Bid Evaluation Procedure and Criteria

1. Evaluation Procedure Bids will be evaluated through the following four steps: Step-1: General Evaluation Step-2: Technical Evaluation Step-3: Financial and Commercial Evaluation Step-4: Ranking of Bids

The Step-1: General Evaluation will consist in checking the bids to confirm their compliance with the requirements of the Bid Documents in the following aspects: a) Eligibility of Bidders; b) Eligibility of proposed equipment, goods and services; c) Completeness and responsiveness of bids; and The above-mentioned factors will be evaluated on a Pass or Fail basis. Any bids that fail to meet any of the requirements detailed in Sub-sections 3.1 to 3.4 will be eliminated from further evaluation. In Step-2, the technical appropriateness and viability of the bids will be evaluated based on the following 5 major criteria, using a scoring system as detailed in Sub-sections 4.1 to 4.4: 1. Survey and Design Requirements 2. Equipment and Materials Supply Requirements 3. Construction and Installation Requirements 4. Organization and Staffing Requirements 5. Maintenance Requirements In Step-3, the financial and commercial aspects of bids will be examined as detailed in Sub-sections 5.1 to 5.3 to ascertain the reasonability, balance and correct calculation of bid prices. Finally in Step-4, all the bids that pass the above evaluation steps will be ranked in order of the evaluated bid amount, and recommended for contract award. 2. CLARIFICATION OF BIDS In the course of bid evaluation, the Employer or the Employers Representative may request the Bidders to clarify the contents of their bid including unbalance in currencies in pricing. The clarification of bid shall only be made between the Employer and the Bidder with bid to be clarified, either directly (the Employer will invite the Bidder to a face-to-face meeting, in which the questions and answers shall be in writing) or indirectly (the Employer will send a written request for clarification and the Bidder shall answer in writing). The deadline for the Bidders clarification will be stated in the written request for clarification. The contents of bid clarification in writing will be kept by the Employer as a part of the bid. After the deadline for clarification, if the Bidder fails to reply or the Employer does not receive the written clarification, or if the Bidder has submitted the clarification in writing but it fails to meet the request of the Employer, the Employer will consider and handle in accordance with the current provisions of law. The clarification of bid shall not change the essential contents of the submitted bid and the bid price. 3. GENERAL EVALUATION 3.1 Eligibility of Bidders All bids will be checked first to make sure that:

i)

3.2

3.3

all the partners of the Bidders are those who have been prequalified or satisfied the conditions described in Article 4 of Section I Instructions to Bidders; ii) all the partners and subcontractors of the Bidders have not been directly engaged in, or associated/affiliated with firms who have been engaged in the consulting services for the Project, and do not provide personnel to firms who are engaged in the said services. Any bids that fail to satisfy any of the above-mentioned conditions will be rejected. Eligibility of Equipment, Goods and Services Bids will be checked to ensure that the cost of the equipment, goods and services proposed to be procured from Japan for the Project is not less than 36% of the total cost of such equipment, goods and services. Any bids in which the total cost of the equipment, goods and services proposed to be procured from countries other than Japan exceeds 64% shall be rejected. Completeness and Responsiveness of Bids Completeness and responsiveness of bids will be assessed according to the following major criteria, and any bids that do not conform to any of the said criteria may be considered as non responsive, and eliminated from further evaluation. Evaluation Criteria The bid is valid and submitted in the required number of originals and copies All the Bid Forms and Documents are completely filled and valid All pages of the Bid Forms are signed by the Bidders authorized representative Bid validity period is 180 days Joint Venture Agreement with valid powers of attorney from the respective partners is provided Bid Guarantee conforming to the requirements on validity period, value and appropriateness is provided Completely priced Cost Centres for the whole of the Works are provided Updated information since prequalification as required by the Bid Documents is provided. The information shall show the way the Bidder complies with the condition on personnel replacement as instructed in the GCs letter of notification of prequalification results The Bidders name is included in the list of purchasers of Bid Documents or meet the requirements specified in Clause 2, Article 28 of Decree 85/2009/N-CP The Bidder meets the eligibility requirement as an organization or an individual as stipulated in Articles 7 and 8 of the Law on Biding (No.61/2005/QH11) The total bid price is fixed and without conditions The Bidder does not participate in 2 or more bids as prime contractor The Bidder satisfies the capability requirement as stipulated in Article 7 of the Law on Construction (No.16-2003-QH11) The Bidder does not violate one of the prohibited acts on biding as defined in Article 12 of the Law on Biding

No. 1. 2. 3. 4. 5. 6. 7. 8.

9. 10. 11. 12. 13. 14.

4. 4.1

TECHNICAL EVALUATION Procedure for Technical Evaluation The technical evaluation will be made based on 5 major evaluation criteria with their corresponding score on a scale of 1,000 points as summarized below: Evaluation Criteria 1 2 3 4 5 6 Survey and Design Requirements Equipment and Materials Supply Requirements Construction and Installation Requirements Organization and Staffing Requirements Training Maintenance Support Requirements Total Full Mark 250 150 250 200 100 50 1,000

4.2

Points will be given in accordance with the scoring system detailed in Sub-section 4.2. The bids which get a total score of at least 800 points and a minimum of 70% of the full mark assigned for each of the above 6 major evaluation criteria will be accepted from the technical viewpoint and brought to the next step of evaluation. Detailed Scoring System Each of the 6 major evaluation criteria will be divided into several items and each item will be further divided into several sub-items to ensure in-depth and accurate assessment of the conditions pertaining to each criteria. Points will be given to each sub-item according to a predetermined score as shown in the table below and based on the level of its responsiveness in percentage to the corresponding requirements.

No.

Evaluation Items

Min/Max Score

Maximum Score Stations Tunnels M&E Works

1 1.1

Survey and Design Requirements and Design Programme Design Work Programme Contents of Design Work Programme: covering all survey and design works Adequacy of Design Programme components including technical issues on survey, design, analysis, evaluation of options, measures of coordination and risk prevention, interfacing with adjacent contractors Quality Assurance Plan for Design Design period of each major component

175/250 /125.0 /20.0 70.0 11.0 37.0 6.0 18.0 3.0

/30.0

17.0

9.0

4.0

/30.0 /20.0

17.0 11.0

9.0 6.0

4.0 3.0

No.

Evaluation Items

Min/Max Score

Maximum Score Stations 14.0 58.0 Tunnels 7.0 32.0 M&E Works 4.0 35.0

1.2

Design sequence and correlation among design work items including design interface

/25.0 /125.0

Technical solutions proposed in the design Proposed technological solution: state-of-the-art, Conformity with technical requirements of the system Conformity with technical design requirements of the Employer's Requirements Conformity with design Standards and design Specifications The design is proven to be adequate in countries with weather and climatic conditions similar to Vietnam, Backup capacity of the system, if any Uniqueness of the design solutions Having a plan to transfer technical standards to be applied to the Project Design Quality and Safety Appropriateness of studies, analyses and data to support the selected configuration Reliability and Durability Safety Standards and Regulations Proper arrangement of equipment in subsystems and the entire system, Design Conditions for Fire detection system and Evacuation Plan

1.2.1

/62.5

/30.0

/16.0

/16.5

/12.5 /12.5

7.0 7.0

4.0 4.0

1.5 1.5

1.2.2 2 2.1 -

/10.0 /10.0 /10.0 /7.5 /62.5 /12.5 /12.5 /12.5 /12.5 /12.5 105/150 /15.0 /3.0 /6.0

6.0

3.0

1.0 10.0

6.0 4.0 /28.0 7.0 7.0 7.0

3.0 2.0 /16.0 4.0 4.0 4.0

1.0 1.5 /18.5 1.5 1.5 1.5 12.5

7.0

4.0

1.5

Equipment and Materials Supply Requirements Scope of supply: Meeting the quality and capacity as per requirements in the Bid Documents Meeting the backup materials and equipment as per Bid Documents

15.0 3.0 6.0

No.

Evaluation Items

Min/Max Score

Maximum Score Stations Tunnels M&E Works 6.0

Meeting the requirements for maintenance facilities, equipment and tools Meeting technical requirements (nature, specification parameters, standards of production) by the Bid Documents

/6.0

2.2 -

/15.0 /3.0 /6.0

15.0 3.0 6.0

Reliability and safety of product Meeting standards of power supply and electrical insulation Complying with compulsory requirements for environment, mechanic, material components, yard, safety of office etc. as stated in the Specifications of Bid Documents Local Conditions The proposed equipment is proven to be adequate in countries with weather and climatic conditions similar to Vietnam, Product Quality Clear origin to meet the Requirements in Bid Documents Approvals/certificates of equipment of the system Recognized technical standards Not violating intellectual property, industrial property Organization method of supplying products

/6.0

6.0

2.3 2.4. 2.5. -

/15.0 /15.0 /30.0 /6.0 /12.0 /6.0 /6.0 /30.0 /12.0

15.0 15.0 30.0 6.0 12.0 6.0 6.0 30.0 12.0

Detailed options and logical supply plan Organization method of supplying (including yard preparation, checking, inspection and custom clearance plan, etc.): evaluation based on the following criteria: logic, convenience, sufficiency and progress assurance. Logic and possibility of shipping method, storage arrangement and delivery

/12.0

12.0

/6.0

6.0

No.

Evaluation Items

Min/Max Score

Maximum Score Stations Tunnels M&E Works 30.0

2.6.

Requirements for technical documents and manuals of use with plan of transferring materials as requested by Bid Document Technical specifications of materials, equipment and system Drawings, layout, manuals for operation and maintenance process Hardware and software development Requirements for standby equipment and materials List of standby materials and equipment as per Bid Documents Available supply of standby material and equipment after maintenance period. Requirements for Inspection and Testing with inspection and testing plan for material, equipment and system At manufacture location On site Construction Programme Presentation of Construction Programme Construction period of each Work item: appropriateness Construction Sequence and correlation among work items Identification of Critical Path Activities Conformity with Contractual Key Dates Appropriateness of construction techniques and construction methods for each component Detailed construction techniques for each component Feasibility and flexibility of construction methods & installation

/30.0

/12.0 /12.0 /6.0 /7.5 /4.5 /3.0

12.0 12.0 6.0 7.5 4.5 3.0

2.7

2.8.

/7.5 /4.5 /3.0 175/250 /25.0 /6.0 /7.0 /6.0 /4.0 /2.0 /50.0 /20.0 /19.0 13.0 3.0 4.0 3.0 2.0 1.0 30.0 12.0 12.0 8.0 2.0 2.0 2.0 1.0 1.0 14.0 6.0 5.0

7.5 4.5 3.0 4.0 1.0 1.0 1.0 1.0 0.0 6.0 2.0 2.0

3 3.1.

Construction and Installation Requirements

3.2.

No.

Evaluation Items

Min/Max Score

Maximum Score Stations Tunnels M&E Works

techniques 3.3. 3.4. 3.5 3.6. 4. 4.1 4.2 4.3 4.4 Compliance with the requirements for the Construction Specifications Adequacy of Environmental and Safety Plans Adequacy of Environmental Plan Adequacy of Safety Plan Construction Equipment and Plants Type of Equipment Number of Equipment Capacity of Equipment Age of Equipment Traffic Management and Temporary Facilities including Land Utilization during Construction Traffic Management Plan Temporary Facilities including Land Utilization Quality Assurance Plan during Construction Organization and Staffing Organization during Design Stage Organization during Construction Stage Evaluation of manpower and manpower mobilization plan Personnel and labour for construction and installation works Compliance with key personnel requirements Project Manager Tunnel Manager Senior E&M Manager Tunnel Foreman Tunnel Shaft Manager Design Manager /11.0 /25.0 /15.0 /10.0 /50.0 /15.0 /10.0 /5.0 /20.0 /50.0 /30.0 /20.0 /50.0 140/200 /30.0 /30.0 /20.0 /20.0 /120.0 /42.0 /13.0 /13.0 17.0 17.0 11.0 11.0 9.0 9.0 6.0 6.0 4.0 4.0 3.0 3.0 29.0 9.0 6.0 2.0 12.0 30.0 18.0 12.0 29.0 14.0 4.0 2.0 2.0 6.0 14.0 8.0 6.0 14.0 7.0 2.0 2.0 1.0 2.0 6.0 4.0 2.0 7.0 6.0 3.0 2.0

No.

Evaluation Items

Min/Max Score /13.0 70/100 50 20

Maximum Score Stations Tunnels M&E Works

5 5.1 5.2 Training

Superintendent

Plan, organisation and methodology for training Number of technical staff available for the services Plan to supply equipments, spare parts and consumable parts to be necessary for training work Maintenance Support Requirements Proposed Maintenance Plan Proposed approach to 2-year maintenance for TVF and ECS in stations and provision of Supervisory team for 5 years Number of technical staff available for the services Major facilities available for the services Spare parts arrangement (available stock, delivery time, etc.)

5.0 2.0

5.0 2.0

40.0 16.0

5.3 6

30 35/ 50 50 /23.5

3.0

3.0

24.0

6.5 2.5

6.5 2.5

37.0 18.5

1)

/10.5 /5.5 /10.5

1.5 1.0 1.5

1.5 1.0 1.5

7.5 3.5 7.5

Training and Transfer of Knowledge/Skills for the Environmental Control System for Underground Stations and Tunnel categorizes as Type-A

The Contractor shall perform all necessary training and transfer knowledge/skills to the personnel OMC maintenance team prior to the date for completion of the Works. Please refer to Section 2.4 above. 2) Training and Transfer of Knowledge/Skills for Other Structures, Equipment and Plant categorized as Type-B

The Contractor shall perform all necessary training and transfer knowledge/skills to the OMC personnel and/or maintenance team prior to the date for completion of the Works

4.3

Levels of Responsiveness Applied for Point Allocation Points will be allocated to each evaluation sub-item in accordance with the level of responsiveness in percentage as mentioned below: Evaluation Items 1. Survey and Design Requirements and Design Programme Point Allocation

Evaluation Items 1.1 Design Work Programme - Good - Fairly Good - Acceptable - Not acceptable 1.2. 1.2.1 Technical solutions proposed in the design Proposed technological solution: state-of-the-art, Conformity with technical requirements of the system - Excellent - Acceptable - Not acceptable 1.2.2 Design Quality and Safety - Excellent - Acceptable - Not acceptable 2. 2.1 Equipment and Materials Supply Requirements Scope of supply - Excellent - Acceptable - Not acceptable 2.2 Meeting technical requirements (nature, specification parameters, standards of production) by the Bid Documents - Excellent - Acceptable - Not acceptable 2.3 Local Conditions - Excellent - Acceptable - Not acceptable 2.4 Product Quality - Good - Fairly Good - Acceptable - Not acceptable 2.5 Organization method of supplying products

Point Allocation 100% 80% 70% 0%

100% 80% 0% 100% 80% 0%

100% 80% 0%

100% 80% 0% 100% 80% 0% 100% 80% 70% 0%

Evaluation Items - Good - Fairly Good - Acceptable - Not acceptable 2.6 Requirements for technical documents and manuals of use with plan of transferring materials as requested by Bid Document - Excellent - Acceptable - Not acceptable 2.7 Requirements for standby equipment and materials - Excellent - Acceptable - Not acceptable 2.8 Requirements for Inspection and Testing with inspection and testing plan for material, equipment and system - Excellent - Acceptable - Not acceptable 3. 3.1 Construction and Installation Requirements Construction Programme - Good - Fairly Good - Acceptable - Not acceptable 3.2 Appropriateness of construction techniques and construction methods for each component - Excellent - Acceptable - Not acceptable 3.3 Adequacy of Environmental and Safety Plans - Excellent - Acceptable - Not acceptable 3.4 Construction Equipment and Plants - Type, number and capacity of equipment

Point Allocation 100% 80% 70% 0%

100% 80% 0% 100% 80% 0%

100% 80% 0%

100% 80% 70% 0%

100% 80% 0% 100% 80% 0%

Evaluation Items - Good - Fairly Good - Acceptable - Not acceptable - Age of equipment - Less than 3 years - 3 - < 6 years - 6 - <10 years - 10 years or more 3.5 Traffic Management and Temporary Facilities including Land Utilization during Construction - Good - Fairly Good - Acceptable - Not acceptable 3.6 Quality Assurance Plan during Construction - Excellent - Acceptable - Not acceptable 4. 4.1 Organization and Staffing Organization during Design Stage - Excellent - Acceptable - Not acceptable 4.2 Organization during Construction Stage - Excellent - Acceptable - Not acceptable 4.3 Evaluation of manpower and manpower mobilization plan - Excellent - Acceptable - Not acceptable 4.4 Compliance with key personnel requirements - Qualification (30% of Score) a) Project Manager, Tunnel Manager, Senior E&M Manager,

Point Allocation 100% 80% 70% 0% 100% 80% 70% 0%

100% 80% 70% 0% 100% 80% 0%

100% 80% 0% 100% 80% 0% 100% 80% 0%

Evaluation Items Tunnel Foreman, Tunnel Shaft Manager - Qualification which designates the specialty of each position, and - Qualification of Civil Engineer with University Degree - Qualification of Civil Engineer with University Degree - No indication b) Design Manager and Superintendent: - Qualification which designates the specialty of each position, and - Qualification of Architect or Civil Engineer with University Degree Qualification of Architect or Civil Engineer with University Degree No indication - Experience (70% of Score) a) Project Manager - Total years of experience: - Experience in similar works: 15 years or more, and 10 years or more, and

Point Allocation 100%

70% 0% 100%

70% 0%

100%

Insufficiency in any of above 2 items a) Tunnel Manager, Senior E&M Manager, Tunnel Foreman, Tunnel Shaft Manager - Total years of experience: - Experience in similar works: 12 years or more, and 7 years or more, and

0%

100%

Insufficiency in any of above 2 items b) Deputy Project Manager, Tunnel Manager, M&E Manager - Total years of experience: - Experience in similar works: 10 years or more, and 7 years or more, and

0% 100%

5. 5.1

Insufficiency in any of above 2 items

0%

Training Plan, organisation and methodology for training - Good - Fairly Good - Acceptable 100% 80% 70%

Evaluation Items - Not acceptable 5.2 Number of technical staff available for the service - Good - Fairly Good - Acceptable - Not acceptable 5.3 Plan to supply equipments, spare parts and consumable parts to be necessary for training work - Good - Fairly Good - Acceptable - Not acceptable 6. Maintenance Support Requirements Proposed Maintenance Plan - Good - Fairly Good - Acceptable - Not acceptable

Point Allocation 0% 100% 80% 70% 0%

100% 80% 70% 0%

100% 80% 70% 0%

4.4

5.

5.1

Evaluation Process The bid evaluation process will be conducted by the General Consultants Bid Evaluation Committee. Although the scoring system and levels of responsiveness have been established, there may be discrepancies in the individually scored results. Thus, in order to ensure best evaluation accuracy and fairness, the scores given by each evaluator will be cross-checked by another evaluators under the guidance of the Bid Evaluation Committee. FINANCIAL AND COMMERCIAL EVALUATION Financial and commercial evaluation will be made for the bids which have been retained through the evaluation of completeness and validity, and technical evaluation in Steps 1 and 2 above. The evaluation will be based on the following elements: Correction of Errors and Adjustment of Differences The priced Cost Centres will be checked to find any arithmetical errors in computation and summation or differences in pricing. The international unit system, where , (comma) is put before hundreds and thousands and . (period) before decimals, will be used in checking the amounts in figures, and the errors shall be corrected appropriately. If no price is entered for any Milestone Item of a Cost Centre proposed by the Bidders, the price of that Milestone Item will be deemed as included in the total amount of the corresponding Cost Centre. Likewise, if any Milestone Item is omitted, it will be deemed as included in other Milestone Items. If there is discrepancy between the contents of the Technical Proposal and the Financial

5.2

5.3

Proposal, the contents of the Technical Proposal will prevail. The errors and/or differences will be corrected and adjusted in the following manner: a) Where there is a discrepancy between the amounts in figures and in words, the amount in words will govern; and b) Where there is a discrepancy between the total amount of a Cost Centre and the actual sum of all the milestone items in that Cost Centre, the amounts of the milestone items will prevail and the total amount of that Cost Centre will be corrected accordingly. Where there is a discrepancy between the fixed lump sum price entered in the Bid Total of the Letter of Bid and the actual sum of amounts of all the Cost Centres, the amounts of the Cost Centres will prevail and the fixed lump sum price will be corrected accordingly. The Employer will inform in writing the Bidder of the correction of errors in his Bid in accordance with the above-mentioned method, and the Bidder shall inform in writing the Employer of his acceptance of such correction. If the Bidder doest not accept the correction, his bid will be rejected and his Bid Security will be forfeited in accordance with Item C20.5 of the Instructions to Bidders. Conversion to Single Currency for Comparison of Bids Bids will be compared in Japanese Yen only. This will be achieved by converting the Local Currency portion into Japanese Yen at the Selling Rate of Exchange prevailing on the date 28 days prior to the date of bid submission (Base Date), as published by Gazette of Ministry of Finance, and then adding the same to the Japanese Yen portion of the Bid. Evaluated Bid Price The evaluated bid price will be determined after correction of errors, adjustment of differences, conversion of the bid price to a common currency to create an equal basis for evaluation. The procedure and factors to be considered in determining the evaluated bid price are as summarized in the following table: No. 1. 2. 3. 4. 5. Proposed Bid Price Correction differences of errors and adjustment Content Determination Basis Letter of Bid of According to Item 5.1 above Value after Item 5.1 According to Item 5.2 Value of bid price determined after the above steps

Bid Price after Correction & Adjustment Conversion to a single currency Evaluation bid price

6.

In the case where exceptional situations occur in the biding process, such situations shall be settled in accordance with the provisions of Article 70 of Decree No.85/2009/ND-CP of October 15, 2009 or any amendment thereto. RANKING OF BIDS Based on the results of evaluation and analysis through the successive Step 1: General Evaluation; Step 2: Technical Evaluation; and Step 3: Financial and Commercial Evaluation described above, the bids will be ranked in order of evaluated bid amount with the following details:

Ranking 1st 2nd 3rd

Bidders Name

Evaluated Bid Amount (1st Lowest) (2nd Lowest) (3rd Lowest)

The bid which has the lowest evaluated bid price (1st Ranking) will be recommended to be the successful bid.