
The details of the training are as follows:
(1) Training in 2010
1) Training Program
Program of C/P Training in 2010 is shown in Table 13.1.1 .The training is conducted from
November 28th to December 11th , 2010 and 11 participants are trained.
Table 13.1.1 Program of C/P Training for Construction Quality Assurance

DATE CONTENT PLACE
28-Nov Sun Arrival Japan (Hanoi - Narita)
29-Nov Mon Briefing / Orientation JICA Tokyo
【Lecture】 Katahira & Engineers
Introduction of construction quality assurance in Japan International
30-Nov Tue 【Lecture】 Ministry of Land,
System of Quality Control in Japan Infrastructure and
- Legal system for quality control and safety management Transportation (MLIT)
according to the Japanese experience
- Responsibility and ethical practice of project owner and
contractor
【Lecture】 MLIT
Management for information of Contractor and Evaluation
- Registration and Evaluation of contractor (business
evaluation, technical capacity evaluation)
- Exclusion of defective contractor and inadequate contractor,
Sanction
1-Dec Wed 【Site Visit】 - Urban Highway (Shield Tunnel) Tokyo
2-Dec Thu 【Lecture】 JACIC (Japan Construction
CORINS(Construction Records Information Service) and Information Center)
TECRIS(Technical Consulting Records Information Service)
(Move to Kobe)
3-Dec Fri 【Site Visit】 Kobe
/ Akashi Kaikyou Bridge (Long span Bridge)
(Return to Tokyo)
4-Dec Sat Day-off
5-Dec Sun Day-off
6-Dec Mon 【Lecture】 Kanto Regional Development
13-1
DATE CONTENT PLACE

Management and Inspection at Construction Site Bureau, MLIT
- Management method of project owner
(organization, quality, safety, modifying design)
- Efficient inspection
(simplifying inspection items and documents)
【Site Visit】National Road Bridge
7-Dec Tue 【Lecture】 Kanto Regional Development
Management and Inspection at Construction Site Bureau, MLIT
- Inspection and evaluation of construction works
(inspection criteria, method, evaluation, award system)
- Application of Sanction
【Site Visit】 Pilling, Box Culvert etc.
8-Dec Wed 【Site Visit】 Tsukuba
- National Institute for Land and Infrastructure Management
- Public Works Research Institute
9-Dec Thu 【Lecture】 JCSHA(Japan Construction
Safety Management at Construction Site Safety and Health
Association)
【Site Visit】High-rise Building, Urban Development Urban Renaissance Agency
10-Dec Fri Discussion & Evaluation JICA Tokyo
11-Dec Sat Leave Japan (Narita - Hanoi)
2) Training Participants:
(1) Nhu Nguyen Hong Cuong, Deputy Director, Viet Nam Center for Technology
Construction Quality Management, SACQI, Ministry of Construction (MOC)
(2) Nguyen Minh Truong, Senior Official, Division of Construction Quality Inspection No.2,
SACQI, MOC
(3) Nguyen Trong Thai, Official, Division of Construction Quality Inspection No.1, SACQI,
MOC
(4) Ha Ngoc Hong, Deputy Director, Hanoi City Department of Construction Directorate, Ha
Noi DOC
(5) Ngo Tinh Tuy, Chief of the Authority, SACQI, MOC
(6) Nguyen Huy Quang, Director, Consultant & Inspection JSC of Construction Technology
& Equipment (CONINCO)
(7) Le Cong Khanh, Deputy Director, Center of Construction Quality Inspection- Dak Lak
Department of Construction
(8) Nguyen Le Thi, Manager, Technical Inspection Department No.6, Quality Assurance &
Testing Center
(9) Vu Quoc Khiem, Department Chief, Management and Economy Construction, Centre for
Quality Verification and Economy
(10) Ta Chi Nhan, Director, Center for Construction Verification and Planning, Can Tho
City's Department of Construction
13-2
(11) Pham Anh Tuan, Vice Director General, Sai Gon Construction Quality Control
1) Training Program
Program of C/P Training in 2011 is shown in Table 13.1.2. The training is conducted from
November 28th to December 9th, 2011and 12 officials are participated.
DATE CONTENT PLACE

28-Nov Mon Arrival Japan (Hanoi - Narita)
29-Nov Tue Briefing / Orientation JICA Tokyo
【Lecture】 KEI
- Introduction of Construction Quality Assurance in Japan
30-Nov Wed 【Lecture】 Ministry of Land,
- Registration System of Construction Contractors in Japan Infrastructure and
- Bidding System of Public Construction Works for Transportation (MLIT)
Construction Quality Assurance
【Lecture】 MLIT
- Management of Construction Quality Assurance in Japan
(System, Regulation, Current Problems & Countermeasures )
- Construction Quality Assurance System for Buildings
1-Dec Thu 【Visit of Construction Site】 Tokyo
- High-rise building for office and residence
【Visit of Construction Site】 Tokyo Bay Area
- Skyscraper for residence at Tokyo Urban Redevelopment
Area
【Lecture】 JACIC (Japan Construction
- CORINS (Construction Records Information Service) and Information Center)
TECRIS (Technical Consulting Records Information Service)
2-Dec Fri 【Lecture】 JCSHA (Japan Construction
- Safety Management at Construction Site Safety and Health
Association)
【Visit of Construction Site】 Chiba Pref.
- Tokyo Ring Road
3-Dec Sat Day-off
4-Dec Sun Day-off
5-Dec Mon 【Lecture】 Kanto Regional Bureau,
- Management and Inspection at Construction Site MLIT
- Evaluation of Construction Works
(Technical inspection and Performance evaluation)
【Lecture】
- Construction Quality Management Method for Project Owner
(Implementation Structure, Process, Quality, Safety)
6-Dec Tue 【Visit of Construction Site】 Tokyo
- Tokyo Gate Bridge
【Visit of Construction Site】 Tokyo
- Urban Shield Tunnel for Tokyo Metropolitan Expressway
13-3
DATE CONTENT PLACE

7-Dec Wed 【Lecture】 Tsukuba
- Role of Research Institution
- Non-Destructive Testing
【Site Visit】
- Experiment Facilities of Research Institution for Civil works
and Buildings
8-Dec Thu Discussion & Evaluation of Training JICA Tokyo
9-Dec Fri Leave Japan (Narita - Hanoi)
(1) Mr Le Van Thinh - Head of Division- Construction Quality Inspection No. 1 – State
Authority for Construction Quality Inspection, MOC
(2) Mr Nguyen Hong Linh - Secretary, Co-coordinator, Project Management Unit, State
Authority for Construction Quality Inspection, MOC
(3) Mr Nguyen Viet Son- Head of General Affair & Planning - Vietnam Center for
Technology of Construction Quality Management (CQM)-State Authority for
Construction Quality Inspection, MOC
(4) Mr Tran To Nghi - Deputy General Director- Authority for Works Construction
Management –Ministry of Agriculture and Rural Development. (MARD)
(5) Mr Duong Ngoc Thanh - Vice Head of Construction Quality Management- Ho Chi Minh
City Department of Construction
(6) Mr Nguyen Van Do - Director, Bac Giang Province Construction Inspection Center
(7) Mr Hoang Quang Dat - Director, Lao Cai Province Construction Inspection Center
(8) Mr Dinh Khac Tiep- Director, Nam Dinh Province Construction Inspection Center
(9) Mr Pham Huu Duy- Director, Quang Binh Province Construction Inspection Center
(10) Mr Giang Quoc Doanh - Director, Ba Ria-Vung Tau Province Construction Inspection
Center
(11) Mr Tran Tien De - Deputy General Director, Sai Gon Construction Quality Control
Joint Stock Company.
1) Training Program
Program of C/P Training in 2012 is shown in Table 13.1.3 . The training is conducted from
November 12th to November 23rd , 2012 and 12 officials are participated.
13-4
DATE CONTENT PLACE

12-Nov Mon Arrival Japan (Hanoi - Narita)
13-Nov Tue Briefing / Orientation JICA Tokyo
【Lecture】 KEI (Project)
- Introduction of Construction Quality Assurance in Japan
14-Nov Wed 【Lecture】 Ministry of Land,
- Registration System of Construction Contractors in Japan Infrastructure,
- Bidding System of Public Construction Works for Construction Transportation and
Quality Assurance Tourism (MLIT)
【Lecture】
- Management of Construction Quality Assurance in Japan
(System, Regulation, Current Problems &
Countermeasures )
- Construction Quality Assurance System for Buildings
15-Nov Thu 【Visit of Construction Site】 Tokyo or Yokohama
- Urban Shield Tunnel for Tokyo Metropolitan Expressway
【Lecture】 JACIC (Japan
- CORINS (Construction Records Information Service) Construction
- TECRIS (Technical Consulting Records Information Service) Information Center)
16-Nov Fri 【Visit of Construction Site】 Skyscraper Tokyo
【Lecture】 JCSHA (Japan
- Safety Management at Construction Site Construction Safety and
Health Association)
17-Nov Sat Day-off
18-Nov Sun Day-off
19-Nov Mon 【Lecture】 Kanto Regional Bureau,
- Management and Inspection at Construction Site MLIT
- Evaluation of Construction Works
- Construction Quality Management Method for Project Owner
【Visit of Construction Site】 Public Construction Works
20-Nov Tue 【Visit of Construction Site】
21-Nov Wed 【Lecture】 Tsukuba
- Role of Research Institution
- Non-Destructive Testing
【Site Visit】
- Experiment Facilities of Research Institution for Civil works and
Buildings
22-Nov Thu Discussion & Evaluation JICA Tokyo
23-Nov Fri Leave Japan (Narita - Hanoi)
(1) Mr. Le Quang, Deputy Director General, State Authority for Construction Quality
Assurance (SACQI), MOC
(2) Mr. Vu Quoc Anh, Deputy Head, Inspection Division No.1, SACQI, MOC
(3) Ms. Tran Thu Dung, Accountant, National Acceptance Council, PMU, SACQI, MOC
13-5
(4) Mr. Nguyen Quoc Dan, Head, General Office, MOC
(5) Mr. Tran Huu Ha, Deputy Director General, Dept. of Science, Technology &
Environment, MOC
(6) Mr. Nguyen Ngoc Long, Standing Vice Chairman, Vietnam Bridge & Road Association
(7) Mr. Bui Dinh Thu, Director, CIC of Lang Son
(8) Mr. Luong Duy Chinh, Director, CIC of Ninh Binh
(9) Mr. Nguyen Quoc Thinh, Deputy Director, CIC of Hoa Binh
(10) Mr. Tran Huy Chuong, Director, CIC of Dong Nai
(11) Mr. Tran Huu Thang, Director, CIC of Ha Tinh
(12) Ms. Duong Thi Thai, Deputy Director, CIC of Thai Nguyen
Two training of “Non-destructive testing for construction work” and “Training on Quality
Assurance on Construction and Building Works Projects” are provided.
1) Training for Non-destructive testing for construction work
a. Training Program
Program of Non-destructive testing for construction work is shown in Table 13.1.4 . The
training is conducted from October 1st to 12th , 2013 and 4 officials are participated.
Table 13.1.4 Program of C/P Training for Non-destructive testing for construction work
DATE CONTENT PLACE
1-Oct Tue Arriving to Japan
Briefing JICA Tokyo
Program Orientation
2-Oct Wed
【Lecture】Introduction to Non-destructive Testing in KEI (Project)
Japan
【Lecture】Introduction to Non-destructive Testing Non-Destructive
3-Oct Thu Inspection Co.,
【Lecture】Introduction to Non-destructive Testing Ltd
【Lecture】Basics and Type of Liquid Penetrant Testing
【Lecture】Equipment and Material for Penetrant Testing
4-Oct Fri 【Lecture】Actual situation and safety assurance of TASETO Co., Ltd
Solvent Removable Penetrant Testing
【Practice】Solvent Removable Penetrant Testing
5-Oct Sat Day-off
6-Oct Sun Day-off
【Lecture】Basics and Types of Magnetic Particle ACTION
7-Oct Mon Testing CREATION
【Lecture】Equipment and Material for Penetrant Testing HEART Ltd.
13-6
DATE CONTENT PLACE

【Lecture】Actual situation of Magnetic Particle Testing
【Practice】Yoke Method Magnetic Particle Testing
【Lecture】Basics of Ultrasonic Testing
【Lecture】Equipment of detecting flaw
Japan Power
Engineering and
8-Oct Tue 【Lecture】Performance and maintenance of testing Inspection
equipment, material for testing, Introduction to Corporation
Ultrasonic Vertical and Angle Beam Testing
【Practice】Ultrasonic Vertical and Angle Beam Testing Japan Power
Engineering and
9-Oct Wed
【Practice】Ultrasonic Vertical and Angle Beam Testing Inspection
Corporation
Travel（Tokyo→Tsukuba, Ibaraki Pref.）
【Lecture】Non-destructive Testing for Reinforced Building Research
Concrete Institute
10-Oct Thu)
Public Works
【Lecture】Non-destructive Testing by rebound hammer
Research Institute
Travel（Tsukuba, Ibaraki Pref.→Tokyo）
Preparation
11-Oct Fri
Evaluation Meeting
12-Oct Sat Leaving Japan
b. Training Participants:
(1) Mr. Do Viet Ha - Vice Director, CQM
(2) Mr. Nguyễn Anh Tuấn - Head of Training Department , CQM
(3) Mr. Le Hoa - Director, Da Nang construction inspection center
(4) Mr. Pham Tha - Director, Dong Thap construction inspection center
2) Training for Quality Assurance on Construction and Building Works Projects
a. Training Program
Program of Quality Assurance on Construction and Building Works Projects is shown in

Table 13.1.5. The training is conducted from October 21st to November 23rd , 2012 and
12 officials are participated.
Table 13.1.5 Program of C/P Training for Quality Assurance on Construction and
Building Works Projects
DATE CONTENT PLACE
21-Oct Mon Arriving to Japan
Briefing JICA Tokyo
22-Oct Tue Program Orientation
KEI (Project)
【Lecture】Construction Quality Assurance in Japan
【Lecture】
Registration System of Construction Contractors in Japan
23-Oct Wed MLIT
【Lecture】
Bidding and Contract System of Public Construction Works for
13-7
DATE CONTENT PLACE

Construction Quality Assurance
【Lecture】 Construction Quality Assurance in Japan
【Lecture】Construction Quality Assurance System on Buildings
Works
【Lecture】
- Outline of Metropolitan Expressway Co.,Ltd. Metropolitan
- Construction Quality Assurance Expressway Co.,Ltd
24-Oct Thu 【Site Visit】Rainbow Bridge
【Lecture】
Japan Construction
- Technical Consulting Records Information System (TECRIS) Information Centre
- Construction Records Information System (CORINS)
【Site Visit】Construction site of Skyscraper Taisei Cooperation
25-Oct Fri NEXCO Central,
【Site Visit】Construction site of Expressway
Atugi Office
26-Oct Sat Day-off
27-Oct Sun Day-off
【Lecture】Site Supervision and Inspection on Construction Works Kanto Regional
28-Oct Mon
【Site Visit】Construction site on Civil works in Urban area Bureau, MLIT
Travel（Tokyo→Tsukuba）
【Lecture】Outline of Research Institute
【Lecture】Non-Destructive testing Public Works
29-Oct Tue
【Site Visit】Site on Dam Hydraulic Experiment , and Pavement Research Institute
Running Experiment etc.
Travel（Tsukuba→Tokyo）
Travel（Tokyo→Tsukuba）
【Lecture】Research on Building maintenance Building Research
30-Oct Wed 【Site Visit】Experiment Facilities of Research Institution for Civil Institute
works and Buildings
Travel（Tsukuba→Tokyo）
Preparation
31-Oct Thu
Evaluation Meeting
1-Nov Fri Leaving Japan
b. Training Participants
Among all participants, 6 participants are fully funded and the rest of 6 are partially
funded by JICA.
(1) Mr. Tran Chung - Project Expert, Head of Quality Division, VFCEA
(2) Mr. Nguyen Xuan Phuong - Deputy Chief Secretariat, SACQI, MOC
(3) Mr. Pham Duc Ky - Official, SACQI, MOC
(4) Mr. Le Quoc Anh - Official, SACQI, MOC
(5) Mr. Duong Minh Nghia - Deputy Chief Secretariat, Office of National Acceptance
Council, SACQI, MOC
(6) Mr. Vu Van Huan - Official (in charge of construction quality), Department of Personnel
and Organization, MOC
(7) Mr. Do Quoc Trung – Director, Construction Technology Center, IBST
(8) Mr. Tran Nam Binh - Deputy Director, Construction Planning and Inspection Center of
Khanh Hoa province (Khanh Hoa CIC)
13-8
(9) Mr. Nguyen Van Giang - Director, Ha Giang CIC
(10) Mr. Dinh Van Giang - Director, Hai Phong CIC
(11) Mr. Dang Hoang Thai - Director, Construction Planning and Inspection Center of Binh
Phuoc Province (Binh Phuoc CIC)
(12) Mr. Tran Thanh Son - Director, Construction Engineering and Technological Science
Center (NAGECCO)
13.2 SEMINARS
(1) Seminar on Construction Quality Assurance for Senior Officials in Japan
1) Training Program
Seminar on Construction Quality Assurance was held in Japan inviting Vietnamese senior
officials in construction sector. The details of the seminar are as follows:
 Program: Japan-Vietnam Senior Officials’ Seminar on Construction Projects is shown in
Table 13.2.1.
 Objectives of Seminar
- Encouraging to make a common understanding between Japan and Vietnam on the

construction project management
- Strengthening cooperation in construction sector for ODA projects
 Seminar term: from 28 February 2011 to 4 March 2011
Table 13.2.1 Japan-Vietnam Senior Officials’ Seminar on Construction Quality

Assurance
TIME CONTENTS PRESENTER

1st 13:30～13:40 Opening Remark Mr.Yoshiaki Nanami, Director, International Policy Unit
Part for Infrastructure, Policy Bureau, MLIT
JICA
Mr.Tran Ngoc Thien, Director General, Construction
Activity Management Department, MOC
13:40～14:10 Construction Quality Mr. Hiroto Yatsuki, Construction Works Inspector,

Assurance in Japan Engineering Affairs Division, Minister's Secretariat,
MLIT
14:10～14:40 Construction Safety Dr.Yukitake Shioi, Emeritus Professor, Hachinohe
Management in Japan Institute of Technology
14:40～15:20 Construction Quality Mr.Bui Trung Dung, Deputy Director General, State
Assurance and Safety Authority for Construction Quality Inspection, MOC
Management in Vietnam
13-9
TIME CONTENTS PRESENTER

15:20～15:40 Discussion
15:40～15:50 Coffee Break
2nd 15:50～16:30 The situation of Construction Mr.Dang Trung Thanh, Vice Director General,
Part Sector and Construction Transportation Construction Quality Management
Projects in the future in Department, MOT
Vietnam
16:30～17:30 The advanced Technology in Mr.Hajime Suzuki, Senior Executive Director, OCAJI
Japan and Introduction of Shimizu Corporation
Projects
Mr.Kazuyuki Yamaguchi, General Manager, International
Divisions Group, International Marketing Division,
Penta-Ocean Construction
17:30～17:50 Discussion
17:50～18:00 Closing Remark Vietnamese Side
Mr.Yasuhiro Okumura, Director for International
Engineering, International Policy Unit for Infrastructure,
Policy Bureau, MLIT
2) Participants:
 Japanese Side: Ministry of Land, Infrastructure and Transportation (MLIT)
The Overseas Construction Association of Japan Inc. (OCAJI) &

Members of OCAJI
 Vietnamese Side: Ministry of Construction (MOC) SACQI, CAMD
Ministry of Transportation (MOT) TCQM, DPI
HCMC People's Committee DOC
Total 6 persons
(1) Mr. Bui Trung Dung, Deputy Director General, State Authority for Construction Quality
Inspection (SACQI), Ministry of Construction
(2) Mr. Nguyen Thanh Hang, Deputy Director General, Planning and Investment Department,
Ministry of Transport
(3) Mr. Tran The Ky, Deputy Director General, Department of Transport, Ho Chi Minh City
(4) Mr. Dang Trung Thanh, Deputy Director General, Transportation Construction Quality
Management Department, Ministry of Transport
(5) Mr. Nguyen Van Hiep, Deputy Director, Quality Control of Construction Project,
Department of Construction, Ho Chi Minh City
(6) Mr. Tran Ngoc Thien, Director General, Construction Activity Management Department,
Ministry of Construction
13-10
(2) Quality Assurance Seminar for Senior Officials in Ho Chi Minh City
Following up the Senior Officials Seminar in Japan in March 2010, the Vietnamese Ministry
of Construction, the Japanese Ministry of Land, Infrastructure Transport, and Tourism
(MLIT), and Japan International Cooperation Agency (JICA) jointly organized a seminar
from 13 to 14 October 2011 in Ho-Chi Minh City. The details of the seminar are as follows:
 Program title: 2nd Vietnam-Japan Seminar on Construction Quality and Construction

Project Management; Detailed program is shown in Table 13.2.2.
 Objectives of Seminar:
- To make a common understanding between Japan and Vietnam on the construction

project management
- To strengthen the cooperation in construction sector
 Seminar period: 13 October 2011 (Thu) to 14 October 2011 (Fri)
 Place:
- Majestic Hotel, Ho Chi Minh City, Viet Nam (on 13 October, 2011)
- Two construction sites in the City (Sai Gon Airport Plaza and East-West High Way)
 Co-organizer: Co-organized by Ministry of Construction (MOC), Ministry of Land,

Infrastructure, Transport & Tourism (MLIT), and Japan International Cooperation
Agency (JICA)
 Participants: There were approximately 200 participants including 47 participants from

the MOC, MOT, MARD, MOIT and DOCs, 45 participants from the Japanese contractors.
The list of the participants is attached as annex.
Table 13.2.2 Program for Quality Assurance Seminar for Senior Officials in Ho Chi
Minh City
TIME PROGRAM PRESENTER

8:00〜8:30 (30) Registration
8:30～8:45 (15) Opening address MOC: Mr. Bui Pham Khanh, Ministry of
Construction of Vietnam, Vice Minister
MLIT: Mr. Yuichi Ishikawa, MLIT, Overseas
Project Division, Policy Bureau, Director
JICA: Mr. Toshio Nagase, JICA Vietnam
Office, Deputy Chief Representative
1st Subject: System of Construction Quality Management
8:45～9:15 (30) The Current Status of Construction Vietnam side: Dr. Le Quang Hung - MOC,
Management in Viet Nam & Some State Authority for Construction Quality
Solutions Inspection (SACQI), Director General (1)
9:15〜9:45 (30) Construction Quality Assurance in Japan side:
Japan Mr. Masamitsu Waga, MLIT, Minister's
Part I: Current Situation of Public Secretariat, Engineering Affairs Division,
13-11

Works & System for Construction Deputy Director (1)
Quality Assurance, etc.
Part II: Measures of Low Bid &
Improvement of Cash Flow, etc.
9:45～10:00 (15) Some Management Issues of Vietnamese side: Mr. Hoang Tho Vinh, MOC,
Construction Investment Projects Construction Activity Management Department
(CAMD), Deputy Director General (1)
10:00～10:15 (15) Coffee Break
10:15～11:00 Recommendation for Improving the Japanese side:
(45) Project Quality Management System in Mr. Tsuneo Kato - The JICA expert of Project
Vietnam for Capacity Enhancement in Construction
Quality Assurance (1)
Development of Construction Japanese side:
Contractor Registration and Mr. Jun Takeuchi - The JICA expert of Project
Performance Evaluation System for Capacity Enhancement in Construction
Development of Standard Specifications Japanese side:
& Manuals for Construction Quality Mr. Seichi Kusano - The JICA expert of Project
Assurance for Capacity Enhancement in Construction
11:00〜11:15 (15) The Current Situation of and Solutions Vietnam side: Mr. Nguyen Van Hiep - Deputy
for Construction Quality Management Director - HCMC DOC (1)
in the Area of HCM City
11:15〜11:30 (15) Exchange Opinions
11:30～13:00 Lunch
2nd Subject: Construction quality management by contractors/consultants
13:00〜13:15 (15) Capacity Building For Supervising Vietnamese side:
Consultants in Transport Work Mr. Dang Trung Thanh - Ministry of Transport
Construction (MOT), Construction & Quality Management
Bureau (TCQM), Deputy Director General (1)
13:15〜13:30 (15) Management of Water Resource Work Vietnamese side:
Quality - Problems & Solutions Mr. Tran To Nghi, Ministry of Agriculture and
Rural Development (MARD), Authority for
Work Quality Management, Deputy Director
General (1)
13:30〜14:00 (30) Quality Assurance System for Japanese side:
Construction of Obayashi Mr. Satoru KAWAUCHI (Mr)
Part I: What is Quality Management in Obayashi Corporation, Overseas Business
Construction Works? Division
Part II: Quality Assurance in Business Development Department
Construction; Examples of Construction Deputy General Manager (1)
Site Problems
14:00〜14:15 (15) The Current & Future Construction Vietnamese side:
Quality Management System of Cotec Construction Joint Stock Company
Construction Corporations in Vietnam (COTECONS) (1)
14:15〜14:30 (15) Coffee Break
14:30〜14:45 (15) Presentation from Consultant & Vietnamese side:
Inspection Joint Stock Co. of Representative from CONINCO (1)
Construction Technology and
Equipment - CONINCO
14:45〜15:15 (30) Construction Quality Management by Japanese side:
Shimizu Corporation Mr. Shun-ichi Sakamoto
13-12

Part I: Initiative of Quality Assurance Shimizu Corporation, Civil Engineering
Part II: Introduction of Advanced Technology Division
Technology Planning Department
General Manager (1)
15:15〜15:30 (15) The Current & Future Construction Vietnam Urban & Industrial Zone Development
Quality Management System of Investment Corporation - IDICO
Construction Corporations in Vietnam
15:30〜15:45 (15) Introduction about Construction Joint Representative from COFICO (1)
Stock Co. No 1 (COFICO)
15:45～ 16:00 (15) Exchange Opinions
16:00～16:10 (10) Closing Address Vietnamese side: Dr. Le Quang Hung, MOC,
SACQI, Director General
Japanese side: Mr. Yuichi Ishikawa, MLIT,
Overseas Project
Division, Policy Bureau, Director
(3) Construction Works Maintenance Seminar in Da Nang City
 Following up the Senior Officials Seminar in Ho Chi Minh City in October 2011, the
Vietnamese Ministry of Construction, the Japanese Ministry of Land, Infrastructure
Transport, and Tourism (MLIT), and Japan International Cooperation Agency (JICA)
jointly organized the above-mentioned seminar from 21 to 22 September 2012 in Da
Nang City. The details of the seminar are as follows:
 Program title: 3rd Viet Nam - Japan Seminar on Construction Quality & Construction
Project Management (Theme: Enhancement of Maintenance in Construction Quality
Management System in Vietnam)
 Objectives: To create common understanding between Japan and Vietnam about

construction quality management
 Seminar period: 21 September 2012 (Fri) to 22 September 2012 (Sat)
- The program schedule on 21 September is shown in Table 13.2.3.
- The program on 22 September is site visits.
 Place:
- Life Style Resort - Da Nang City, Viet Nam
- Two construction sites in the City (Tien Son Sports Palace and Hanoi-HCMC
Railway Line Bridges Safety Improvement Project)
 Organizer:
- Ministry of Construction (MOC),
- Ministry of Land, Infrastructure, Transport & Tourism (MLIT);
- Japan International Cooperation Agency (JICA)
13-13
 Participants: There were over 200 participants including representatives of both Vietnam
side and Japan side.
Table 13.2.3 Enhancement of Maintenance in Construction Quality Management

System in Vietnam
TIME AGENDA PRESENTER

8:00〜8:30 (30') Registration
8:30～8:50 (20') Opening remarks MOC: Mr. Bui Pham Khanh, Ministry of Construction of
Vietnam, Vice Minister
Da Nang City: Mr. Nguyễn Ngọc Tuấn - Vice Chairman of
DA Nang PPC
MLIT: Mr. Yuichi Ishikawa, Director of Oversea Project
Division, Policy Bureau
JICA: Mr. Nagase Toshio, Senior Representative of JICA
Vietnam Office
8:50～9:15 (25') Maintenance of Vietnam side:
construction works in Viet Mr. Le Quang, Deputy Director General, State Authority of
Nam - Real situation & Construction Quality Inspection, MOC
Solutions.
9:15〜9:40 (25') Policies for the Japan side:
maintenance of Mr. Yuichi Ishikawa, Director, Overseas Project Division,
infrastructures -Road & Policy Bureau, MLIT
Bridges-
9:40〜9:55 (15') Maintenance of Vietnam side:
construction works in Da Mr. Le Tung Lam, Deputy Director, DOC of Da Nang City
Nang City - Real situation
& Solutions
9:55 ～10:15 (20') Coffee break
10:15～10:35 (20') Maintenance of irrigation Vietnam side:
facilities in the past time in Dr. Nguyen Trung Anh, Deputy Head, Construction Quality
Viet Nam Management Division, Dept. of Work Construction
Management, Ministry of Agriculture & Rural Development
10:35 ～ 11:05 (30') Maintenance for dams in Japan side:
Japan Mr. Makoto Kuno, Senior Engineer, Water Resource
Engineering Center, Japan Water Agency
11:05 ~ 11:30 (25') Discussion
11:30 ~ 13:30 Luncheon
13:30〜13:50 (20') Management & Vietnam side:
maintenance of roads - Dr. Bui Khac Diep, Dept. of Transport Infrastructure,
Real status & Solutions Ministry of Transport
13:50〜14:15 (25') Maintenance management Japan side:
of railway bridges Mr. Yasushi Nakagawa, Associate General
Manager(Southeast Asia Area), International Division,
Tekken Construction Corporation
14:15〜14:40 (25') Maintenance of iron Japan side:
bridges Mr. Aritake Maki, Assistant Manager, Technical
Department, YCE Corporation
14:40 〜15:00 (20') Coffee break
15:00〜15:20 (20') Maintenance of building Vietnam side:
works in Viet Nam Associate Prof. Dr. Tran Chung, Vietnam Institute for
Building Science & Technology
13-14
TIME AGENDA PRESENTER

15:20〜15:50 (30) Maintenance management Japan side:
of workshops in Viet Nam Mr. Kentaro Tani, Manager, Marketing & Business
Development Department, Taisei Construction Corporation
15:50〜16:20 (30') Improvement of the Japan side:
construction facility Mr. Tsuneo Kato, Team Leader, JICA/MOC's Project for
maintenance in Viet Nam Capacity Enhancement in Construction Quality Assurance
16:20～ 16:40 (20') Discussion
16:40 ～16:50 (10') Closing remarks Japan side: Mr. Shigeru Kishida, First Secretary, Japanese
Embassy to the Socialist Republic of Viet Nam
Vietnam side: Mr. Le Quang, Deputy Director General,
SACQI,MOC
13.3 EXCHANGE PROGRAM FOR THE MOC’S SENIOR OFFICERS AND

CONSTRUCTION INDUSTRIES’ SENIOR EXECUTIVES IN JAPAN
1) Program
A delegation headed by Deputy Minister Nguyen Thanh Nghi, comprising the MOC senior
officials and construction industries` senior executives visited Japan from 30 July to 5 August
2012 as follows:
 Period: From 30 July to 5 August 2012
 Program: See Table 13.3.1
Table 13.3.1 Agenda for Exchange Program for the MOC’s Senior Officials and
Construction Industries’ Senior Executives
DATE CONTENT PLACE DETAILS
30/ AM Hanoi - Tokyo Tokyo 23:50 Departure from Hanoi
(Mon) (JAL 752) 06:55 Arrival to Tokyo
PM Courtesy Call to JICA and JICA's 12:45-14:10: Welcome Lunch invited by JICA
Briefing 14:30-15:00: Courtesy Call to JICA (Mr. Nghi) 15:00-
15:30: Briefing by JICA
Site Visit (Sky Tree) 16:00-17:30: Visit of Nikken Sekkei
18:00-19:30: Site Visit (Sky Tree)
[19:30-21:30: Dinner invited by Nikken Sekkei]
31/7 AM Courtesy Call to Ministry of Tokyo 09:30-11:30: Exchange opinions and views on Planning and
(Tue) Land, Infrastructure, Transport Management of urban underground infrastructure
and Tourism (MLIT) (Japanese side: Vice Minister Mr. Sato and relevant
department)
Exchange opinion and view with - Shield tunnel method
MLIT and concerned parties - Multi-purpose underground utility conduit
about urban underground - Underground use for urban express way
infrastructure - Underground use for car park
11:30-12:00: Courtesy Call to MLIT (Vice Minister Mr.
Tsugawa)
12:00-14:00: Lunch ( Vietnam side)
PM Meeting with MLIT and 14:00-16:30: Exchange opinions and views on eco-city
concerned parties about Eco-city (Japanese side: City bureau and J-CODE members) ※
and advanced technologies Agenda will be discussed between the city bureau of MLIT
and the urban development agency of MOC.
16:30-17:30: Exchange opinions on advanced technologies
with Japanese private companies
13-15
DATE CONTENT PLACE DETAILS

- Construction technology to construct underground space
by Kashima corporation
- Eco- city technology by Shimizu corporation
Meeting with Japan Society of 18:00-19:00: Meeting with Japan Society of Civil Engineers
Civil Engineers (JSCE) - Introduction of seminar which will be held in Hanoi in
August
19:30-21:00: Welcome reception invited by MLIT
1 AM Visit of Construction Sites Tokyo 09:00-11:00: Construction site of Tokyo Shibuya Station
(Wed) (Underground structure)
- Introduction of urban planning
- Visit of construction site
11:00-13:00: Lunch (Vietnam side)
PM Meeting with Yokohama city and 14:00-16:00: Visit of Yokohama City Government
visiting MM21 - Visit of Minato Mirai 21
- Exchange opinions
Introduction of Yokohama City
History of urban development
Yokohama The cooperation project between Yokohama City and
private investors
- Courtesy call to mayor
16:30-17:30: Visit of Solar Technology Park
Tokyo 19:00-21:00: Dinner invited by Ambassador Hattori
2 AM Visit of National Institute in Tsukuba 9:30-11:00:Visit of Kashinoha Campus Project (Urban
(Thu) ・ Tsukuba Development) on the way to Tsukuba
PM 11:00-12:00: Lunch invited by Mitsui Fudosan
13:00-17:00: Visit of National Institute for Land and
Infrastructure Management, Public Works Research
Institute and Building Research Institute
3 AM Tokyo - Osaka Osaka 8:00: Leave hotel for Tokyo station
(Fri) 9:00: Tokyo - 1133 Shin-Osaka (Sinkansen Nozomi 215）
Explanation about Sinkansen by Central Japan Railway
Company at the top of Sinkansen
PM Visit of Kinki Regional 14:30-17:00: Visit of Kinki Regional Development Bureau
Development Bureau - Introduction of role and responsibility of Regional Bureau
in regional development
- Site Visit （Osaka castle)
18:00-20:00: Dinner invited by Kinki Regional
Development Bureau
4 Visit of City Osaka 09:00: Osaka, Kyoto
(Sat) Kyoto 19:00: Fireworks Display (Mr. Nghi with a companion)
5 Kansai - Hanoi Osaka 10:30: Departure from Kansai
(Sun) (JAL 5007) 14:20: Arrival to Hanoi
2) List of Members of the Delegation
(1) Mr. Nguyen Thanh Nghi, Deputy Minister, Head of the delegation
(2) Mr. Nguyen Trung Hoa, Director General, Department of Science, Technology and
Environment
(3) Mr. Pham Khanh Toan, Director General, International Cooperation Department
(4) Mr. Le Quang Hung, Director General, State Authority of Construction Quality
Inspection
(5) Mr. Do Duc Duy, Deputy Director General, Department of Organization and Personnel
13-16
(6) Mr. Hoang Tho Vinh, Deputy Director General, Department of Construction Activity
Management
(7) Mrs. Do Tu Lan, Deputy Director General, Urban Development Agency
(8) Mr. Tran Anh Tuan, Deputy Director General, Administration of Technical Infrastructure
(9) Mrs. Phan Thi Lien, Deputy Head of Ministry’s Office
(10) Mr. Truong Quy Ky, Head of MOC representative office in HCMC
(11) Mrs. Do Nguyet Anh, Official, International Cooperation Department
(12) Mr. Hoang Hai Van, Assistant to Deputy Minister
3) Institutes and companies accompanying deputy minister
(1) Mr. Trinh Viet Cuong, Director, Institute of Building Science and Technology (IBST).
(2) Mr. Truong Van Quang, Deputy Director, Vietnam Institute of Architecture, Urban and
Rural Planning (VIAP)
(3) Mr. Nguyen Van Huynh, Deputy Director, Vietnam Institute of Building Materials
(VIBM)
(4) Mr. Thai Son, Director, Urban Railway Management Unit, Song Da Group
(5) Mr. Tran Dinh Dai, Vice General Director, Vietnam Machinery Installation Corporation
(LILAMA)
(6) Mr. Nguyen Van Cong, General Director, CONINCO JSC
(7) Mr. Ha Minh, Deputy General Director, CONINCO JSC
(8) Mr. Dang Tien Phong, General Director, Song Hong Corporation
(9) Mr. Nguyen Tran Phuong, Director, Song Hong consulting JSC
(10) Mr. Than Hong Linh, Deputy General Director, Vietnam National Construction
Consultants Corporation (VNCC)
(11) Mr. Giang, Representative of Vietnam Office, Nikken Sekkei Civil Engineering)
13.4 EQUIPMENT AND MACHINERY PROVISION
(1) Inspection Vehicles
In the first year of the project, two units of 4-wheel Drive vehicles (TOYOTA Land Cruiser
Prado TX-L 4.0 7 A/T) were provided by JICA to CQM/SACQI in order to facilitate the
project activities.
13-17
Table 13.4.1 List of Delivered Vehicles

Vehicle Type Units Date of Delivery
Prado TX-L4.0 7A/T
TOYOTA Land Cruiser 2 June 2011
4 wheel drive
(2) Inspection Equipment
In the second year, the MOC requested provision of inspection equipment to strengthen the
training and testing / inspection capabilities of CQM/SACQI. The equipment was delivered to
CQM/MOC in July 2012.
The list of the delivered equipment is as shown in Table 13.4.2
Table 13.4.2 List of Delivered Equipment
NO ITEMS APPLICATION OF THE EQUIPMENT

I. EQUIPMENT FOR METAL
1 Ultrasonic Flaw Provides capabilities for locating discontinuities and other flaws.
Detector
2 Coating Can be used in applications ranging from wall thinning measurements of internally
Thickness corroded pipes with dual element probes to very precise thickness measurements of
Measurement thin or multilayer materials with single element transducers.
Equipment
3 Contour Probe Quickly locate surface cracks in ferrous materials that can be brought between the
pole pieces. Find cracks from metal fatigue, heat treating, stress over load, welds,
heat-treating, etc.
4 Eddy Current Conductivity measurement, coating thickness measurement, , fastener hole inspection,
Flaw Detector conductivity measurement, heat damage assessment, multi-layer testing, corrosion
testing
II. EQUIPMENT FOR CONCRETE
5 Concrete Test It is used to find out compressive strength of concrete by using rebound hammer
Hammer
6 Ultrasonic Pulse Used for non-destructive determination of the quality of concrete, crack depth
Velocity Test measure, detection of areas with cavities and voids, estimate mechanical properties of
Instrument concrete strength.
7 Corrosion Measures the electrical resistivity of concrete.
Analyzing
Instrument
8 Rebar Detection Non-destructive detection of rebars and for the measurement of concrete cover and bar
System diameters.
9 Structure scan For locating the position and depth of rebar, conduits, post-tension cables, and voids in
System up to 16" of concrete.
10 Core Drilling Drill to take specimen from structure.
Machine
11 Crack detection Used to measure crack width in concrete structures by operating via an adjustable light
microscope source.
12 Permeability Non-destructive measurement of the permeability of concrete structures.
Tester
13 Pull-off Tester Determination of the adhesive strength of concrete structure and tension strength of
concrete.
13-18

III. GEODETIC INSTRUMENT
14 Total station Survey total system
15 Automatic level Automated level instrument
16 Laser Distance Laser distance and tilt measurement instrument
Meter
(3) Servers and Computers
Servers for the registration systems and package database system and construction
performance evaluation system were provided to MOC. They were installed in the server
room and under control of information center.
Meanwhile, two sets of computers were provided to MOC addressed to SACQI and CAMD.
Table 13.4.3 List of Delivered Servers and Computers
AMOUNT
(US$)
I. EQUIPMENT FOR REGISTRATION SYSTEMS AND PACKAGE DATABASE SYSTEM AND

CONSTRUCTION PERFORMANCE EVALUATION SYSTEM
1 Application Server The application server creates dynamic content by mixing data with 2,590
(IBM System x3650 templates, running programs, or by accessing databases, as a
M4, 300GB x2) correspondence of the user operation of the systems.
2 Database Server The database server is the storage of all registered data in the 2,920
(IBM System x3650 database of the systems.
M4, 300GB x3)
3 Peripheral Equipment Switch (CISCO 2960-24TC-L), UPS (APC SUA2200I), Firewall 4,240
(ASA5510-BUN-K9), Multiple PC control unit (KVM Switch 8P)
II. DESKTOP COMPUTERS
4 HP Pavilion P6317L, A set of computer for developing the contractor registration and 1,040
18'' LCD Monitor, evaluation systems, which is delivered to SACQI.
Key Board, UPS and
Microsoft Windows 7
and Microsoft Office
2007
5 FPT ELEAD T6li, 23'' A set of computer for controlling the application server and database 1,610
LCD Monitor, Key server, which is delivered to CAMD.
Board, UPS and
Microsoft Windows 7
and Microsoft Office
13-19
CHAPTER 14 SUMMARY
14.1 PROJECT OUTCOMES
Reporting formats of this Project fall into the following formats.
(a) MAIN REPORT
(b) GUIDELINES & MANUALS
(c) CD-ROM
(d) APPENDIX
In principle, the main reports includes recommendations and the framework of guidelines and
manuals. The guidelines and manuals include the following products;
(a) Guidelines for developing project owners’ manual (Activity-1)
(b) Operation guidelines for construction company/consultant registration, construction

package database and construction work performance evaluation (Activity-3)
(c) Sample standard specifications for public works (Activity-5)
(d) Sample construction quality management for public works (Activity-5)
(e) Manual guiding building facility maintenance procedures (Activity-5)
(f) Safety and health manual in construction (Activity-6)
(g) Case studies on accidents and near misses in construction (Activity-6)
Also, CD-ROM accommodates computer software for the following systems;
(a) Computer software for contractor/consultant registration (Activity-3)
(b) Computer software for construction package information database (Activity-3)
(c) Computer software for construction work performance evaluation (Activity-3)
In addition, computer software systems were already installed in the MOC Web-site network
system. Of these systems, the contractor/consultant registration system becomes operable now
and companies and consultants can access to the MOC web-site through computer internet
and register company information from any places in Viet Nam. However, remaining two
systems, including a construction package information system and a construction work
performance evaluation system, are not operable now until legalization. Table 14.1.1
summarized final products of this Project and their reporting formats.
14-1
Table 14.1.1 Final Product and Reporting Formats

Reporting
Activity Title Final Products
Formats
Improve project management methods and clarify responsibilities
Activity-1
between stakeholders
(1) Clarify responsibility assignment between stakeholders
(2) Improve construction work management
(3) Enhance design change
(4) Enhance construction permits
(5) Enhance inspection before putting facilities into operation
(6) Encourage state authorities to standardize quality management  Recommendations  MAIN REPORT
technologies for their specialized sectors
(7) Improve construction work contract management
(8) Enhance interim payment
(9) Enhance construction contracts
(10) Reinforce institutions for construction facility maintenance
(11) Develop guidelines for project owner’s manual  Framework  MAIN REPORT
 Guideline  GUIDELINES &
MANUALS
Activity-2 Improve state agency’s inspection system
(1) Enhance construction Audit System by MOC and DOCs
(2) Enhance technical intra-organization audit system  Recommendations  MAIN
REPORTS
(3) Enhance functions of Construction Inspection Centers (CICs)
(4) Enhance sanctions
Improve company registration system and contractor performance
Activity-3
evaluation system
(1) Improve construction company registration system  System
Configuration
 Computer software  MAIN REPORT
 Guidelines for; Report
 System  Installation in the
administrator, MOC Website
(2) Improve consultant registration system  CAMD leader,  CD-ROM
 DOC staff,  GUIDELINES &
 Consultants MANUALS
 Contractors,
 Project Owners
(3) Develop construction package information database  MAIN REPORT
 System
 Installation in the
Configuration
MOC Website
 Computer software
 CD-ROM
 Operation
 GUIDELINES &
Guideline
MANUALS
(4) Develop construction work performance evaluation system  MAIN REPORT
 System
 Installation in the
configuration
MOC Website
 Computer software
 CD-ROM
 Operation
 GUIDELINES &
Guideline
MANUALS
Activity-4 Improve engineer qualification system
(1) Develop comprehensive plan for developing engineer  Recommendation  MAIN REPORT
qualifications in Vietnam
(2) Improve supervisor qualification
(3) Improve site manager qualification
14-2
Reporting
Activity Title Final Products
Formats
(4) Develop examination system for engineer qualifications
Activity-5.1 Develop construction project management technologies
(1) Develop framework for standard technical specifications and  Framework  MAIN REPORT
sample specifications for public works  Sample standard  GUIDELINES &
MANUALS
(2) Develop framework for construction quality manuals and  Framework  MAIN REPORT
sample manuals for public works  Sample manual  GUIDELINES &
MANUALS
Activity-5.2 Develop consultant manuals guiding maintenance procedures for
building facilities
(1) Develop consultant manuals guiding maintenance procedures  Framework  MAIN REPORT
for building works  GUIDELINES &
 Guidelines
MANUALS
Activity-6 Develop construction work safety manuals
(1) Safety and health manual in construction  Framework  MAIN REPORT
 Manual  GUIDELINES &
MANUALS
(2) Case studies on accidents and near misses in construction  Manual  GUIDELINES &
MANUALS
Activity-7 Improve and implement training programs
(1) Develop capacity enhancement plans for MOC training
programs
(2) Develop and implement during-project training programs
(3) Develop post-project training plans  Recommendation  MAIN REPORT
(4) Develop CQM training functions
(5) Recommend human capacity development programs for
regional governments
14.2 SEMINARS AND WORKSHOPS
(1) Japan-Vietnam Senior Official’s Seminar in Construction Projects
Japan-Vietnam Senior Official’s Seminar in Construction Projects is a collaboration seminars

between MOC in Vietnam and MLIT & JICA in Japan. Three (3) times of seminars were held
in 2011 and 2012.
Table 14.2.1 Japan-Vietnam Senior Official’s Seminar

Seminar/Workshop Theme Venue Date Participants
Construction 28/Feb - 6 people, from
1st Seminar Tokyo, Japan
project 4/Mar/2011 Vietnam
Construction 13/Oct -
2nd Seminar HCMC, Vietnam 200 people
Quality assurance 14/Oct/2011
Facility 21/Sep –
3rd Seminar Da Nang, Vietnam 200 people
maintenance 22/Sep/2012
14-3
(2) Japan-Vietnam Exchange Program Between Government Officers and Construction

Industry Executives.
Special seminar aiming at exchanging views in construction projects between Japan and
Vietnam and between government officials and construction industry executives.
Table 14.2.2 Japan-Vietnam Exchange Program

Seminar/
Theme Venue Date Participants
Workshop
Special Construction Tokyo, 30/Jul - 23 people, MOC senior officials &
Seminar project Japan 5/Aug/2012 construction industries executives.
(3) MOC-JICA Joint Coordination Workshop
MOC-JICA Joint Coordination Workshop was held twice to disseminate project outputs
Table 14.2.3 MOC-JICA Joint Coordination Workshop

No. Date Venue Participants
1. 9 Feb. 2012 MOC, Ha Noi 200
2. 1 Nov. 2013 Kim Lien Hotel, Haoi 200
14.3 TRAINING IN JAPAN
Five (5) times of training courses have been conducted in Japan with 50 participants from
Viet Nam.
Table 14.3.1 Training Courses in Japan

Training Period No. of participants
1st Training 28 Nov. – 11 Dec. 2010 11 Persons
2nd Training 28 Nov. – 9 Dec. 2011 11 Persons
3rd Training 12 Nov. – 23 Nov. 2012 12 Persons
4th Training 1 Oct. – 12 Oct. 2013 4 Persons
5th Training 21 Oct. – 1 Nov. 2013 12 Persons
14.4 CQM TRAINING (TRAINING IN VIET NAM)
Six (6) CQM training courses were implemented in 2012 with MOC funds in order to
disseminate project outputs. In 2013, three (3) CQM training courses are planned and now
under implementation..
Table 14.4.1 CQM Training Courses

1 2 Nov. 2012 Ha Noi 120
2 23 Nov. 2012 Can Tho 90
3 28 Nov. 2012 HCMC 130
4 15 Dec. 2012 Da Nang 110
14-4

5 19 Dec. 2012 Hai Phong 100
6 24 Dec. 2012 Nha Trang 90
7 25 Oct.. 2013 Hue City 240
8 15 Nov. 2013 Dong Thap
9 22 Nov. 2013 Da Lat city
14.5 VEHICLES AND EQUIPMENT SUPPLY
(1) Vehicles
Table 14.5.1 Vehicle Supply

Vehicle Type Unit Delivery
Prado TX-L4.0 7A/T
TOYOTA Land Cruiser 2 June 2011
４ wheel drive
(2) Computer hardware
Table 14.5.2 Computer Hardware Supply

Computer Unit Delivery
HP (1set)
Personal desktop computer 1 unit each Jul/2010 Dec/2012
FPT (1set)
Database server IBM X3650M4, 300 GB (3)
1 unit each Dec/2012
Application server IBM X3650M4, 300 GB (2)
(3) Inspection Equipment Supply
Table 14.5.3 Inspection Equipment Supply

No. Category Equipment Delivery
1 Equipment for Steel Ultrasonic Flaw Detector
2 Structure Coating Thickness Measurement Equipment
3 Contour Probe
4 Eddy Current Flaw Detector
5 Equipment for Concrete Concrete Test Hammer
6 Structure Ultrasonic Pulse Velocity Test Instrument
7 Corrosion Analyzing Instrument To CQM/SACQI,
8 Rebar Detection System MOC
9 Structure scan System In July 2012

10 Core Drilling Machine
11 Crack detection microscope
12 Permeability Tester
13 Pull-off Tester
14 Geodetic Instrument Total station
15 Automatic level
16 Laser Distance Meter
14-5
14.6 LEGALIZATION OF PROJECT OUTCOMES
It is in general very difficult to bring project outcomes, shown in the table above, into
legalization in a limited short project period. Regulations which are more or less concerned
with construction project management and quality assurance and promulgated during the
Project term (from May 2011 to December 2013) are listed in Table 14.6.1.
Table 14.6.1 Regulations Promulgated during Project Term

Regulations Title Date of Issue
1. Decree 15 On quality management of construction infrastructure 6 Feb. 2013
Guiding some articles of the Decree on the quality management of
2. Circular 10 23 Jul. 2013
construction works
3. Circular 12 Promulgating regulation on rewarding on construction quality 31 Jul. 2013
Stipulating the verification, appraisal and approval of designs of
4. Circular 13 15 Aug. 2013
construction projects
On publicized management of information on capacities of entities,
5. Circular Not decided
individuals operating in construction sector.
Of these regulations, Decree 15 is a key decree revised in 2013. The following are the points
of revision closely related to project outcomes.
(1) Technical Specifications is introduced.
 In Decree 209, Technical Specifications were not required in construction projects, except
for ODA projects or some other large-scale private projects. The Project recommended
the incorporation of Technical Specifications into construction projects and introduced
the standardization methods of this document.
 Decree 15, Article 7, has incorporated the concept of technical specifications, stipulating
that POs shall prepare and approve Technical specifications in line with technical designs
or other designs which are prepared after basic designs. Preparation of technical
specifications is compulsory for the facilities of special grade, grade I and grade II. For
other facilities, technical specifications may be prepared particularly or stipulated in
design statement (explaination on the design).
(2) Publicity of information on capabilities of entities and individuals in construction sector
 In order to facilitate Project Owners to find out reliable information on construction and
consultant companies, the Project has upgraded the existing company information
registration system and in addition developed a construction package database system and
a contractor’s work performance evaluation system together with operation software
systems. The company registration software systems, including those for construction
companies and consultants, were already incorporated into MOC website and became
operable now. End users including construction companies, consultants and Project
14-6
Owners can access to the MOC website and get information through computer internet.
(Relevant information is seen in Article 8, Decree 15)
 As a future plan, CAMD-MOC is intended to bring the construction package database

system and the work performance evaluation system into legalization when revising Law
on Construction.
(3) Design verification:
 The Project recommended strict implementation of design check, focusing on private-

sector building works, in the examination of Construction Permits.
 Decree 15 has incorporated the concept of this design check as design verification and
applied it to various kinds of projects (Article 20 and 21).
(4) Design changes:
 Decree 209, Article 22, stipulated the design change should be submitted to Decision
Makers if it changes basic design. Due to this unclear definition of design change and
limited power given to Project Owner, design change needed a long time for approval,
causing delay in construction project management.
 The Project recommended that prompt actions be taken to design changes in order not
cause delay. With this, it is necessary to clarify responsibilities of who should make
decision and the ranges of decisions. Decree 15 has stipulated that Project Owners can
make decisions on the design changes other than those relevant to basic elements
including location, planning, scale and excess of total investment capital, which shall be
managed by Decision Makers.
(5) Chief Supervisor
 The Project has introduced the Comprehensive study on Engineer qualifications,

Improvement of qualifications for Construction Supervisors, and Site Manager including
grading system. In Decree 209, Chief Supervisor was not required in consultant’s
construction supervision.
 Decree 15, Article 27, has stipulated that construction supervision consultants should
assign eligible persons as chief supervisors and other positions of supervision.
 In introducing the concept of Chief Supervisor, the grading system of engineer

qualifications based on the Project recommendation can be incorporated.
14-7
(6) Inspections over PO’s acceptance procedures
 Decree 209 stipulated that construction facilities could be put into use after a final
acceptance was made between POs and Contractors.
 The Project recommended that facility final inspection (acceptance) be made between
Project Owners and contractors, and then Decision Maker should implement a final safety
check before putting facilities into use.
 Decree 15, Article 32, has adopted the concept of Decision Maker’s (State Authority’s)
inspection and applied to the Project Owners acceptance procedures, saying that state
authorities in construction management conduct inspections over PO’s acceptance
procedures during construction and at the completion of construction works.
(7) Stage acceptance is just in case of necessity.
 Decree 209 required 3 kinds of Construction Acceptance between Project Owner and
Contractors. One for job acceptance, another for stage acceptance and anther for final
acceptance. Job acceptance is equivalent to daily inspection. Final acceptance is
equivalent to completion certificate. Stage acceptance, which is used for interim payment,
requires contractor to prepare repetitive documents.
 The Project recommended the simplification of acceptance procedures, timely payment

and reduction of document requirement for interim payment.
 Decree 15 has stipulated that POs shall take responsibility for organizing the acceptance
of construction facilities, including acceptance of construction jobs during construction
and at the completion of construction jobs before putting facilities into use.
 In case of necessity, POs shall stipulate the acceptance of important construction stages of
facilities.
(8) Certification on quality conformity is eliminated.
 Decree 209 required the Certification on quality conformity and Force bearing safety for
construction projects that may be harmful in case of incidents.
 The Project recommended the final inspection be implemented at completion which

makes sure the safety of constructed facilities. And Decree 15 substantially eliminated the
service of Certification in Article 47.
14-8
14.7 RECOMMENDATIONS ON THE REVISION OF CONSTRUCTION LAW
MOC is planning to steadily strengthen the legal frameworks relevant to Construction Law.
Study on the revision of Construction Law has already started. The law will be revised in
2014, followed by the revision of decrees and then circulars.
Figure 14.7.1 Construction Law Legal Framework
The following are the recommendations presented in the MOC-JICA Cooperative Workshop
on the Quality Assurance and Safety Management in Construction held at the last end of this
Project on November 1st, 2013. The Project selected six (6) subjects deemed key elements in
the revision of Construction Law. Recommendations were made for each subject at the end of
the following sections. The outline of recommendations are briefly shown as follows;
14.7.1 Enhancement of Construction Investment Management for Private-sector and Public-

sector Projects
(1) Construction investment management in Japan
There is no comprehensive law governing all procedures of construction projects in Japan,

including public and private projects. However, individual laws needed for construction
investment procedures have been promulgated subject by subject. In principle, laws fall into
the following three classifications;
1) Law which stipulates responsibilities of the construction companies who first enter
construction businesses (Construction Business Law).
Construction Business Law stipulates responsibilities of the construction companies which

enter construction businesses.
14-9
 For companies which first enter construction businesses: Companies should get
construction business permits from MLIT Minister or regional Governors. Companies
should make fair construction work contracts and carry out the contracts. Companies
should assign a technical advisor or a chief engineer to their projects, who are eligible to
management construction works.
 For companies wishing to participate in public construction projects (state-budget

projects): All companies should undergo third-party evaluation on their financial and
technical capacities for executing construction works and receive their capacity ranking
 For Government organization: Government organizations should set up dispute

committees for arbitration/reconciliation, a central committee in MLIT and regional
committees in prefectural governments
 For companies violating the law provisions: Construction business licenses will be
revoked (If it is the worst)
2) Laws and regulations governing public-sector construction projects
For public projects, Laws stipulating project procedures needed for government staff have
been promulgated subject by subject in Japan as follows;
 Public account law stipulates tendering, payments etc.
 Act on the promotion of proper contract and bidding for public works stipulates tendering,
contract, construction project management, etc.
 Act on the promotion of quality assurance of public works stipulates quality assurance,
inspection, etc.
 Labor Standard Act / Industrial Safety and Health Law (Common to private projects)
In addition to the above regulations, MLIT has published many ministerial standards and
guidelines which elaborate details of procedures for construction project management and
quality assurance. The followings are some of the examples.
 Ex1. Construction work supervision, inspection and testing standards and guidelines
 Ex2. Construction work standard technical specifications (sector-by-sector

specifications)
Laws in Japan in general stipulate only the principles of construction project management and
quality assurance, so that they don’t need to be frequently revised. MLIT standards and
guidelines are frequently updated. Local Governments also apply MLIT standards and
guidelines.
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3) Laws which stipulate procedures for private-sector project implementation
For private projects, detailed regulations except for those on public safety have never been
applied to the projects unlike public projects in order to ensure flexibility in project
management.
Building facility construction is a dominant private-sector project in Japan. Building

Standards Act specialized for building facility construction and maintenance stipulates
facilities owner’s responsibilities in detail for project management in order to ensure public
safety.
 Design check and verification

 Construction permit
 Midterm and final inspection
 Facility maintenance
(2) Recommendations on the enhancement of construction investment management
It is recommended to clearly demarcate legal framework between public projects and private
projects due to differences in construction project management.
1) Common regulations to all projects
 Responsibility of contractors and consultants to assign qualified engineers to their

 Responsibility of contractors to make contracts and to implement construction works

following contracts.
2) Regulations for public projects
Focuses should be placed on the responsibility assignment between stakeholders and

procedures.
3) Regulations for private-sector projects
Focuses should be placed on the enhancement of quality of construction permits.
14.7.2 Enhancement of Private-Sector Construction Project Management - Building Facility

Project
(1) Building Facility Construction in Japan
1) Construction Permits (CP)
Government enforces strict examinations on construction permits rather than stipulating

details of project management or construction quality management. Facility owner should
14-11
propose construction permits to local autonomies before starting construction. Professional

architects in local autonomies examine the law conformity of technical designs with Building
Standards Act and issue permits.
Design checks for CP include:
 Design check
 Structural safety check by computer software which is applied for large-scale projects
Application: Construction permits are applied to all construction projects, not only to private
projects, but also to state-budget projects.
Facility maintenance: The Law stipulates details of facility maintenance procedures.
 Facility owners responsibilities

 Facilities to be inspected
 Inspection frequencies
 Inspector’s eligibility
 Points of inspection and data records
Step-1: Check design conformity with Step-2; Structure

technical design standards safety check
(Double Check)
< Conduct Design Check> <Conduct

Structure Safety
Check>
(1) Building Officers
Propose
Private/ semi-
Stationed in local autonomies
public Entities
Propose and appointed by heads of local
for Structure
autonomies
Safety
Project
Owners
Certificate
Evaluation
(2) Private Entities for Building Results
Inspection
Appointed by MLIT or
Governors
Figure 14.7.2 Building Facility Construction Permit
(2) Recommendations on the enhancement of private-sector’s construction management:
Many of private building facilities are for public use, so that much attention should be
directed to public safety.
It is recommended to enhance the quality and the examination methods of construction

permits.
 Design check by professional engineer

 Check project implementation in conformity with approved conditions
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 Implement mid-term and final inspection

 Enhance facility maintenance procedures
MOC is recommended to develop engineer qualifications for design check and building
facility inspection.
MOC is also recommended to develop guidelines for building facility maintenance showing
points of inspection and diagnosis of building conditions.
14.7.3 Enhancement of Contractor Selection for Public-sector Projects
(1) Construction Company Ranking System in Japan
It is important to select contractors whose construction work execution capacity is fit for
project requirements. Construction companies participating in state-budget projects are
required to take third-party evaluation on their financial and technical capacities
(Construction Business Law). After the evaluation, grades showing company’s construction
work execution capacity are then given to all companies. Construction companies are allowed
to participate in the state budget projects fit for their given grades. Currently, company
ranking system is applied to all state budget projects in Japan.
 Evaluation points include;
- Company financial capacity
- Company technical capacity
 Key points for company grading system:
- Company registration data (Financial and Technical status data)
- Construction package information prepared by project owners (contract amount /

term / package type)
- Contractor work performance evaluation data prepared by project owners

(construction Resource / Management / Quality).
(2) Recommendations on the enhancement of contractor Selection
It is recommended to enhance legal framework including operation guidelines and database

systems for contractor selection step by step in line with roadmap to the future.
 First, MOC is recommended to develop construction company registration system to be a

compulsory system.
 Second, It is recommended to develop construction work performance evaluation system

and data feedback system to Preliminary Qualification (PQ) in the tendering procedure.
14-13
 Third, MOC is recommended to study on the future use of contractor grading system
which makes it possible to select a contractor whose project execution capacity is
matched with project requirements.
14.7.4 Enhancement of Public Project Construction Project Management
In Japan, MLIT assigns professional project owners to its own state-budget projects, who
belong to MLIT regional bureaus.
MLIT
 Long-term planning
 Implementation plan
 Technical standards
Decision Maker  Cost estimate norms
Headquarters
 Tender document
 Tendering
Project Owner  Contract
Contract
Regional Bureaus  Approval of construction change
/ Branches  Inspection
 Payment
Construction Offices
(Supervision)  Hire in-house supervision consultants
 Supervise Design
 Supervise Construction
 Daily inspection
Contractors
Figure 14.7.3 MLIT Project Management in Japan
(1) For public-projects (Roads, Bridges, Ports, etc.)
1) Project Owners
MLIT including ministerial agencies and local governments in principle assign professional
Project Owners (POs) who belong to their organizations.
2) Project Supervision and Management
MLIT including ministerial agencies and local governments in general assign their
subordinate organizations under POs to carry out construction supervision, which are capable
of project supervision and management.
3) Supervision Consultants
POs in general hire in-house supervision consultants to supplement staff in short.
4) Contractors
Following the Construction Business Law, contractors should assign resident Technical
Advisor or Chief engineer to their construction projects.
14-14
(2) Recommendations on the enhancement of engineer qualifications
Construction project management and construction quality assurance often need professional
knowledge and experience in making judgment while executing supervision, in particular for
large-scale construction projects.
It is recommended to assign professionals, in particular to large-scale state budget projects.
 To assign professional project owners including supervisors who belong to the project
owners. Accumulation of managerial technologies and knowledge in state authorities is
very important.
 To assign qualified engineers for construction supervision consultants
 To assign qualifies engineers for contractor’s project management.
MOC is recommended to enhance engineer qualifications;
 Enhancement existing engineer qualifications by applying examination systems and grade

qualifications.
 Study on the Professional Engineers for Viet Nam
14.7.5 Enhancement of Construction Contracts
(1) Construction Contracts
In Japan, Construction Business Law stipulates that all companies performing construction
business should establish contracts and follow them.
There is clear demarcation in contents between legal frameworks and construction contract
conditions.
In principle, regulations stipulate only the principles of construction project management and
quality assurance, and contract conditions stipulates details, thereby avoid overlapping of
information.
Technical specifications have been standardized sector by sector and widely incorporated in
the tendering of construction projects.
(2) Recommendations on the enhancement of construction contracts
It is recommended to clearly obligate project owners and contractors to establish contracts

and to observe contracts during construction works.
It is recommended to simplify legal frameworks, but enhance qualities of contracts, making

clear demarcation between regulations and construction contracts to avoid overlapping of
information.
14-15
Simplify regulations Enhance Contracts

Decree 12
Construction
Construction Law Decree 15
Contracts
Decree 48
Figure 14.7.4 Demarcation between regulations and Contracts
It is recommended to develop construction contracts to the international level in order that

construction industry can improve competitiveness and meet requirements of domestic
construction and international bidding.
14.7.6 Enhancement of Construction Work Supervision, Testing and Inspection
(1) Guidelines
The following guidelines have been standardized and disseminated to stakeholders in Japan.
 Construction work supervision guidelines
 Laboratory test and field test guidelines
 Inspection guidelines
 Measurement guidelines of final products
Guidelines have been developed sector by sector by sector management ministries.
Central ministries, in particular MLIT, have been playing a leading role in developing
technical standards, technical specifications, construction supervision manuals and
distributing information to local governments.
(2) Recommendations on Enhancement of construction work supervision, testing and

inspection
In conducting construction project management in the construction sites, guidelines with more
detailed information than regulations are needed between project stakeholders.
Guidelines would reduce misinterpretation of regulations and contracts, thereby reduce

conflicts between stakeholders.
MOC is recommended to encourage sector management ministries to develop the following

guidelines for their own infrastructure sectors;
 Construction supervision manual
 Test and inspection manuals
 Standard technical specifications
14-16
14.8 RECOMMENDATION AND DEVELOPMENT OF GUIDELINES AND MANUALS
(1) Background
The study was conducted in response to the Minutes of Meeting (MM) for Joint Coordination
Committee (JCC) held on November 6th, 2013. The MM requests us to recommend the list of
guidelines to be hereafter developed in Vietnam. Upon this request, the Project analyzed the
current practices in Vietnam and in Japan and made recommendations on the guidelines.
(2) Objective
The study is to find out and to recommend guidelines and manuals to be hereafter developed
in Vietnam, which can translate regulations and provide practical and concrete procedures
rather than those stipulated in the regulations.
(3) Current status of the development of guidelines in Vietnam
In Vietnam, Decrees under Construction Law stipulate principles of construction project

management and quality assurance, and Circulars relevant to the Decrees stipulate
implementation procedures, supplementing information to the Decrees, so that many of the
provisions in the Decrees and Circulars are treated as compulsory rules to the users.
However, current regulations, in particular the Circulars stipulating implementation processes

of Decrees, are not so detailed enough in contents for users to implement the regulations,
thereby causing a little confusion to users. The current status survey conducted in the Project
have clarified that users in the construction fields are wishing to have more practical and more
concrete procedure guidelines and manuals rather than the Circulars.
(4) Foreign Practices (MLIT practices in japan)
MLIT1 in Japan has so far disseminated many guidelines and manuals to the MLIT staff and
ministerial agency staff who are implementing construction project management and quality
assurance for MLIT public work projects. Local Governments also tries to make best use of
these guidelines and manuals to their construction projects, though they are allowed to make
own guidelines and manuals. In the MLIT practices, regional bureaus, which are eight (8)
under the headquarters of MLIT, are obliged to develop practical guidelines and manuals
fitted to their regional environment, receiving instructions from the MLIT headquarters.
Some of the MLIT guidelines and manuals are compulsory in application, but some voluntary.
If contract dossiers specify compulsory application of these guidelines and manuals to
1
MLIT: Ministry of Land, Infrastructure, transport and tourism in Japan.
14-17
specific construction projects in the documents, in particular in technical specifications, they

will come to compulsory in application which stakeholders in construction projects should
follow.
The following are the samples of MLIT guidelines and manuals;
1) Tendering and contract
 Guideline on the use of comprehensive evaluation contract method
 Guideline on contractor work performance evaluation
 Guideline on the operation of e-bidding system
 Standard technical specifications for public works; General, river work edition, road work
edition, coastal work edition, dam work edition and disaster and landslide work edition.
 Others
2) Survey and design
 Standard technical specification for survey and design; General, river work edition, road
work edition, coastal work edition, dam work edition and disaster and landslide work
edition.
3) Construction project management and quality assurance
 Guideline on construction work quality assurance
 Manual for construction machine work safety
 Report of labor accidents during construction works
 Report of labor accident case studies
 Guideline on design verification
 Guideline on document preparation for public works
 Guideline on design change
 Guideline on design verification for detailed design (technical design)
 Guideline on construction work supervision, testing and inspection.
 Guideline on the management standards for construction supervision
 Technical guideline for safe construction works
 Guideline on photo record management
 Guideline on the implementation of inspection
14-18
 Guideline on inspection standards
 Awarding to superior contractors and subcontractors
 Manual for the measurement of concrete strength by non-destructive testing.
 Manual for the measurement of steel bar arrangement and covers in concrete structure
(5) Recommendation
1) Status of guidelines and manuals
Most important elements for the successful implementation construction work management
and construction quality assurance are not only to prepare regulations (Laws, Decrees, and
Circulars) and construction contracts, but also to prepare implementation guidelines and
Manuals and operation systems. In addition, information management also needs operation
systems as is the case of construction company and consultants registration systems.
 Regulations (Laws, Decrees, Circulars)
 Construction contracts
 Implementation guidelines (Guidelines, Manuals etc.)
 Implementation systems (Operation systems, etc.)
In general, regulations disseminate basic information on construction project management and

quality assurance, focusing more on the principles, so that they are not detailed enough for
users to implement construction project management and quality assurance. The guidelines
and manuals are to supplement regulations with detailed procedures and to show more
practical and concrete information for the implementation of construction project
management and quality assurance. It is important to define its status including judgment on
whether compulsory or not in the contract dossiers.
2) Requirements
Functional requirements for guidelines and manuals are summarized as follows;
 High development priority should be placed on those to be used in the construction fields
by project owners, supervision consultants and contractors, since many of the project
owners are likely nonprofessional and positive effects can be expected including the
reduction of dispute between project owners and contractors. Second priority is placed on
those to be used by state authority staff.
 Guidelines and manuals to be developed should include two types of information; first,
explanation of regulations, provisions and technical standards to be applied and second,
detailed information on management procedures and criteria.
14-19
 It is important to encourage sector management ministries to get involved in the

development of guidelines and manuals for their own sectors.
3) Recommendation
The following are the potential guidelines and manuals recommended to be developed in
Vietnam hereafter. MOC is recommended to conduct further study on the potentials of their
development.
 Guideline on construction work supervision, testing and inspection
 Guideline on design verification for technical designs
 Guideline on construction work acceptance
 Guideline on design change during construction works
 Guideline on building facility inspection
14-20

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THE SOCIALIST REPUBLIC OF VIETNAM

JAPAN INTERNATIONAL COOPERATION AGENCY (JICA)

CHAPTER 1 INTRODUCTION ............................................................................................................................. 1-1

1.1 Project Background .............................................................................................................................................. 1-1

CHAPTER 2 SCOPE OF PROJECT AND METHODOLOGIES................................................................ 2-1

2.1 Scope of Project .................................................................................................................................................... 2-1

CHAPTER 3 CURRENT STATUS OF INFRASTRUCTURE DEVELOPMENT IN VIETNAM ..... 3-1

3.1 Overview of Infrastructure Investment .............................................................................................................. 3-1

CHAPTER 4 MAJOR FINDINGS.......................................................................................................................... 4-1

4.1 General 4-1

4.4 Facility Maintenance ............................................................................................................................................ 4-2

CHAPTER 5 IMPROVE PROJECT MANAGEMENT METHODS AND CLARIFY

5.1 Framework of Improvement ............................................................................................................................... 5-1

5.11.2 Building Facility Maintenance .......................................................................................................... 5-51

CHAPTER 6 IMPROVEMENT OF STATE AGENCIES INSPECTION SYSTEM FOR

6.1 Framework of Improvement ............................................................................................................................... 6-1

CHAPTER 7 DEVELOPMENT OF CONSTRUCTION COMPANY REGISTRATION SYSTEM

7.1 Framework of Improvement ............................................................................................................................... 7-1

CHAPTER 8 IMPROVEMENT OF ENGINEER QUALIFICATION SYSTEM (ACTIVITY-4) ...... 8-1

8.1 Framework of Improvement of Engineer Qualifications in Vietnam ............................................................ 8-1

CHAPTER 9 DEVELOP THE FRAMEWORK FOR CONSTRUCTION QUALITY MANUAL

9.1 Framework of Improvement ............................................................................................................................... 9-1

9.2.6 Reference-2; Guidelines for Editing Technical Specifications in Vietnam.................................. 9-26

CHAPTER 10 GUIDELINE FOR THE FORMULATION OF BUILDING FACILITY

10.1 Background ......................................................................................................................................................... 10-1

CHAPTER 11 DEVELOPMENT OF CONSTRUCTION WORK SAFETY MANUAL (ACTIVITY 6)11-1

11.1 Framework of Development ............................................................................................................................. 11-1

CHAPTER 12 DEVELOPMENT OF TRAINING SYSTEM AND TRAINING PLANS (ACTIVITY-7)12-1

12.1 DEVELOPMENT AND IMPLEMENTING TRAING PROGRAMS.................................................... 12-1

CHAPTER 13 COUNTERPART TRAINING IN JAPAN, VIETNAM-JAPAN SEMINAR AND

13.1 C/P Training in Japan ......................................................................................................................................... 13-1

14.1 Project Outcomes................................................................................................................................................ 14-1

14.5 Vehicles and Equipment supply ....................................................................................................................... 14-5

Figure 7.6.1 Interrelation between Bidding Process and Systems....................................................................... 7-50

Figure 9.2.2 Structure of Technical Specifications (Before Standardization) ...................................................... 9-8

Table 8.3.1 Comparison of Authorities Implementing Examination ................................................................ 8-19

Table 9.2.12 Manuals for Editing Technical Specifications in Vietnam............................................................. 9-26

Table 12.3.5 Recommended AMC Training Programs......................................................................................12-25

Table 14.5.2 Computer Hardware Supply .............................................................................................................. 14-5

MOLISA : Ministry of Labor, Invalids and Social Affairs

1.1 PROJECT BACKGROUND

1.2 PROJECT OBJECTIVES

 Enhance construction quality assurance system.

 Develop project management technologies for construction quality assurance.

 Provide training opportunities to spread out project outcomes to persons related to

1.3 PROJECT MANAGEMENT

Joint Coordinating Committee (JCC)

JICA project team MOC Counterpart Team (PMU)

Figure 1.3.1 Project Management Structure

(1) Joint Coordinating Committee (JCC)

Chairperson: Vice Minister, Ministry of Construction

Member of Vietnamese side: Project Director, Project Manager, Representatives

Member of the Japanese side: Japanese experts, Chief Representative of JICA

3) Project Management Unit (PMU)

Chair Person: Dr. Le Quang Hung - Head of SACQI, MOC

1.4 JICA PROJECT TEAM

(1) Long-term Experts

(1) NAKASUKA, Satoshi; Advisor for Construction Quality Assurance

(2) Consultant Experts