CMH Rev21

Development Bureau
The Government of the Hong Kong Special Administrative Region
Contractor
Management
Handbook
First Issue Date: March 2001

Revision Date: January 2021
REVISION SHEET
First Issue Date: March 2001
Revision No.: 21
Section /
Amendments
Appendix
1 - Editorial change:
• provision of a brief introduction of public works procurement, the
List of Approved Contractors for Public Works (the “List”) and the
List of Approved Suppliers of Materials and Specialist Contractors
for Public Works (the “Specialist List”)
• re-organisation of general provisions applicable to both the List and
the Specialist List in Sections 2 & 3 to Section 1
• other general updating
2 - Revisions in tender limits, financial criteria and admission/ confirmation/

Appendices promotion/ retention requirements for contractors on the List
2A & 2B - Revision of the procedures of admission
- Introduction of the process of regular verification and updating of
Contractor Profile for retention
- Editorial change:
• re-organisation of provisions relevant to tendering to new Section 7
• combination of original Appendices 2A to 2C into a new Appendix
2A and renaming Appendix 2D to Appendix 2B
3 - Revisions in tender limits, financial criteria and admission/ confirmation/

Appendices promotion/ retention requirements for contractors on the Specialist List
3A to 3C - Revision of the procedures of admission
- Introduction of the process of regular verification and updating of
Contractor Profile for retention
- Deletion of four categories 1
- Editorial change:
• re-organisation of provisions relevant to tendering to new Section 7
Appendices • clarification of the procedures of maintaining records and
4A to 4D recommending regulating action of domestic sub-contractors and
minor works contractors due to poor performance in paragraph 4.5.1
and Appendix 4B
1
Repair of Motors, Transformers and Switchgear Category; Fabrication of Steel Pipe Specials Category; Motor
Vehicle Body-building and Painting Category; and Space Frame System Category.
i
Section /
Amendments
Appendix
• updating the guidance notes for individual aspects of performance in
Items 6.6, 6.10, 7.5 & 7.7 in Appendix 4B
• clarification of the policy intent and procedures of regulating actions
• clarification of the circumstances under which contractors, who have
been suspended from tendering for all/some categories of public
works or removed from the List and/or the Specialist List, may act
as sub-contractors on a public works projects
6 - Editorial change
Appendices • re-organisation of provisions in Sections 2 and 3 relevant to change
6A to 6E of company structure in this Section
7 - Editorial change
Appendix • re-organisation of provisions in Sections 2 and 3 relevant to
7A tendering and related parties in this Section.
•
ii
Amendment History (up to Revision B-15 dated 20 July 2018)
Revision
Revision Date TC No. Amendment
No.
0 0 10/03/2001 5/2001 -
1 A 21/06/2002 25/2002 As shown in the Annex to WBTC No.

25/2002.
2 B 16/06/2005 9/2005 As shown in paragraph 7 of ETWB TCW
No.
9/2005.
3 B-1 16/2/2007 Change from 3-grade to 5-grade
Contractors’ Performance Reporting
System – Appendices 4A, 4B & Annex 1 to
Appendix 4B as promulgated by letter to all
contractors on the List of Approved
Contractors for Public Works and the List of
Approved Suppliers of Materials and
Specialist Contractors for Public Works ref:
(01CXS-01-4) in ETWB(PS) 108/34 of 9
Feb 2007.
4 B-1A 2/5/2007 Extension of time allowed for Contractor’s
Performance Report processing –
paragraph 4.6.4 & Appendix 4D as
promulgated by letter to all contractors on
the List of Approved Contractors for
Public Works and the List of Approved
Suppliers of Materials and Specialist
Contractors for Public Works ref: (01FK7-
01-2) in DEVB(PS) 108/34 of 14 May 2007.
5 B-2 2/3/2009 Revision of Section 9 of Contractor’s
Performance Report and Guidance Notes –
Appendices 4A & 4B as promulgated by
letter to all contractors on the List of
Approved Contractors for Public Works and
the List of Approved Suppliers of
Materials and Specialist Contractors for
Public Works ref: (01YTL-01-4) in
DEVB(PS) 108/34 of 6 Mar 2009.
6 B-3 12/6/2009 Revision of Tender Limit - paragraphs
2.2.1 and 2.5.1 & Appendix 2A as
the List of Approved Contractors for Public
Works ref: (0213J-01-1) in DEVB(PS)
108/6/2 of 29 May 2009.
iii
Revision
No.
7 B-4 17/7/2009 Change of contract sum and financial criteria
including employed and working capital and
change of category name – Appendices 3A,
3B & 3C as promulgated by letter to all
contractors on the List of Approved Suppliers
of Materials and Specialist Contractors for
Public Works ref: (021JC-01-5) in DEVB(PS)
108/6/2 of 3 July 2009.
8 B-5 11/11/2009 Revision of academic qualifications –
Annex 15 to Appendix 3C as promulgated
by letter to all contractors under the
“Ground Investigation Field Work”
category of the List of Approved Suppliers
Public Works ref: (0240X-01-4) in
DEVB(PS) 108/34 of 11 Nov 2009.
9 B-5A 1/6/2011 Revision of Section 7 of Contractor’s
Performance Report and Guidance Notes –
Appendices 4A & 4B as promulgated by
Public Works ref: (02BUT-01-7) in
DEVB(PS) 108/34 of 18 May 2011.
10 B-5B 5/8/2011 Checklist for Projects of Considerable
Scope and Complexity under Buildings
category – Annex 1 to Appendix 2B as
promulgated by letter to all contractors
under the “Buildings” category of the List
of Approved Contractors for Public Works
ref: (02CPG-01-2) in DEVB(PS) 108/34 of
5 Aug 2011.
11 B-6 1/9/2011 Change in eligibility of Award of Contracts
to Probationary Contractors – Sections 2 &
3.
12 B-7 30/4/2012 Review of the re-inclusion requirements for
contractors who have been removed due to
misconduct, and other routine updates in
Sections 2, 3 and 5 as promulgated by letter
to all contractors on the List of Approved
Contractors for Public Works and the List of
Specialist Contractors for Public Works ref:
(02FBC-01-9) in DEVB(PS) 108/34 of 30
April 2012.
iv
Revision
No.
13 B-8 28/11/2012 Update on Items 5.8 and 6.7 of “Guidance
Notes
for Completion of Reports” as promulgated
by letter to all contractors on the List of
the List of Approved Suppliers of Materials
and Specialist Contractors for Public Works
ref: (02H8Y-01-5) in DEVB(PS) 108/34 of
28 November 2012.
14 B-9 11/1/2013 Revision of Sections 1 & 6 of the Report on
Contractor’s Performance and the
Guidance Notes for Completion of Reports
at Appendices 4A & 4B as promulgated by
Public Works ref: (02HNX-01-4) in
DEVB(PS) 108/34 dated 11 Jan 2013.
15 B-10 25/3/2013 Promulgation of the establishment of the
category of “Plumbing Installation”, and
revision of the scope and the “minimum
technical and management criteria for
admission, confirmation and promotion”
of the category of “Landscaping: Class I –
General Landscape Work” as promulgated
by letter to all contractors on the List of
Approved Contractors for Public Works
and the List of Approved Suppliers of
Public Works ref: (02J7J-01-5) in
DEVB(PS) 108/34 dated 25 March
2013.
16 B-11 1/9/2013 Revision of the procedures for substitution
of listing status in Sections 2 and 6 as
the List of Approved Contractors for
Public Works and the List of Approved
Suppliers of Materials and Specialist
Contractors for Public Works ref: (02J81-
01-3) in DEVB(PS) 108/34 dated 23
August 2013.
Rectification of the typographic errors on

items 6.8, 7.5 and 7.6 of the Report on
Contractor Performance, Part II, Appendix
4A.
v
Revision
No.
17 B-12 1/12/2013 Revisions in tender limits/financial criteria
and admission/confirmation/promotion
requirements for contractors on the List of
Approved Contractors for Public Works –
Sections 1 and 2, as well as Appendices 2A
and 2B as promulgated by letter to all
Contractors for Public Works ref:
(02LMY-01-11) in DEVB(PS) 108/34 of
28 November 2013.
Revisions in
admission/confirmation/promotion
requirements for specialist contractors
under the categories of Landslip
Preventive/Remedial Works to
Slopes/Retaining Walls and Turn-key
Interior Design & Fitting-out Works –
Appendix 3C and Annex 18 to Appendix
3C as promulgated by letters to all
specialist contractors under the two
relevant categories on the List of
Specialist Contractors for Public Works
ref: DEVB(PS) 108/34 of 28 November
2013.
18 B-13 9/5/2014 As promulgated by letter to all contractors
on the List of Approved Contractors for
Public Works List of Approved Suppliers of
Public Works ref: (02MQF-01-05) in
DEVB(PS) 108/34 of 9 May 2014:
(1) Revision of Sections 2 and 6, as well as
Appendices 6A to 6E to align with the
provision of the new Companies
Ordinance (Cap. 622), which
commenced operation on 3 March 2014;
vi
Revision
No.
(2) Revision of Section 2 to clarify the
counting of Housing Authority contracts
associated with the eligibility to tender
and for the award of contracts, and to
align with the updated guidelines on
public works tender procedures issued
in pursuant to the revised Agreement on
Government Procurement of the World
Trade Organization which came into
force on 6 April 2014 that contractors
not yet on the approved contractor list in
the relevant category / group / status will
be permitted to take tender documents
and may also submit a tender according
to the tender notice;
(3) Revision of Section 5 to clarify the need
to report tendering performance of
contractors in tender exercises which
have been cancelled, and to update the
distribution list in relation to the
regulating actions associated with
contractors given the 2nd consecutive
Adverse report on performance;
(4) Revision of Appendices 4A and 4B to
incorporate new aspects and the relevant
guidelines for the assessment of
contractors’ performance on training of
workers to meet manpower demands and
productivity enhancements into the
Report on Contractor’s Performance and
the Guidance Notes for Completion of
Reports respectively; and
(5) General updating of Sections 2 to 5,
Appendices 3B, 4A, 4B and 5A to 5D,
and Annex 1 to Appendix 3C,
Revisions of Section 4 to subsume the

requirement on deferment of preparation of
a report on contractor’s performance if the
contract commences shortly before the end
of the reporting period as previously
the List of Approved Contractors for Public
Works and the List of Approved Suppliers
Public Works ref: (01RYD-01-6) in
DEVB(PS) 108/34 of 26 May 2008.
vii
Revision Revision Date TC No. Amendment

No.
19 B-14 1/12/2016 Revisions in tender limits/financial criteria
and admission/confirmation/promotion
requirements for contractors on the List of
Approved Contractors for Public Works –
Sections 1 and 2, as well as Appendices 2A,
2B and 2C as promulgated by letter to all
Contractors for Public Works ref: (02VFH-
01-2) in DEVB(PS) 108/34 of 30 November
2016.
Revision of Section 2 to update values of

contracts normally required financial
vetting in paragraph 2.9.2.
General updating of Section 2.

20 B-15 20/7/2018 Clarification of some terms in Section 2.
Update value of contract normally required

financial vetting in paragraph 3.9.2.
Revise “Deputy Secretary for Development

(Works)2” to “Deputy Secretary for
Development (Works)” in paragraph 5.2.1.
viii
CONTENTS
REVISION SHEET
SECTION 1 INTRODUCTION ..................................................................... 1–1

1.1 General ........................................................................................ 1–1
1.2 Effective Date .............................................................................. 1–3
1.3 Effect on Existing Technical Circulars ....................................... 1–3
1.4 Amendments in this Revision...................................................... 1–3
SECTION 2 RULES FOR ADMINISTRATION OF THE LIST OF

APPROVED CONTRACTORS FOR PUBLIC WORKS ..... 2–1
2.1 General ........................................................................................ 2–1
2.2 Group Tender Limits ................................................................... 2–2
2.3 Admission.................................................................................... 2–2
2.4 Re-Admission .............................................................................. 2–5
2.5 Probationary Status...................................................................... 2–5
2.6 Confirmation ............................................................................... 2–6
2.7 Promotion .................................................................................... 2–7
2.8 Retention ..................................................................................... 2–7
2.9 Submission of Accounts .............................................................. 2–8
SECTION 3 RULES FOR ADMINISTRATION OF THE LIST OF

APPROVED SUPPLIERS OF MATERIALS AND
SPECIALIST CONTRACTORS FOR PUBLIC WORKS ... 3–1
3.1 General ........................................................................................ 3–1
3.2 Group Tender Limits ................................................................... 3–1
3.3 Admission.................................................................................... 3–1
3.4 Re-Admission .............................................................................. 3–5
3.5 Probationary Status...................................................................... 3–6
3.6 Confirmation ............................................................................... 3–6
3.7 Promotion .................................................................................... 3–7
3.8 Retention ..................................................................................... 3–7
3.9 Submission of Accounts .............................................................. 3–8
i
SECTION 4 REPORT ON CONTRACTOR’S PERFORMANCE............ 4–1

4.1 General ........................................................................................ 4–1
4.2 Central Record System ................................................................ 4–1
4.3 Managing Department ................................................................. 4–1
4.4 Reporting Department ................................................................. 4–2
4.5 Reports on Contractors’ Performance ......................................... 4–2
4.6 Review of Reports on Contractors’ Performance........................ 4–4
SECTION 5 REGULATING ACTIONS ....................................................... 5–1

5.1 General ........................................................................................ 5–1
5.2 Removal, Suspension, Downgrading or Demotion of Contractors
..................................................................................................... 5–3
5.3 Uplifting of Suspension ............................................................. 5–11
5.4 Contractors Given Adverse Reports on Performance ............... 5–12
5.5 Non-submission of Accounts and Information ......................... 5–16
5.6 Failure to Meet the Financial Criteria ....................................... 5–18
5.7 Contractors Convicted of Contraventions of the Employment
Ordinance (Cap. 57) .................................................................. 5–20
5.8 Contractors Convicted of Employing Illegal Workers or of Having
Illegal Workers on Sites under their Control............................. 5–22
5.9 Contractors Convicted of Site Safety or Environmental Offences or
Incurring Serious Incidents on a Construction Site ................... 5–23
5.10 Non-compliance with the Provisions for Employment of Technician
Apprentices and Building & Civil Engineering Graduates ....... 5–23
5.11 Non-compliance with the Provisions for Engagement of Sub-
contractors Registered under Registered Specialist Trade Contractors
Scheme....................................................................................... 5–23
5.12 Failure to Obtain Quality Management System Certification as
Required .................................................................................... 5–24
5.13 Withdrawal of Tenders within the Tender Validity Period ....... 5–24
5.14 Contractors Convicted of Contraventions of Section 27 of the Public
Health and Municipal Services Ordinance (Cap. 132)………….5–26
ii
SECTION 6 CHANGE OF COMPANY NAME AND COMPANY

STRUCTURE, SUBSTITUTION AND TRANSFER OF
BENEFITS AND OBLIGATIONS OF CONTRACTS .......... 6–1
6.1 Notification of Change of Name ................................................. 6–1
6.2 Actions to be Taken by DEVB .................................................... 6–2
6.3 Actions to be Taken by the Managing Departments ................... 6–2
6.4 Notification to Relevant Bureaux/Departments .......................... 6–3
6.5 Changes in Company Structure ................................................... 6–3
6.6 Substitution .................................................................................. 6–4
6.7 Transfer of Benefits and Obligations of Contracts – Novation ... 6–6
6.8 A Novation Agreement ............................................................... 6–7
6.9 Performance Bond, Joint Venture Guarantee and/or Insurance .. 6–8
SECTION 7 TENDERING ............................................................................. 7–1

7.1 General ........................................................................................ 7–1
7.2 Tendering..................................................................................... 7–1
7.3 Eligibility to Tender for Term Contracts ..................................... 7–2
7.4 Holding Companies, Subsidiaries and Related Parties ............... 7–3
7.5 Eligibility checking of Probationary Contractors ........................ 7–3
7.6 Award of a Contract .................................................................... 7–6
iii
APPENDICES
Appendix 1 - List of Relevant Technical Circulars
Appendix 2A - Minimum financial, technical and management requirements for

the List of Approved Contractors for Public Works
Annex 1 - Guideline/Checklist for Project of Considerable

Scope and Complexity
Annex 2 - Financial Criteria for Administration of the List and

Requirements for Acceptance of a Tender
Annex 3 - Sample Integrity Management Policy
Appendix 2B - Guidelines for Setting up of Integrity Management System
Annex 1 Extracts of the Prevention of Bribery Ordinance
Annex 2 Application for Permission to Accept Gifts,

Souvenirs and other Advantages
Annex 3 Declaration and Management of Conflict of Interest
Appendix 3A - Category, Class and Group in the Specialist List
Appendix 3B - Financial Criteria for Administration of the Specialist List and

Appendix 3C - Minimum Technical & Management Criteria for Admission,

Confirmation, Promotion and Retention of Contractors for the
Specialist List
Annex 1 Staff Qualification for Specific Categories
Annex 2 List of Tools/Equipment and Testing Instruments

for Air-conditioning Installation Category
iv

for Audio Electronics Installation Category

for Broadcast Reception Installation Category

for Burglar Alarm and Security Installation
Category

for Catering Equipment Installation Category

for Diesel Generator Installation Category

for Electrical and Mechanical Installation for
Sewage Treatment and Screening Plant Category

for Electrical Installation Category

for Electronic Timing and Display Installation
Category
Annex 11 Not Used
Annex 12 Standard Requirements for Waterworks

Installations for Fabrication of Unfired Pressure
Vessels Category

for Fire Service Installation Category

for Fountain Installation Category
v
Annex 15 Minimum Personnel Requirements for Ground

Investigation Field Work Category
Annex 16 Minimum Equipment Requirements for Ground

Investigation Field Work Category

for Industrial Type Electrical Installation Category
Annex 18 Technical Requirement for Landslip Preventive/

Remedial Works to Slopes/ Retaining Walls
Category

for Lift, Escalator and Passenger Conveyor
Installation Category

for Liquefied Petroleum Gas Installation Category

for Low Voltage Cubicle Switchboard Installation
Category

for Mechanical Handling and Lifting Installation
Category

for Mechanical Plant and Equipment Installation
Category
Annex 24 Not Used

for Radio Electronics Installation Category
vi
Annex 26 Not Used
Annex 27 Not Used

for Steam and Compressed Air Installation
Category

for Survey of Government Land Pressure Receivers
subject to Steam and Air Pressure (but excluding
Steam Boilers) Category

for Survey of Government Land Steam Boilers
Category

for Survey of Lifting Appliances and Lifting Gear
Category

for Swimming Pool Water Treatment Installation
Category

for Uninterruptible Power Supply Installation
Category

for Video Electronics Installation Category
Annex 35 Minimum Personnel and Equipment Requirements

for Landscaping Category, Class I : General
Landscape Work
Annex 36 List of Tools / Equipment and Testing Instruments

for the Plumbing Installation Category
vii
Appendix 4A - Standard Proforma of the Report on Contractor’s Performance
Appendix 4B - Guidance Notes for Completion of Reports
Annex 1 Scoring Method for Item 6.1 Site Cleanliness in

Section 6 on General Obligations
Appendix 4C - Category Codes
Appendix 4D - Outline Timetable for Reporting on Contractors’ Performance
Appendix 5A - Standard Warning Letter for Poor Performance
Appendix 5B - Standard Letter for Withdrawal of Tender – Type A
Appendix 5C - Standard Letter for Withdrawal of Tender – Type B
Appendix 5D - Standard Letter for Withdrawal of Tender – Type C
Appendix 6A - Notes for Application for Substitution
Appendix 6B - Sample of Undertaking
Appendix 6C - Novation Agreement
Appendix 6D - Novation Agreement For Unincorporated Joint Venture
Appendix 6E - Supplementary Agreement
Appendix 7 - Example on Selection of Tender Combination based on Least

Cost to Government Approach
viii
SECTION 1 INTRODUCTION
1.1 General
1.1.1 The Development Bureau (“DEVB”) aims to deliver quality public works
projects in a safe, timely and cost-effective manner. While maintaining the openness, fairness
and competitiveness of the tendering process, the procurement system as a whole should be
efficient and effective to facilitate selection of suitable and capable contractors in a smooth
manner to meet the fast pace of public works programme. A suite of administrative and
regulatory framework covering the entire procurement process has been developed. The
policy objectives and procedures are detailed in handbooks, circulars and circular memoranda
available at the websites of DEVB and works departments.
1.1.2 In view of the vast volume of public works contracts to be delivered, DEVB has
established the List of Approved Contractors for Public Works (the “List”) and the List of
Approved Suppliers of Materials and Specialist Contractors for Public Works (the “Specialist
List”) to achieve procurement efficacy and facilitate quality assurance. Public works tenders
are usually invited from contractors on the List and/or the Specialist List.
1.1.3 By nature of works, the List comprises five categories: Buildings, Port Works,
Roads and Drainage, Site Formation, and Waterworks; and the Specialist List comprises some
50 categories as at the date of the current version of the Contractor Management Handbook
(the “Handbook”).
1.1.4 To support the procurement of public works contracts, DEVB, with the assistance
of the Managing Departments, administers the List and the Specialist List through the
following processes:
(a) assessing a contractor’s technical and financial capabilities at the time of

application for admission to the List / Specialist List;
(b) further financial vetting before recommending the award of a contract to a

contractor;
(c) monitoring the contractor’s performance and, as appropriate, financial

capabilities periodically;
1–1
(d) taking regulating actions against the contractor as necessary;
(e) reviewing the contractor’s technical and/or financial capabilities when there are
any significant changes to the contractor’s company which may affect the
contractor’s listing status; and
(f) confirming the suitability of retaining the contractor on the List / Specialist List
on a triennial basis.
1.1.5 The guidelines and procedures pertaining to administration and monitoring of the
performance of contractors and suppliers on the List and the Specialist List are consolidated
into the Handbook. DEVB reserves the right to amend the provisions stipulated in the
Handbook and any criteria pertaining to the administration of the List and the Specialist List
without prior consultation with contractors on the List and the Specialist List and any such
amendments will be published by DEVB in the appropriate manner.
1.1.6 By making an application for admission to the List and/or the Specialist List under
any category, the contractor unconditionally accepts the provisions stipulated in the Handbook
and any future amendments or additions thereto. Failure or refusal to observe the provisions
stipulated in the Handbook may lead to refusal of the application for admission to the List
and/or the Specialist List under the category being applied for, or removal from all categories
of the List and/or the Specialist List in which the contractor is listed.
1.1.7 A contractor on the List and/or the Specialist List is required to submit updated
company information (including but not limited to updated partnership agreements if
applicable) upon request of DEVB or the Managing Department for reviewing his listing status
as and when required. It is the duty of the contractor to immediately inform DEVB of any
material changes of his company which may affect his listing status.
1.1.8 A contractor on the List and/or the Specialist List shall be responsible for the good
behaviour of his employees, agents and subcontractors in relation to any public works contract
under his control. The contractor shall advise his employees, agents or subcontractors that
they are not allowed to offer or give any advantage or excessive entertainment to any of the
Government employees or members of their families, or to solicit or accept any advantage or
excessive entertainment from other employees, agents or subcontractors in relation to the works
under any public works contract. The contractor may be subject to regulating actions as stated
in Section 5 if the contractor, his employees, agents or subcontractors have committed an
offence under the Prevention of Bribery Ordinance (Cap. 201) in relation to any public works
1–2
contract. In addition, the contractor may be subject to regulating actions for poor integrity
such as negligence, misconduct and impropriety as proven in cases where his employees,
agents or subcontractors have solicited, accepted or been given advantage as defined in the
Prevention of Bribery Ordinance (Cap. 201) in relation to any public works contract.
1.2 Effective Date
1.2.1 This Handbook was first promulgated via Works Bureau Technical Circular
(WBTC) No. 5/2001 – Contractor Management Handbook in 2001 and thereafter is updated as
and when needed. The current version of this Handbook took effect from 1 March 2021.
When there is any update in the future, the revision date will be stated at the top right corner
of the relevant page.
1.3 Effect on Existing Technical Circulars
1.3.1 The relevant Technical Circulars which have been superseded or subsumed by
this Handbook or shall be read in conjunction with this Handbook are listed in Appendix 1.
The prevailing Technical Circulars are available at DEVB’s website:
https://www.devb.gov.hk/TechnicalCirculars.aspx?section=53&lang=1.
1.4 Amendments in this Revision
1.4.1 Changes incorporated in the previous revisions of this Handbook are listed in the
Revision Sheet and the details of amendments are available at DEVB’s website:
https://www.devb.gov.hk/en/construction_sector_matters/contractors/index.html.
1.4.2 The major amendments made in this Revision of the Handbook are listed below
for ease of reference:
Brief Description Reference
(a) General updating and restructuring All Sections and appendices except
Annexes 3 to 5, 10, 12, 22, 23, 25,
28, 34 to Appendix 3C, Annex to
Appendix 4B and Appendix 5A
1–3
Brief Description Reference
(b) Adjustment of Group Tender Limits, Section 2, Section 3, Appendices

Probationary Limits and Financial 2A (Annex 2), 3B and 3C
Criteria
(c) Revamping of admission and retention Section 2, Section 3, Appendices

requirements 2A, 3A and 3C
1.4.3 The revised tender and probationary limits for the contractors on the List and the
Specialist List shall take effect from 1 March 2021. For contracts with the first date of
invitation for tender being before the effective date of the revised tender limits, the tender limits
before the revision are adopted for assessment purpose.
1.4.4 The revised financial criteria for contractors on the List and the Specialist List
shall take effect from 1 March 2021. Existing contractors on the List and the Specialist List
will be given a grace period of 12 months after which they are required to fully comply with
these revised financial criteria for retention by 1 March 2022. Notwithstanding this grace
period, contractors will have to meet the revised financial criteria when tendering for a new
contract with tender invitation date falling on or after the effective date, viz. 1 March 2021.
1.4.5 The revised admission/ confirmation/ promotion/ retention management and

technical requirements for the contractors on the List and the Specialist List in Section 2 and
Section 3, Appendices 2A and 3C shall also take effect from 1 March 2021. Existing
contractors on the List and the Specialist List will be given a transitional period after which
they are required to fully comply with these revised requirements by 1 March 2024.
Notwithstanding this transition period, contractors shall meet these revised requirements when
tendering for a new contract with tender invitation date falling on or after the effective date,
viz. 1 March 2022.
1–4
SECTION 2 RULES FOR ADMINISTRATION OF THE LIST

OF APPROVED CONTRACTORS FOR PUBLIC
WORKS
2.1 General
2.1.1 The List of Approved Contractors for Public Works (“the List”) comprises
contractors who are approved for carrying out public works in one or more of the categories
listed below.
Category Managing Department
Buildings Architectural Services Department
Port Works Civil Engineering and Development Department
Roads and Drainage Highways Department
Site Formation Civil Engineering and Development Department
Waterworks Water Supplies Department
2.1.2 The Managing Department for a category is the department most closely
connected with that particular type of work and is responsible for servicing and monitoring
the performance of all contractors within that category. The Managing Department for a
category may not necessarily be the department responsible for a contract let under that
particular category.
2.1.3 Contractors within each category are further divided into Group A, B or C
according to the value of contracts for which they are normally eligible to tender.
A contractor’s status in a particular group will be either probationary or confirmed.
Probationary contractors are limited in the number and/or value of contracts for which they
are eligible to tender and to be awarded in accordance with the rules set out in Sub-section 7.5
below.
2–1
2.2 Group Tender Limits
2.2.1 The value upon which contracts are grouped is based on the value of the
tendered sum1 offered by the successful tenderer. The Group Tender Limits are periodically
adjusted and are currently set as follows: -
Group A - contracts of value up to $150 million.
Group B - contracts of value up to $400 million.
Group C - contracts of any values exceeding $400 million.
2.3 Admission
2.3.1 The suitability of a contractor for admission in one or more of the categories and
in a particular group on the List is assessed on the basis of both the contractor’s global business
activity and his activity in Hong Kong. Generally, a contractor will be assessed under six
core elements (viz. safety, experience, management, staff employment, financial capability and
integrity), as well as other technical requirements as detailed at Appendix 2A. A contractor
will normally be admitted initially on probation to the appropriate category and group. If a
contractor can demonstrate that he has satisfactorily completed relevant contracts2 with value
meeting the experience requirements for confirmation, he may be admitted directly to the
confirmed status, provided that he can also meet all other requirements for confirmation for
that particular category and group.
2.3.2 Application details and other relevant information (including the updated List)
can be found in the website of DEVB via the following link:
2.3.3 Applications from contractors for admission to the List can be submitted at
any time, and should be addressed to “Professional Services Unit, Development Bureau, 15/F,
West Wing, Central Government Offices, 2 Tim Mei Avenue, Tamar, Hong Kong”. An
application submission shall include a duly completed, signed and dated application form
1
For New Engineering Contract (NEC), the tendered sum shall be the forecast total of the Prices.
2
In assessing the relevancy of the contracts, there are two requirements: (i) the contracts shall be public works
contracts in Hong Kong of the relevant category for which the contractor is applying; and (ii) for the relevant
contracts concerned, the contractor shall be the main contractor bidding on his own or a participant/shareholder
of a joint venture contractor with the percentage participation of not less than 30%. For the avoidance of
doubt, the contract value should be assessed in accordance with Remark 2.7 of Appendix 2A.
2–2
together with other supporting documents as specified in the guidance notes of the application
form.
2.3.4 Upon receipt of an application by DEVB, the following procedures apply:
(a) The Finance Section of DEVB will investigate whether the applicant meets the
financial criteria as set out in Annex 2 to Appendix 2A. If the financial vetting
cannot be proceeded with due to incomplete or insufficient information from the
applicant, DEVB may request the applicant to provide supplementary information
and/or clarification. If the applicant fails to provide the required information
and/or clarification within 6 weeks of the request, its application may be rejected.
(b) (i) The Managing Department will investigate whether the applicant has met the
criteria in respect of safety, experience, management, staff employment,
integrity and other technical requirements for each category and group
applied for as stipulated in Appendix 2A.
(ii) For the avoidance of doubt, if an applicant applies for more than one category,
only one Managing Department, usually the one responsible for the highest
group applied, will conduct the vetting of safety, management and integrity
requirements. For cases where the groups applied are the same, DEVB will
assign one department for the vetting of these requirements on a rotation basis.
The vetting of other technical requirements will continue to be conducted by
the Managing Department of each category applied for.
(iii) Upon receipt of all necessary supporting information and documents for the
application(s), the Managing Department should submit a recommendation
to DEVB normally within two calendar months from the date of referral to
the Managing Department. All recommendations shall be personally
endorsed by the Deputy Director or an equivalent D3 officer of the Managing
Department. In any event, the Managing Department’s recommendation
should reach DEVB within six calendar months from the date of referral. If
the recommendation could not be provided within such a time, the Deputy
Director or an equivalent D3 officer should give explanations and propose a
reply date to DEVB for consideration.
2–3
(iv) If the Managing Department considers that the applicant has not provided
sufficient information to support his application or if the Managing
Department has any doubt on the information provided by the applicant, the
Managing Department may request the applicant to provide supplementary
information and/or clarifications. If the applicant fails to address the
Managing Department’s request within one calendar month, an officer at D1
rank or above from the Managing Department of the category being applied
for may write to the applicant to reject his application with reasons leading
to such a decision. The rejection letter should be copied to DEVB.
(v) Should the applicant disagree with the Managing Department’s rejection
decision referred to in sub-paragraph (b)(iv), he may write to the Managing
Department, within two weeks of receiving the rejection letter, to request for
reconsideration of his case with reasons and supporting documents. The
Deputy Director or an equivalent D3 officer of the Managing Department
should review the case and make a decision within two calendar months of
the receipt of the applicant’s request. If the applicant is still not satisfied
with the decision, he may further lodge an appeal to DEVB within two weeks
of the receipt of the reply from the Managing Department and the decision of
DEVB shall be final and binding.
(c) Admission will be subject to the applicant meeting the financial criteria, having
the appropriate technical and management capabilities and in all other ways being
considered suitable for admission in the List. For the avoidance of doubt, an
applicant satisfying all applicable criteria in Appendix 2A may nonetheless be
considered unsuitable for admission if there exist any matters which in the
DEVB’s view may affect the applicant’s capabilities in undertaking public works.
2.3.5 If an application is successful, admission to the List will be notified in writing to

the applicant by DEVB. The letter of notification will specify the category or categories to
which the applicant has been admitted, his group and status as either probationary or confirmed
and other conditions/requirements that the contractor shall follow regarding the admission to
the List. For an unsuccessful application, the applicant will be advised of the reasons for not
being admitted but will be given the opportunity to present his view of the matter within two
weeks from the date of notification. The non-admission is confirmed if no representations
from the applicant are submitted within the specified period.
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2.4 Re-Admission
2.4.1 A contractor who has been removed from any category under the List for financial
reasons or for failure to submit a tender within a period of three years under sub-paragraph
5.2.3(b)(vi) below may be allowed to apply for re-admission in that category at any time after
removal. However, a contractor who has been removed from any category under the List for
any other reasons is not eligible for re-admission in that category for a period of two years from
the date of removal. Any application for re-admission, including an application for re-
admission after removal due to misconduct, will be deemed a fresh application for admission
and will be subject to the criteria set forth in these Rules for the time being in force. For the
avoidance of doubt, a contractor who has been removed from the List for any reason other than
financial reasons or failure to submit a tender within a period of three years will not be re-
admitted directly to confirmed status pursuant to paragraph 2.3.1 above.
2.4.2 A contractor who has been removed from the List due to misconduct should
submit with its re-admission application proof of successful completion of integrity training
course 3 , and establishment of an integrity management system (IMS) with the proof of
complying with all the IMS requirements as prescribed in the “Guidelines for Setting Up of
Integrity Management System” provided in Appendix 2B. Such proof should be
substantiated by a statement of compliance issued by an independent auditor recognised by
DEVB, after his completion of the integrity audit exercise.
2.4.3 A contractor re-admitted under paragraph 2.4.2 above is required to upkeep the
operation of the IMS and provide proof of complying with all the IMS requirements thereafter
during the probation period through conducting the integrity audit exercise on a yearly basis.
Failure to satisfy this requirement shall result in regulating action being taken against the
contractor in accordance with Sub-section 5.2 below.
2.5 Probationary Status
2.5.1 Probationary contractors are eligible to tender, and for the award of contracts, in
each of the categories to which they have been admitted on probation, subject also to the rules
set out in paragraphs 7.5.2 to 7.5.6, where applicable, as follows (the rules in this paragraph
2.5.1 shall be read together with paragraph 7.5.1):
3
DEVB, with the assistance of the Corruption Prevention Department of the Independent Commission Against
Corruption (ICAC), will develop training materials and conduct “train-the-trainer” workshops for top
management, technical and supervisory staff of contractors who apply for re-admission in the List after the
removal due to misconduct.
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(a) Probationary contractors in Group A
A probationary contractor is eligible to tender or for award of any number of

Group A contracts in the same category, provided the total value of works in the
Group A contracts that he already holds and the Group A contract being procured
under the same category does not exceed $150 million.
(b) Probationary contractors in Group B
A probationary contractor is eligible to tender or for award of:
(i) any number of Group A contracts in the same category; and
(ii) any number of Group B contracts in the same category, provided the total value
of works in the Group B contracts that he already holds and the Group B contract
being procured under the same category does not exceed $400 million.
(c) Probationary contractors in Group C
Unless provided otherwise, a probationary contractor is eligible to tender or for

award of Group C contracts in the same category, provided that the total number
of the Group C contract that he already holds and the Group C contract being
procured under the same category does not exceed two (2) and that the total value
of works in the Group C contracts that he already holds and the Group C contract
being procured under the same category does not exceed $1,500 million.
2.6 Confirmation
2.6.1 A probationary contractor may apply for confirmation in writing to DEVB when
he has satisfactorily completed or executed works relevant to his probationary status in
accordance with the criteria for confirmation in Appendix 2A. Upon receipt of all necessary
supporting information and documents for the application(s), the Managing Department shall
normally submit a recommendation to DEVB within two calendar months from the date of
referral to the Managing Department. The procedures of submitting a recommendation are
the same as those given in paragraph 2.3.4 above. Confirmation will also be subject to the
contractor being able to meet the financial criteria applicable to confirmed status, having the
appropriate technical and management capabilities and in all other ways being considered
suitable for confirmation. The contractor will be notified in writing accordingly. If the
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contractor’s application is unsuccessful, he will be advised of the reasons.
2.7 Promotion
2.7.1 A confirmed contractor wishing to be promoted to the next higher group in a

particular category may apply in writing to DEVB. Upon receipt of all necessary supporting
information and documents for the application(s), the Managing Department shall normally
submit a recommendation to DEVB within two calendar months from the date of referral to
the Managing Department. The procedures of submitting a recommendation are the same as
those given in paragraph 2.3.4 above. Promotion will be subject to the contractor being able
to meet the financial criteria applicable to the higher group, having the appropriate technical
and management capabilities, a satisfactory record of performance and in all respects being
considered suitable for promotion. The contractor will be notified in writing accordingly. If
the contractor’s application is unsuccessful, he will be advised of the reasons.
2.7.2 Other than in the most exceptional circumstances, a contractor applying for
promotion will be admitted initially on probation to the next higher group and the rules
applicable to probationary contractors will apply.
2.8 Retention
2.8.1 For the purpose of retention on the List and without prejudice to other provisions
in this Handbook, the contractor is reminded to submit the following information:
(a) all company information required under paragraph 1.1.7 and Section 6;
(b) all information required for verifying and updating the Contractor Profile as
detailed in paragraph 2.8.2 below; and
(c) annual audited financial statements or half-yearly management accounts as

required in paragraph 2.9.1 below.
2.8.2 All contractors on the List are required to verify and update the Contractor Profile
at a 3-year interval upon notification from DEVB. Within one month upon receipt of such
notification, a contractor shall submit a duly signed declaration form confirming his
compliance with the retention requirements for the respective category(ies) and group(s) as set
out in Appendix 2A and provide updated company information. If considered necessary, the
Managing Department will request a contractor to provide supporting documents for review.
2–7
Failure to meet the prevailing retention requirements, failure to submit the declaration or the
supporting documents, or provision of incorrect or false declaration and/or information may
lead to regulating action in accordance with Section 5. The guideline for the process, a
specimen of the Contractor Profile and standard forms for updating company information can
be downloaded from the website of DEVB via the following link:
2.9 Submission of Accounts
2.9.1 All contractors shall submit a copy of their unconsolidated audited financial
statements annually to DEVB. In addition, in order to enable the Finance Section of DEVB
to make a more up-to-date financial appraisal, all Group C contractors shall submit half-yearly
management accounts. These shall be certified by their auditors but, if this is not feasible, by
the directors, partners or the sole proprietor of the company.
2.9.2 Contractors are required to provide additional financial information as and when
required to enable the Finance Section of DEVB to carry out ad hoc financial assessment.
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SECTION 3 RULES FOR ADMINISTRATION OF THE LIST

OF APPROVED SUPPLIERS OF MATERIALS
AND SPECIALIST CONTRACTORS FOR PUBLIC
WORKS
3.1 General
3.1.1 The List of Approved Suppliers of Materials and Specialist Contractors for Public
Works (“the Specialist List”) comprises contractors who are approved for carrying out public
works in one or more of the categories. The categories, classes and groups and the
corresponding Managing Departments are listed in Appendix 3A. Some Works Departments
also administer their own contractor/supplier/acceptable material lists and the concerned
information can be found via the links in the website of DEVB.
3.1.2 The Managing Department for a category is the department most closely
connected with that particular type of work and is responsible for servicing and monitoring the
performance of all contractors within that category. The Managing Department for a category
may not necessarily be the department responsible for a contract let under that particular
category.
3.1.3 Some contractors within a category are further divided into classes according to
the type of works within that particular category, and groups according to the value or number
of contracts for which they are normally eligible to tender. For categories with probationary
status, a contractor’s status will be either probationary or confirmed. Probationary contractors
are limited in the number and/or value of contracts for which they are eligible to tender and to
be awarded in accordance with the rules set out in Sub-section 7.5 below.
3.2 Group Tender Limits
3.2.1 Group Tender Limits are applicable to 9 categories of works in the Specialist List.
They are periodically adjusted and are currently set as shown in Appendix 3A.
3.3 Admission
3.3.1 The suitability of a contractor for admission to one or more of the categories and
in a particular group on the Specialist List is assessed on the basis of both the contractor’s
global business activity and his activity in Hong Kong. A contractor will be assessed mainly
3–1
under six core elements, (namely safety, experience, management, staff employment, financial
capability and integrity), as well as other technical requirements as detailed at Appendices 3B
and 3C. For categories with probationary status, a contractor will normally be admitted
initially on probation to the appropriate category, class and/or group.
3.3.2 Application details and other relevant information (including the updated
Specialist List) can be found in the website of DEVB via the following link:
3.3.3 Applications from contractors for admission to the Specialist List can be
submitted at any time, and should be addressed to “Professional Services Unit, Development
Bureau, 15/F, West Wing, Central Government Offices, 2 Tim Mei Avenue, Tamar, Hong
Kong”. An application submission shall include a duly completed, signed and dated
application form together with other supporting documents as specified in the guidance notes
of the application form.
3.3.4 For the admission to those categories 1 on the Specialist List requiring a long
period of trial installation, plant trial, site demonstration and/or factory visit, Managing
Departments are required to establish a “pre-application vetting mechanism”. Under this
mechanism, applicants are allowed to lodge a vetting request to the Managing Department so
that those relatively time-consuming checking processes (e.g. factory visit, site demonstration,
plant trial) could be done/completed to the satisfaction of the Managing Department before the
applicant formally submits his application. For details of the mechanism and other
submission requirements, applicants should refer to the website of the Managing Department.
3.3.5 Upon receipt of an application by DEVB, the following procedures apply:
(a) Except those applications for categories for which financial checking are not
required (see paragraph 3.3.6 below), the Finance Section of DEVB will
investigate whether the applicant meets the financial criteria as set out in
Appendix 3B. If the financial vetting cannot be proceeded with due to
1
“Pre-application vetting mechanism” would only be applicable to the following categories:-
‐ Prestressed Concrete Works for Highway Structures (Classes I and II)
‐ Road Marking
‐ Specialized Operations for Highway Structures (Classes I to V)
‐ Structural Steelwork
‐ Supply and Installation of Bearings for Highway Structures (Classes I and II)
‐ Supply and Installation of Expansion Joints for Highway Structures
‐ Supply of Bituminous Pavement Materials and Construction of Special Bituminous Surfacing
3–2
incomplete or insufficient information from the applicant, DEVB may request

the applicant to provide supplementary information and/or clarification. If the
applicant fails to provide the required information and/or clarification within 6
weeks of the request, its application may be rejected.
(b) (i) The Managing Department will investigate whether the applicant has met
criteria in respect of safety, experience, management, staff employment,
integrity and other technical requirements for each particular category, group
and class applied for as stipulated in Appendix 3C.
(ii) For the avoidance of doubt, if an applicant applies for more than one
category, only one Managing Department, usually the one responsible for
the highest group applied, will conduct the vetting of safety, management
and integrity requirements. For cases where the groups applied are the same,
DEVB will assign one department for the vetting of these requirements on a
rotation basis. The vetting of other technical requirements will continue
to be conducted by the Managing Department of each category applied for.
(iii) Upon receipt of all necessary supporting information and documents for the
application(s), the Managing Department should submit a recommendation
to DEVB normally within three calendar months from the date of referral to
the Managing Department. All recommendations shall be personally
endorsed by the Assistant Director or an equivalent D2 officer of the
Managing Department. In any event, the Managing Department’s
recommendation should reach DEVB within six calendar months from the
date of referral. If the recommendation could not be provided within such
a time, the Deputy Director or an equivalent D3 officer should give
explanations and propose a reply date to DEVB for consideration.
(iv) If the Managing Department considers that the applicant has not provided
sufficient information to support its application or if the Managing
Department has any doubt on the information provided by the applicant, the
Managing Department may request the applicant to provide supplementary
information and/or clarifications. If the applicant fails to address the
Managing Department’s request within one calendar month, an officer at
rank D1 or above from the Managing Department of the category being
applied for may write to the applicant to reject his application with reasons
leading to such a decision. The rejection letter should be copied to DEVB.
3–3
(v) Should the applicant disagree with the Managing Department’s rejection
decision referred to in the sub-paragraph (b)(iv), he may write to the
Managing Department within two weeks of receiving the rejection letter, to
request for reconsideration of his application. The Deputy Director or an
equivalent D3 officer of the Managing Department should make a decision
within two calendar months of the receipt of applicant’s request. If the
applicant is still not satisfied with the decision, he may further lodge an
appeal to DEVB within two weeks of the receipt of the reply from the
Managing Department and the decision of DEVB shall be final and binding.
(c) Admission will be subject to the applicant meeting the financial criteria, having
the appropriate technical and management capabilities and in all other ways being
considered suitable for admission in the Specialist List. For the avoidance of
doubt, an applicant satisfying all applicable criteria in Appendix 3C may
nonetheless be considered unsuitable for admission if there exist any matters
which in the DEVB’s view may affect the applicant’s capabilities in undertaking
public works.
3.3.6 Financial checking is not required for applicants of the following 12 categories
but shall be subject to review from time to time (see also paragraph 7.6.2):
(a) Broadcast Reception Installation
(b) Catering Equipment Installation
(c) Fabrication of Unfired Pressure Vessels
(d) Land, Engineering and Hydrographic Survey Services
(e) Liquefied Petroleum Gas Installation
(f) Radio Electronics Installation
(g) Repair and Restoration of Historic Buildings
(h) Soil and Rock Testing
3–4
(i) Survey of Government Land Pressure Receivers subject to Steam and Air
Pressure (but excluding Steam Boilers)
(j) Survey of Government Land Steam Boilers
(k) Survey of Lifting Appliances and Lifting Gear
(l) Uninterruptible Power Supply Installation
3.3.7 If an application is successful, admission to the Specialist List will be notified in

writing to the applicant by DEVB. The letter of notification will specify the category or
categories to which the applicant has been admitted, his group, class and status as either
probationary or confirmed and any other additional conditions/ requirements that the contractor
shall follow regarding the admission to the Specialist List. For unsuccessful application, the
applicant will be advised of the reasons for not being admitted but will be given the opportunity
to present his view of the matter within two weeks from the date of notification. The non-
admission is confirmed if no representations from the applicant are submitted within the
specified period.
3.4 Re-Admission
3.4.1 A contractor who has been removed from any category under the Specialist List
for financial reasons or for failure to submit a tender within a period of three years under sub-
paragraph 5.2.3(b)(vi) below may be allowed to apply for re-admission in that category at any
time after removal. However, subject to other provisions in this Handbook, a contractor who
has been removed from any category under the Specialist List for any other reasons is not
eligible for re-admission in that category for a period of two years from the date of removal.
Any application for re-admission, including an application for re-admission after removal due
to misconduct, will be deemed a fresh application for admission and will be subject to the
criteria set forth in these Rules for the time being in force. For the avoidance of doubt, where
direct admission is permissible in a category under the Specialist List, a contractor who has
been removed from such category for any reason other than financial reasons or failure to
submit a tender within a period of three years will not be re-admitted directly to confirmed
status in such category under the Specialist List.
3.4.2 A contractor who has been removed from the Specialist List due to misconduct
should submit with its re-admission application proof of successful completion of integrity
3–5
training course 2, and establishment of an integrity management system (IMS) with the proof
of complying with all the IMS requirements as prescribed in the “Guidelines for Setting Up of
Integrity Management System” provided in Appendix 2B. Such proof should be
substantiated by a statement of compliance issued by an independent auditor recognised by
DEVB, after his completion of the integrity audit exercise.
3.4.3 A contractor re-admitted under paragraph 3.4.2 above is required to upkeep the
operation of the IMS and provide proof of complying with all the IMS requirements thereafter
during the probation period or the three-year period starting from the date of re-admission if
the category does not have a probationary status through conducting the integrity audit exercise
on a yearly basis. Failure to satisfy this requirement shall result in regulating action being
taken against the contractor in accordance with Sub-section 5.2 below.
3.5 Probationary Status
3.5.1 Some categories of works have probationary status. Probationary contractors

are eligible to tender and for the award of contracts in each of the categories, classes and/or
groups to which they have been admitted on probation, subject to the rules set out in
Appendices 3B & 3C and, where applicable, paragraphs 7.5.2 to 7.5.6 below. In checking
against the maximum number of contracts and total value of works that a probationary
contractor is eligible to tender and for award of the contracts in a particular category, class and
group, the contracts that the probationary contractor already holds and the contract being
procured in the same category, class and group shall be counted. For the avoidance of doubt,
the limits for award of contracts as specified in Appendix 3C are equally applicable for
checking probationary contractor’s eligibility to tender. For the further avoidance of doubt,
the rules in paragraph 3.5.1 shall be read together with paragraph 7.5.1.
3.6 Confirmation
3.6.1 A probationary contractor may apply for confirmation in writing to DEVB when
he has satisfactorily completed or executed works appropriate to his probationary status in
accordance with the criteria for confirmation in Appendix 3C. The timeframe and
procedures of submitting a recommendation are the same as those given in paragraph 3.3.5
above. Confirmation will also be subject to the contractor being able to meet the financial
criteria applicable to confirmed status, having the appropriate technical and management
2
DEVB, with the assistance of the Corruption Prevention Department of the Independent Commission Against
Corruption (ICAC), will develop training materials and conduct “train-the-trainer” workshops for top
management, technical and supervisory staff of contractors who apply for re-admission in the Specialist List
after the removal due to misconduct.
3–6
capabilities and in all other ways being considered suitable for confirmation. The contractor
will be notified in writing accordingly. If the contractor’s application is unsuccessful, he will
be advised of the reasons.
3.7 Promotion
3.7.1 A confirmed contractor wishing to be promoted to the next higher group in a

particular category and class may apply in writing to DEVB. The timeframe and procedures
of submitting a recommendation are the same as those given in paragraph 3.3.5 above.
Promotion will be subject to the contractor being able to meet the financial criteria applicable
to the higher group, having the appropriate technical and management capabilities, a
satisfactory record of performance and in all respects being considered suitable for promotion.
The contractor will be notified in writing accordingly. If the contractor’s application is
unsuccessful, he will be advised of the reasons.
3.8 Retention
3.8.1 For the purpose of retention on the List, and without prejudice to other provisions
in this Handbook, the contractor is reminded to submit the following information:
(a) all company information required under paragraph 1.1.7 and Section 6;
(b) all information required for verifying and updating the Contractor Profile as
detailed in paragraph 3.8.2 below; and
(c) annual audited financial statements or half-yearly management accounts as

required in paragraph 3.9.1 below.
3.8.2 All contractors on the Specialist List are required to verify and update the
Contractor Profile at a 3-year interval upon notification from DEVB. Within one month upon
receipt of such notification, a contractor shall submit a duly signed declaration form confirming
his compliance with the retention requirements for the respective category(ies), group(s) and/or
class(es) and provide updated company information as set out in Appendix 3C. If considered
necessary, the Managing Department will request a contractor to provide supporting documents
for review. Failure to meet the prevailing retention requirements, failure to submit the
declaration or the supporting documents, provision of incorrect or false declaration and/or
information may lead to regulating action in accordance with Section 5. The guideline for the
process, a specimen of Contractor Profile and standard forms for updating company
3–7
information can be downloaded from the website of DEVB via the following link:
3.9 Submission of Accounts
3.9.1 All contractors, except those under the 12 categories of works as listed in
paragraph 3.3.6 above, shall submit a copy of their unconsolidated audited financial statements
annually to DEVB. In respect of the contractors who are also Group C contractors on the List,
they shall also submit half-yearly management accounts. The accounts shall be certified by
their auditors but, if this is not feasible, by the directors, partners or the sole proprietor of the
company.
3.9.2 Contractors are required to provide additional financial information as and when
required to enable the Finance Section of DEVB to carry out ad hoc financial assessment.
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SECTION 4 REPORT ON CONTRACTOR’S PERFORMANCE
4.1 General
4.1.1 The standard proforma of the report on contractor’s performance is attached at

Appendix 4A. The report should be completed in accordance with the Guidance Notes
attached at Appendix 4B. The category codes are shown in Appendix 4C.
4.2 Central Record System
4.2.1 A computerised Central Record System (i.e. Contractor Management

Information System (“CMIS”)) is maintained by DEVB to monitor the workload,
performance, listing and financial status of contractors entering into contracts with the
Government for capital works including specialist works, term and maintenance contracts and
specialist suppliers. This Central Record System is maintained by SEO(PS), DEVB and is
based on the reports on contractor’s performance compiled by and information received from
bureaux/departments on all current contracts.
4.2.2 Reports that have been held by DEVB for more than 5 years will be destroyed
provided that 10 subsequent reports are held on the contractors for the same category.
Copies of reports held by a department may be retained as long as it is deemed necessary by
that department. However, departments should note that for audit purposes, copies of the
reports must be retained for at least 7 years.
4.2.3 The Central Record System so established provides readily available

information for contractor management and tender assessment purposes. It is imperative to
keep updated information in the system.
4.3 Managing Department
4.3.1 Please refer to paragraphs 2.1.2 and 3.1.2 above for the role of the Managing
Department.
4.3.2 Managing Departments shall receive copies of all Adverse reports on

contractors in the relevant category. If, after comparing all the reports (including the
Adverse reports) on a particular contractor in the category, the Managing Department has a
reason to doubt the assessment in any individual report, it may request the Reporting
4–1
Department to review the report.
4.4 Reporting Department
4.4.1 The department which controls a contract and prepares the reports on the
contractor’s performance on that contract is referred to as the Reporting Department.
4.4.2 After having given the reports appropriate consideration, the Reporting
Departments shall send the copies of all Adverse reports to SEO(PS), DEVB for inclusion in
the Central Record System.
4.4.3 Where the Reporting Department does not assume the role of the Managing
Department, it is important that the Managing Department is fully aware of the existence of
the contract and is kept fully informed of the contractor’s performance. The Reporting
Department shall copy the Letter of Acceptance and all Adverse reports on the contractor’s
performance to the Managing Department. Where the contractor was required to be in more
than one category or was required to be in one of two or more categories and is in more than
one of the relevant categories, copies of the Letter of Acceptance and all Adverse reports shall
be sent to all the relevant Managing Departments.
4.4.4 In addition, Reporting Departments shall send copies of all Adverse reports to
all other Works Departments and Housing Authority. If any department requires further
details with respect to an “Adverse” report, that department shall approach the Reporting
Department who will respond direct, copying correspondence to the relevant Managing
Department.
4.5 Reports on Contractors’ Performance
4.5.1 Regular reports on contractor’s performance are required for all current
contracts. Domestic sub-contracts and minor works will not be included in the performance
reporting system of DEVB, but departments may maintain their own records of
sub-contractors’ and minor works contractors’ performance. For the avoidance of doubt,
departments must properly maintain records of poor performance of these sub-contractors
and minor works contractors, who are on the List and/or the Specialist List. Departments
should promptly give the corresponding Managing Department(s) recommendations, together
with reports concerned, on the necessary actions to be taken against these sub-contractors and
minor works contractors with consistent poor performance (e.g. consecutive reports on poor
performance). All recommendations and reports concerned should also be copied to DEVB
4–2
for information. Upon the receipt of recommendations, reports and other relevant
information from departments, Managing Department(s) should conduct a review on all
recommendations and make a recommendation to DEVB on the follow-up action(s) required.
4.5.2 Subject to paragraphs 4.5.3, 4.5.5 and 4.5.6 below, the reports should normally
be quarterly from the commencement of the Works until the issue of the Maintenance
Certificate or the Defects Liability Certificate, or until completion of all Works Orders in the
case of term contracts.
4.5.3 It is noted that there may be few activities taking place in the very early period
of a contract. To address this situation, the Reporting Officer shall generally not be required
to prepare a report on a contractor’s performance for a reporting period in which the contract
has commenced less than 3 weeks before the end of such a reporting period. The Reporting
Officer should include this short period in the report on contractor’s performance for the
subsequent reporting period instead. Notwithstanding this, if the Reporting Officer
considers that a report on a contractor’s performance is necessary for such a period, e.g. due
to occurrence of a serious incident as defined in DEVB TC(W) No. 3/2009, the Reporting
Officer shall prepare the report and provide reasons in the report to substantiate the need for
reporting for such a short reporting period.
4.5.4 For reporting of contractors’ performance during the maintenance or defects

liability periods, “Attitude to claims” and a minimum of four out of the ten major aspects of
performance shall be assessed and rated. It should be noted that the performance to be
reported during such periods would mainly cover performance of outstanding works and
repair or rectification of defects 1.
4.5.5 After the Maintenance Certificate or the Defects Liability Certificate has been
issued, quarterly reports are no longer required. Instead, except for term contracts for which
no further reports are required, a report on contractor’s performance should be made upon
issue of the final payment certificate (which will cover the resolution of claims).
4.5.6 If a contractor’s overall performance is poor and close monitoring is desirable,

additional six-weekly intervening reports between the normal reporting periods may be made
by the Reporting Officer provided that the contractor shall be given written notice of not less
1
In case when there are no outstanding works and repair/rectification of defects are completed, Reporting
Department may evaluate the need for preparing a quarterly report on contractor’s performance. Subject to
agreement of the relevant Managing Department, Reporting Department may not be required to prepare a
quarterly report within the maintenance or defects liability period. In such case, SEO(PS), DEVB should
be informed accordingly.
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than 7 working days before the next reporting date. The contractor will also be informed
when the intervening reports are no longer required.
4.5.7 The reports should be prepared by the Supervising

Officer’s/Engineer’s/Maintenance Surveyor’s Representative 2 and be agreed by the
Supervising Officer/Engineer/Maintenance Surveyor3. Where a consultant is named as the
Supervising Officer/Engineer/Maintenance Surveyor3 for the contract, the report should be
endorsed by the appropriate officer (D1 or above) of the Reporting Department.
4.5.8 The circulation of reports and correspondence relating to reports shall be

classified as Restricted (Administration).
4.6 Review of Reports on Contractors’ Performance
4.6.1 General
(a) Two levels of Contractors’ Performance Review Committees, namely Reporting

Review Committee (“RRC”) and Managing Review Committee (“MRC”) are
established to ensure that reports on contractors’ performance are properly
reviewed and considered, particularly when action is likely to be taken as a
result of poor performance.
(b) The RRC shall be established within the Reporting Department to review the
performance of all the contractors undertaking works for the department. It
will endorse/amend the Supervising Officer/Engineer/Maintenance Surveyor’s
assessment and forward the reports together with recommendations when
appropriate, to the secretary of the relevant MRC. The MRC shall be
established within the Managing Department to review the performance of those
contractors in the relevant category with respect to all contracts in this category.
(c) Where a Managing Department employs only contractors from the categories it
manages, it may combine the two committees into a single Reporting/Managing
Review Committee. However, if other departments employ contractors from the
categories the Managing Department manages, its Reporting/Managing Review
2
For the purposes of completing reports on contractors’ performance, the terminologies of “Project Manager/
Supervisor/Service Manager” and their delegates in NEC are equivalent to “Supervising Officer/ Engineer/
Maintenance Surveyor” and “Supervising Officer’s/ Engineer’s/ Maintenance Surveyor’s Representative” in
GCC respectively. The Project Manager, the Supervisor and their delegates should coordinate among
themselves to complete the reports.
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Committee must meet at the time for MRCs (see later) so that Reporting
Departments have time to forward copies of their reports.
(d) Where a department establishes RRCs for one or more of its Offices, rather than
a departmental RRC, the Office Reporting Review Committees shall send
copies of the report and recommendations direct to the relevant MRC. Reports
with recommendations may be routed through departmental headquarter if
required by the department.
4.6.2 Reporting Review Committee
(a) Membership shall be: - Chairman : a D2 officer or above
Secretary : Senior professional officer or above
Members : at least a D1 officer or above and one other

officer of at least professional rank
(b) Functions: -
(i) The RRC should preferably review the reports on all contracts under its
jurisdiction. However, this may not be practicable for some departments, who
have a large number of small contracts. The RRC should, however, review and
endorse/amend at least all Adverse and borderline reports. These shall be
brought to the RRC’s attention by the secretary. The Chairman may authorise
the secretary to endorse all other reports on his behalf.
(ii) The Supervising Officer/Engineer/Maintenance Surveyor may be in attendance

as the RRC requires and should normally be so when an Adverse report has
been given. In addition, when the Supervising Officer’s/
Engineer’s/Maintenance Surveyor’s Representative anticipates, towards the end
of the reporting period, that he will give the contractor an Adverse report, he
must advise the officer who will agree his report. The officer concerned
should take particular measures, which would normally include visiting the site,
to satisfy himself that the anticipated assessment is correct.
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(iii) The RRC shall decide which reports are to be confirmed as Adverse reports and
endorsed accordingly by the Chairman. The reasons for amending the
Supervising Officer’s/Engineer’s/Maintenance Surveyor’s assessment must,
when applicable, be recorded on the report. In case the RRC does not accept
the Supervising Officer/Engineer/Maintenance Surveyor’s assessment, the
remarks by the Supervising Officer/Engineer/Maintenance Surveyor, or his
representative, will still be stored in the computerised Central Record System in
DEVB.
(iv) With respect to Adverse reports, the RRC shall decide, in consultation with the
Supervising Officer/Engineer/Maintenance Surveyor what action should be
taken or recommended to the Managing Department. In any event, the
Chairman shall write to the contractor concerned advising him that the report is
Adverse and warning him of the possible consequences.
(v) The secretary shall send copies of all Adverse reports, duly endorsed, to
SEO(PS), DEVB and to the secretaries of the appropriate MRC together with
details of any action being taken as a result of Adverse reports and/or any
recommendations for suspensions (voluntary or mandatory), downgrading or
removal. In addition, the secretary will provide the name of the member of the
RRC the relevant MRC may contact with respect to each Adverse report.
Where downgrading or removal is being recommended, the member of the RRC
named should attend the meeting of the relevant MRC when the contractor
concerned is being considered.
(vi) When an interview with the contractor by the Reporting Department is

considered necessary as a result of Adverse reports, the Chairman or his
representative will interview the contractor.
(vii) The Chairman shall keep the relevant MRC fully informed of interviews held
and any action taken.
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4.6.3 Managing Review Committee
(a) Membership shall be: - Chairman : D3 or above
Secretary : Senior professional officer or above
Members : at least a D2 officer and one other officer of

at least senior professional rank
(b) Functions: -
(i) The secretary shall maintain a record of all reports on contractors’ performance
in the relevant categories and lists.
(ii) The MRC shall review the overall performance of each contractor who receives
an Adverse report by referring to all the current reports on that contractor’s
performance in the relevant category or list. After considering the action being
taken and the recommendations made by the RRC(s), the MRC shall decide
what action it considers appropriate and recommend accordingly.
(iii) For mandatory suspension, downgrading or removal, the Director or the Deputy
Director of the Managing Department, or the Chairman of the MRC should
interview the contractor prior to a recommendation being made to DEVB. The
Supervising Officer/Engineer/Maintenance Surveyor, together with others
considered necessary by the Director of the Managing Department, should
attend the interview. Where a consultant is the Supervising Officer/Engineer/
Maintenance Surveyor, the officer from the Reporting Department who
endorsed the report should also attend the interview.
(iv) For voluntary suspension, the Chairman of the relevant RRC should interview
the contractor if requested to do so by the Director of the Managing Department.
The contractor shall send written confirmation of his acceptance of voluntary
suspension to the Director of the Managing Department who will circulate this
confirmation to all relevant bureaux/departments, Housing Authority and
DEVB.
(v) As soon as the MRC has considered the reports, the secretary shall forward to
DEVB the minutes of the MRC’s consideration of Adverse reports.
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4.6.4 Timetable for Reporting on Contractors’ Performance
(a) Subject to paragraphs 4.5.5 and 4.5.6 above, the reporting date shall normally be
the last day of February, May, August and November.
(b) On or before the third working day after the reporting date (Saturdays not being
counted as working days), the Reporting Officer shall prepare and send the soft
copy of the performance report together with a duly signed hard copy to the
secretary of the RRC for review and endorsement.
(c) At the same time, the contractor shall be sent an advance copy of both Parts I
and II of the report on contractor’s performance, after agreement by the
Supervising Officer/Engineer/Maintenance Surveyor or endorsement by an
officer at D1 rank or above in the case of consultant administered projects.
The report shall be sent to the contractor’s head office by fax or by hand with a
caveat that it will be subject to endorsement by the Chairman of the RRC.
Where the report is subsequently amended by the Chairman of the RRC, the
contractor shall be notified accordingly.
(d) In the event of disagreement with the grading in the performance report, the
contractor should notify the RRC on or before the 6th working day after the
reporting date (Saturdays not being counted as working days) and submit
written representations to the RRC in accordance with sub-paragraph (f) below.
(e) On or before the thirteenth working day after the reporting date (Saturdays not
being counted as working days), the RRC shall complete the review on all the
reports except those where the contractors have indicated disagreements in
accordance with sub-paragraph (d) above and, if the RRC does not propose any
alterations to the performance report, it shall send the reviewed Adverse reports,
together with details of action being taken and recommendation, to reach the
secretary of the relevant MRC, with copies to DEVB (Attention: SEO(PS)),
other Works Departments and Housing Authority. Simultaneously, the
Reporting Department shall arrange to upload all the performance reports to the
CMIS and dispatch written notification to the Managing Department and DEVB
(Attention: SEO(PS)) with all details of the contract number, the contractor’s
name, the contractor’s classification and remarks (stating whether the report is
Adverse or Not Adverse, and other remarks, if any) of each of the performance
reports uploaded to the CMIS on or before the twenty-second working day after
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the reporting date (Saturdays not being counted as working day). Except for
Adverse reports, hard copies of the performance reports need not be sent to the
Managing Department and DEVB.
(f) Subsequent to notifying the RRC of his disagreement with the grading in the
performance report in accordance with sub-paragraph (d) above, the contractor
should submit written representations to the RRC for a review of the grading by
fax or by hand on or before the sixteenth working day after the reporting date
(Saturdays not being counted as working days). The RRC shall inform the
contractor in writing as soon as a decision has been made.
(g) If the RRC intends to alter any grades in the performance report, it shall notify
the contractor its intention in writing on or before the fourteenth working day
(Saturdays not being counted as working days). In the event of disagreement
with such proposed alterations, the contractor should notify the RRC on or
before the sixteenth working day (Saturdays not being counted as working days)
and submit written representations to the RRC for a review of the grading by fax
or by hand on or before the twenty-first working day (Saturdays not being
counted as working days). The RRC shall inform the contractor in writing as
soon as a decision has been made.
(h) On or before the twenty-sixth working day after the reporting date (Saturdays
not being counted as working days), the RRC shall complete the review on the
disagreement of the contractor with the grading in the performance report or its
proposed alterations, and send the reviewed reports, together with details of
action being taken and recommendation, to reach the secretary of the relevant
MRC, with copies to DEVB (Attention: SEO(PS)), other Works Departments
and Housing Authority. Simultaneously, the Reporting Department shall
arrange to upload all the performance reports to the CMIS and dispatch written
notification to the Managing Department and DEVB (Attention: SEO(PS)) with
all details of the contract number, the contractor’s name, the contractor’s
classification and remarks (stating whether the report is Adverse or Not Adverse,
and other remarks, if any) of each of the performance reports uploaded to the
CMIS on or before the thirty-fifth working day after the reporting date
(Saturdays not being counted as working day). Except for Adverse reports,
hard copies of the performance reports need not be sent to the Managing
Department and DEVB. The RRC shall inform the contractor in writing as
soon as a decision has been made.
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(i) On receipt of the reviewed Adverse reports from the RRC, the MRC shall
conduct further review on such reports, the actions being taken and the
recommendations made by the RRC. The minutes of the MRC meeting and
copies of the reports (where applicable) shall then be prepared and dispatched to
DEVB (Attention: SEO(PS)) on or before the thirty-fifth working day after the
reporting date (Saturdays not being counted as working days).
(j) When additional six-weekly intervening reports between the normal reporting
periods are required pursuant to sub-paragraph 5.4.5 (b) (iv) of Section 5, the
Reporting Officer shall proceed with such reporting once the notification has
been sent in accordance with paragraph 4.5.6 even if the review result of the
MRC is not yet available.
(k) When reports are being made for periods with reporting dates different to the
normal quarterly reporting dates, the Supervising Officer/Engineer/
Maintenance Surveyor should complete the report within the time frame
mentioned in sub-paragraph 4.6.4(b) above. However, the Review Committees
shall exercise discretion in scheduling the reviews of reports as they deem
appropriate to the circumstances, i.e. either immediately or as part of the normal
review meeting.
(l) It is recommended that MRCs should fix the dates of their normal review
meetings at least twelve months in advance and advise all RRCs such that all
appropriate representatives will be made available to attend MRC meetings if
required.
(m) The above timetable is illustrated in Appendix 4D. To facilitate timely

generation of performance rating, the Reporting Department shall complete all
actions including those involving disagreement with proposed alterations and
upload all the performance reports to the CMIS within the time limit specified
above.
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SECTION 5 REGULATING ACTIONS
5.1 General
5.1.1 The List, Specialist List and the associated regulatory regime are put in place to
ensure that certain standards of financial capability, expertise, management, quality and safety are
maintained by the contractors carrying out Government works. If doubts arise about the ability
of a contractor to meet the minimum standards generally or for a particular category/class of
contracts, it is appropriate that he is not allowed to tender for any new works until he can
demonstrate that he can meet the required standards.
5.1.2 The Secretary for Development reserves the right to remove any contractor from the
List and/or the Specialist List or take other regulating action against a contractor such as
suspension, or where applicable, downgrading to probationary status or demotion to a lower group,
in respect of all or any of the works categories he is in. Save for those circumstances stipulated
in paragraphs 5.2.3(c)(ii), (c)(iii) and (d)(i) and Sub-sections 5.4 to 5.14 below which will be dealt
with in accordance with the procedures provided therein, before deciding on any regulating action,
a contractor will be given adequate warning of and reasons for the action proposed, and the
opportunity to present his views on the matter with supporting information and documents where
applicable.
5.1.3 Circumstances which may lead to the taking of regulating actions include, but are
not limited to: -
(i) unsatisfactory performance;
(ii) failure to submit a valid competitive tender for a period of three years;
(iii) failure to submit accounts or meet the financial criteria within the prescribed time;
(iv) failure to answer queries or provide information relevant to the listing status of a
contractor on the List and/or the Specialist List within the prescribed time;
(v) misconduct or suspected misconduct;
(vi) winding-up, bankruptcy or other financial problems;
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(vii) poor site safety record;
(viii) failure or refusal to implement an accepted tender;
(ix) poor environmental performance;
(x) court convictions, such as contravention of site safety legislation and Employment
Ordinance and employment of illegal workers;
(xi) failure to employ the minimum number of full time management and technical
personnel;
(xii) violation of laws;
(xiii) poor integrity of his employees, agents and sub-contractors in relation to any
public works contract;
(xiv) public interest;
(xv) public safety and public health;
(xvi) serious or suspected serious poor performance or other serious causes in any public
or private sector works contract;
(xvii) failure to comply with any of the provisions in this Handbook giving rise to
reasonable suspicions as to the capability or integrity of the contractor;
(xviii) failure to provide proof of complying with all the IMS requirements for the purpose
of upkeeping the operation of the IMS.
5.1.4 The following Sub-sections set out the guidelines for administration and the
circumstances under which regulating action against contractors may be warranted. They apply
to contractors/suppliers on both the List and the Specialist List. In the event that special
circumstances of a particular case arise which warrant taking of regulating action but do not fit
into any of the guidelines, the Secretary for Development may nonetheless take regulating action
in the particular case as he/she deems proper.
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5.2 Removal, Suspension, Downgrading or Demotion of Contractors
5.2.1 Letters notifying contractors of their removal, suspension, downgrading or

demotion from the List and/or the Specialist List will be issued only by DEVB and be signed
by the Deputy Secretary for Development (Works).
5.2.2 If the tenderer or, if the tenderer is a partnership or an unincorporated or

incorporated joint venture, any participant of the partnership or unincorporated joint venture or
shareholder of the incorporated joint venture is under suspension from tendering for public
works in a particular category or in all categories, his tender for that particular category or for
all categories, as the case may be, will not be considered unless the suspension is lifted by the
Works Department or DEVB by the date set for the close of tender, or if this has been extended,
the extended date. If the tenderer or, if the tenderer is a partnership or an unincorporated or
incorporated joint venture, any participant of the partnership or unincorporated joint venture or
shareholder of the incorporated joint venture is under voluntary suspension from tendering for
public works in a particular category or in all categories, at the date of tender invitation but
subsequently revokes the voluntary suspension without agreement in writing from either the
Works Department or DEVB, his tender for that particular category or for all categories, as the
case may be, will not be considered.
5.2.3 As a general requirement, when a case arises in a public works contract which
warrants taking of regulating action against a contractor/supplier on the List and/or Specialist
List, the department (“the department concerned”) which administers the works contract
directly or indirectly through entrustment to another party should be responsible for initiating
the process of taking regulating actions against the contractor/supplier concerned in accordance
with the guidelines below. Prompt action shall be taken by the head of the department
concerned to decide whether the contractor/supplier concerned should be removed, suspended,
downgraded or demoted, and recommend the proposed regulating action to the Managing
Department of the categories concerned. The department concerned should also copy its
correspondences with the Managing Department to DEVB. In considering the
recommendation made by the department concerned, the Managing Department may consult
other departments which may be affected by the case. The Managing Department shall make
a recommendation to DEVB for consideration within a reasonable period of time (preferably
not more than six weeks after the receipt of the recommendation of the department concerned).
Such a recommendation should be personally endorsed by an officer at D3 rank or above of
the Managing Department. In drawing up its recommendation to DEVB, the Managing
Department should make reference to the following guidelines which indicate the normal
sanction to be imposed in given circumstances. It is open to the department concerned and
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the Managing Department to recommend a more severe or less stringent action if particular
circumstances warrant it. When a case arises in a non-Government construction contract
which warrants taking of regulating action against a contractor/supplier on the List and/or
Specialist List, the Managing Department may initiate a recommendation on its own in the
absence of a recommendation from the department concerned, if it thinks fit. In any case,
DEVB has its right to initiate any regulating actions that it considers necessary.
(a) Circumstances warranting removal from all categories in which the contractor is
listed
(i) Serious misconduct.
(ii) Complicity in the serious misconduct of an employee, agent or sub-contractor.
(iii) Removal by the Registered Contractors' Disciplinary Board from the Contractors'
Register maintained under the Buildings Ordinance. If a contractor is
disciplined by the Registered Contractors' Disciplinary Board, the Director of
Buildings shall inform DEVB so that consideration may be given to the
imposition of an appropriate penalty (removal, suspension, downgrading or
demotion in respect of the contractor's position on the List and/or the Specialist
List. When a contractor, who is also on the Contractors' Register kept by the
Building Authority, is removed from the List and/or the Specialist List for
misconduct, DEVB may refer the case to the Building Authority who may then
decide under the Buildings Ordinance whether or not to refer the case to the
Registered Contractors' Disciplinary Board.
(iv) Bankruptcy and winding up of business.
(v) Poor performance or other serious causes which is/are considered by the Secretary
for Development as serious in any public or private sector works contract.
(b) Circumstances warranting removal from a particular category
(i) Failure to submit a competitive tender within a period of three years in any
category despite being eligible to do so, or submission of non-conforming tenders
on three or more occasions within a period of three years in any category;
provided that such practice gives rise to reasonable suspicions as to the capability
or integrity of the contractor concerned. For the purpose of this sub-paragraph,
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tenders withdrawn after the tender closing date shall be considered as non-
submission of tender. Where the provision of certain information is an
“essential requirement” of a tender, the tender without giving such information or
giving incomplete information stipulated as essential requirement shall be
considered as non-conforming. A competitive tender is defined as a conforming
tender which is capable of being accepted under the Government’s procurement
guidelines, rules and procedures and the tender price 1 does not exceed 25% of
the average tender price of all tenders received under the tender exercise. Any
tender which is non-conforming or is not capable of being accepted under the
Government’s procurement guidelines, rules and procedures shall not be
considered as a competitive tender. A warning letter shall be sent by the
Managing Department, copied to DEVB at least six months but not more than one
year before the expiry of the three-year period, to any contractors who appear
likely to fall into this situation. If, at the expiry of the period, no tenders have
been submitted or there are submissions of non-conforming tenders on three or
more occasions, a further letter seeking explanation shall be sent. The
Managing Departments should take all explanations into account before
recommending removal. Nevertheless, if the circumstances of the cases warrant,
the Managing Departments may recommend DEVB to take other regulating
actions (such as suspension, downgrading to probationary status or demotion to a
lower group) against the contractor concerned. A contractor who tenders for a
project open to contractors in more than one category shall be credited with
having tendered in each of those eligible categories for which he is listed.
Records of contractors' tenders, whether accepted or not, are to be maintained by
the Managing Department of the relevant category. When a department other
than the Managing Department calls tenders in a category, the tenders shall be
reported to the Managing Department after acceptance, or as the case may be,
approval of the cancellation of the tender exercise by the Central Tender Board or
Public Works Tender Board or other relevant approving authority.
(ii) Withdrawal of tenders in a category within the tender validity period therefor on
two or more occasions within a 12-month period as stipulated under Sub-section
5.13 below.
(iii) Poor site safety record in a category.
1
For NEC, tender price shall be the forecast total of the Prices submitted.
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(iv) Poor performance in a category, normally but not necessarily on more than one
contract.
(v) Failure to obtain Quality Management System certification after having been
suspended for three years (including voluntary and mandatory suspension).
(vi) Failure to submit a tender in a category within a period of three years despite
being eligible to do so.
(vii) Failure/continued failure to satisfy requirements on the management and technical

capability after having been suspended from tendering in a particular category under
sub-paragraph 5.2.3(d)(v) below.
(c) Circumstances warranting mandatory suspension from tendering in all categories

(Unless otherwise directed by DEVB, a review should be carried out by the
Managing Department at appropriate timing prior to the expiry of suspension
period.)
(i) Misconduct or suspected misconduct.
(ii) Indications of cash flow problems (care must be taken that suspension on these
grounds will not aggravate the problems).
(iii) Poor performance, where it is desirable to ensure that the contractor completes his
current commitments before undertaking further projects. Guidelines for
monitoring of performance in Sub-section 5.4 below should be followed prior to a
recommendation for suspension.
(iv) Suspected serious poor performance or other serious causes in any public or private
sector works contract.
(v) Poor environmental protection record.
(vi) Poor site safety record.
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(d) Circumstances warranting mandatory suspension from tendering in a particular

category (Unless otherwise directed by DEVB, a review should be carried out by
the Managing Department at appropriate timing prior to the expiry of suspension
period.)
(i) Poor performance in a contract. Guidelines for monitoring of performance given

in Sub-section 5.4 below should be followed prior to a recommendation for
suspension. While poor performance in a particular category will generally warrant
suspension only in that category of work, departments may consider recommending
to DEVB for suspension to be extended to other categories if the contractor
repeatedly shows poor performance in aspects, such as poor management ability,
which are likely to adversely affect other categories.
(ii) Poor site safety record in a category.
(iii) Failure to comply with the provisions for employment of Technician Apprentices
and Building and Civil Engineering graduates as required.
(iv) Failure to comply with the provisions for employment of sub-contractors registered
under the Specialist Trade Contractors Registration Scheme of the Construction
Industry Council as required.
(v) Failure to submit information and/or satisfy requirements on the management and
technical capability.
(vi) Failure to obtain Quality Management System certification as required.
(vii) Withdrawal of tenders in a category within the tender validity period therefor on two
or more occasions within a 36-month period as stipulated under Sub-section 5.13
below.
(viii)Failure to submit Sub-contractor Management Plans as required.
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(e) Circumstances warranting downgrading or demotion in a particular category
(i) Poor performance, normally but not necessarily on more than one contract (in the
case of probationary contractors in the lowest groups, this will normally warrant
removal from the List and/or the Specialist List).
(ii) Failure/continued failure to satisfy the requirements on the management and

technical capability after having been suspended from tendering in a particular
category under sub-paragraph 5.2.3(d)(v) above but the management and technical
capability satisfies the requirements of a probationary contractor in the same group
or a lower group within a specified category.
5.2.3A Further to the above paragraph 5.2.3, removal or suspension from the List and/or
the Specialist List or from a particular category thereof will normally prohibit a contractor
from acting as a sub-contractor on a public works project, unless:
(a) the contractor concerned has been awarded the sub-contract at a time prior to the
effective date of his removal or suspension from the List and/or the Specialist List;
or
(b) the removal or suspension of the contractor concerned from the List and/or the
Specialist List was due to reasons in accordance with Sub-section 5.5 or 5.6 below;
or
(c) the works to be undertaken by the contractor as a sub-contractor is NOT specified

in a public works contract to be supplied or carried out by contractor on the List
and/or the Specialist List.
5.2.4 For the purpose of paragraphs 5.1.3(v), 5.2.3(a)(i) and 5.2.3(c)(i) in determining
whether a contractor has committed acts of serious misconduct, misconduct or suspected
misconduct, the acts or omissions of:
(a) a director of a contractor (if the contractor is a company) or a partner in a

contractor (if the contractor is a partnership) or a participant/shareholder of a joint
venture contractor; or
(b) any person who, under the immediate authority of the board of directors of the
contractor, exercises managerial functions; or
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(c) any employee, agent or sub-contractor of the contractor (other than the persons
referred to in (a) or (b) above), if the contractor has knowledge (actual or implied)
or ought to have known or is being reckless as to the serious misconduct,
misconduct or suspected misconduct of the employee(s), agent(s) or sub-
contractor(s) concerned,
shall be deemed to be the acts or omissions of the contractor.
5.2.5 (a) For the purpose of paragraphs 5.1.3(v), 5.2.3(a)(i), 5.2.3(a)(ii), 5.2.3(c)(i) and 5.2.4,
“misconduct” means any unlawful behaviour involving corruption or fraud or
breach of faith whether or not the person charged with an offence is convicted for
offence involving the unlawful behaviour but a conviction of a criminal offence shall
be conclusive for the requirement of misconduct. “Suspected misconduct” shall be
construed accordingly but if the person is charged with any offence involving
corruption, fraud or breach of faith, it shall be conclusive for the requirement of
suspected misconduct. In determining whether there is “serious misconduct”, all
relevant factors including but not limited to (i) the facts and circumstances giving
rise to the misconduct concerned, (ii) the ranking, the involvement and role of the
contractor’s employee, agent and sub-contractor who has been involved in the
misconduct concerned, (iii) the contractor’s immediate response to the
misconduct concerned, (iv) the contractor’s benefit that could have arisen or has
arisen out of the misconduct concerned, and (v) the consequences brought about
by the misconduct concerned, shall be considered.
(b) For the purpose of paragraph 5.2.4(c), “reckless” means “heedless of the risks of
misconduct where the person can foresee, or should reasonably have foreseen,
some probable or possible harmful consequence of risks but nevertheless decides
to continue with those actions or omissions with an indifference to, or conscious
disregard of, the consequences of risks”. The nature of the risk is to be assessed
by reference to whether it is obvious to an ordinary prudent person that the act or
omission of the contractor is capable of causing misconduct which gives rise to
the consideration of regulating action(s).
(c) For the avoidance of doubt, “sub-contractor” referred to in paragraphs 5.1.3(xiii),

5.2.3(a)(ii) and 5.2.4, and this paragraph includes all tiers of sub-contractors, and
employees and agents of all tiers of sub-contractors.
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5.2.6 Pursuant to paragraphs 2.4.3 and 3.4.3, a contractor failing to provide proof of
complying with all the IMS requirements for the purpose of upkeeping the operation of the
IMS will be mandatorily suspended from tendering in all categories. The contractor shall prove
to DEVB that the IMS requirements are met before he is considered for reinstatement.
5.2.7 The Secretary for Development may additionally initiate regulating actions on
contractors under the following circumstances:
(a) Persistent convictions pertaining to site safety and other construction activities;
(b) Repeated failure to submit accounts and supplementary information and satisfy
retention requirements in force at the time;
(c) Be convicted of illegal worker offences for more than two times within a rolling
12-month period;
(d) Contravention of the Employment Ordinance;
(e) Contravention of the Competition Ordinance (Cap. 619).
5.2.8 Notwithstanding paragraph 5.2.3 above, the department concerned and/or the
Managing Department should take note of the following requirements to facilitate the timely
action to be taken by DEVB: -
(a) Departments concerned should report immediately to DEVB (Attention: Principal

Assistant Secretary (Works)4) cases of prosecution and/or conviction of integrity-
related offences involving contractor(s) in relation to contracts under their
purview when such cases come to their knowledge.
(b) For any cases involving more than one department concerned and/or Managing
Departments, DEVB may assign a department to take a leading role in following
up the case.
(c) For any cases involving serious or suspected serious poor performance of the
contractor, or other serious causes in respect of any non-Government construction
contracts, DEVB may assign an appropriate department to conduct an
investigation and make a recommendation to DEVB.
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(d) For the purpose of recommending an appropriate regulating action(s) (e.g. the
period of suspension commensurate with the severity of the case) to DEVB in
accordance with paragraph 5.2.3, the following factors should be considered: -
(i) the facts and circumstances giving rise to the case which warrants the
consideration of taking regulating action;
(ii) the ranking, involvement and role of the contractor’s staff who has been involved
in the case concerned;
(iii) the contractor’s immediate response to the case concerned;
(iv) the contractor’s remedial/preventative measures taken before and after the
occurrence of case concerned;
(v) records of the contractor’s past performance and regulating action(s) taken
against it;
(vi) the consequences brought about by the case concerned (e.g. the losses to the
Government if the cases were NOT revealed and whether the losses are
irrecoverable);
(vii) the contractor’s benefit that has arisen or could have arisen by the case concerned;
(viii)whether the contractor is a repeated offender for the case(s) of similar nature;
(ix) whether the contractor is genuinely contrite or remorseful about the occurrence
of the case concerned; and
(x) any special consideration warranting a more severe or less stringent action.
5.2.9 The measures referred to Sub-section 5.2 are cumulative and not mutually exclusive.
The Secretary for Development may take one or more measures where the circumstances of the
case warrant so.
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5.3 Uplifting of Suspension
5.3.1 Except those voluntary suspensions mentioned in Sub-section 5.4 below and those
suspensions mentioned in Sub-sections 5.7 to 5.14 below, which will be dealt with in accordance
with the procedures provided therein, as a general requirement, contractors suspended by DEVB
for whatever reason are required to meet the normal entry criteria including submission of the
latest audited financial statements and/or management accounts where appropriate for a financial
check, and other additional requirements imposed by DEVB before consideration can be given to
their reinstatement on the List and/or the Specialist List. Failure to meet these requirements may
result in extension of the suspension period, downgrading to probationary status, demotion to a
lower group or removal from a category of the List and/or the Specialist List.
5.4 Contractors Given Adverse Reports on Performance
5.4.1 The purpose of removal, suspension, downgrading or demotion of contractors from

the List and/or the Specialist List following an Adverse report is to ensure that: -
(a) only suitable competent contractors are allowed to tender for contracts;
(b) pressure is put on the contractor to improve his performance; and
(c) contractors are all treated alike: firmly, but with consistency and fairness.
5.4.2 Please note sub-paragraph 4.6.4(c) above for the requirement of sending an advance
copy of the Report on Contractor’s Performance to the contractor.
5.4.3 For tenders invited without the exact category of works having been specified, the
department managing the contract will act as the Managing Department for the purpose of
performance reporting and taking appropriate regulating actions.
5.4.4 The Government must act fairly when taking regulating actions. Contractors must,
therefore, be provided with the gist of the Government’s case and be given adequate warning of
proposed actions so that they may have the opportunity to present their view of the matter. Full
consideration must be given to any points raised by contractors before action is taken.
5.4.5 Because the circumstances of contracts and contractors vary greatly, the following
actions to be taken for consecutive Adverse reports are not rigid requirements, but if they are not
followed, written justification is required on file.
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(a) 1st Adverse report: -
(i) Warning Letter - The Chairman of the Reporting Review Committee (“RRC”) shall
write on behalf of his Director to the contractor within two weeks of the reporting
date advising him that the report is Adverse and the reasons for the Adverse report,
and warning him of the need to improve (standard letter at Appendix 5A). The
Managing Department will be advised of the same.
(ii) Interview - The Chairman of the RRC or his representative shall interview the
contractor within three weeks of the reporting date to discuss the shortcomings in
his performance, the seriousness of the situation, and the need to suspend him from
further tendering should there be a consecutive Adverse report. The Chairman shall
write on behalf of his Director to the contractor confirming the points made. It is
particularly important to include the warning of possible suspension in the letter to
the contractor. The Managing Department will be advised of the same.
(b) 2nd consecutive Adverse report: -
(i) Voluntary Suspension - The Chairman of the RRC or his representative shall write
to the Managing Department for approval to interview the contractor with the aim of
seeking the contractor's agreement to voluntary suspension i.e. to refrain from
tendering. Upon receipt of the approval from the Managing Department (which
should be issued promptly), the Chairman of the RRC will then interview the
contractor (normally within 2 weeks after obtaining the approval from the Managing
Department) explaining that his continuing poor performance requires action to
protect Government's interests by ensuring that the contractor is not awarded any
further contracts in the category until confidence in his performance is restored. At
the same time, the Chairman of the RRC will invite the contractor to agree to
voluntary suspension and to confirm this in writing to the Director of the Managing
Department within 1 week after the interview date. The contractor should be
warned that failure to agree to voluntary suspension within 1 week after the
interview date could lead to mandatory suspension which will result in publication
of the suspension by DEVB through appropriate means including DEVB’s webpage,
press release, gazette, etc. as DEVB thinks fit. The Chairman of the RRC should
also confirm other points made at the interview and warn the contractor that at the
end of the contract his performance will be assessed and if the overall assessment is
Adverse, he may be downgraded, demoted or removed. The contractor should also
be informed at the interview that he will be placed on a six weekly reporting
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schedule.
(ii) On receipt of confirmation of voluntary suspension in writing, the Director of the

Managing Department will circulate this confirmation to all the Works Departments,
the Housing Authority and DEVB under restricted cover. The start date of the
voluntary suspension shall be the date the contractor agrees to the suspension in
writing or the date the Managing Department receives the written confirmation from
the contractor concerned, whichever is the later. The period of voluntary suspension
should continue until the suspension has been uplifted by the Managing Department.
Uplifting of the voluntary suspension should be considered when the contractor has
performed satisfactorily for a minimum of six months or until and in any event an
overall review of the situation should be carried out at the first quarterly review after
substantial completion/satisfactory completion of the contract (or de facto
completion 2 where certificates of substantial completion/satisfactory completion
have not been issued), whichever is the later. If voluntary suspension was made
during the maintenance period or defects liability period, uplifting of the voluntary
suspension should be considered when the contractor has performed satisfactorily
for a minimum period of three months. The Chairman of the RRC shall write to the
Director of the Managing Department recommending uplifting of voluntary
suspension who shall then consult all the other Works Departments to ensure that
there are no objections to the uplifting. Confirmation of the uplifting of suspension
shall then be made by the Managing Department to all the Works Departments, the
Housing Authority and DEVB under restricted cover.
(iii) If the contractor does not agree to voluntary suspension, the Chairman of the RRC
shall write to the Managing Department recommending that the contractor be
suspended on a mandatory basis for the same period and subject to the same follow-
up action as if the contractor agreed to voluntary suspension. If the Managing
Department agrees to the RRC’s recommendation, a proposal for mandatory
suspension of the contractor shall be made to DEVB and copied to the RRC. In
general, the Managing Department should only disagree with the recommendation
of the Chairman of the RRC if there is a possibility that suspension of the contractor
could adversely affect other contracts held by the contractor. Notwithstanding the
above, if the case warrants, DEVB may request the Managing Department to review
the justification(s) of the RRC’s recommendation and to interview the contractor
2
For re-entered contracts, the de facto completion would be taken as at the time when all remaining works left
by defaulting contractor and other necessary works (including rectification or remedial works) arising out of
re-entry have been completed by others.
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further to ensure that the RRC’s recommendation is fair and reasonable. The
Chairman of the Managing Review Committee (“MRC”) shall write under
restricted cover to all the Works Departments, the Housing Authority and DEVB
advising why the recommendation for mandatory suspension of the contractor has
not been supported. Mandatory suspension of a contractor will be actioned by
DEVB and published through appropriate means as DEVB thinks fit.
(iv) Six Weekly Reporting – This shall be introduced after the second consecutive
Adverse quarterly report and continued until a Not Adverse report is received.
Thereafter normal quarterly reports apply. If the six weekly reports on a contract
have been discontinued and the contractor subsequently receives a further Adverse
report, the six weekly reports should be immediately reintroduced until a Not Adverse
report is received. Six weekly reports carry the same weight as quarterly reports
and should be completed and processed in exactly the same manner. The RRC
should normally review the six weekly reports shortly after they have been received,
to ensure the effectiveness of the more intense monitoring system.
(c) Continuing Adverse reports: -
Six weekly reporting should continue. Further interviews with the contractor shall
be at the discretion of the Reporting and Managing Department.
(d) End of contract: -
At the first quarterly review after substantial completion/satisfactory completion of

the contract (or de facto completion2 where certificates of substantial
completion/satisfactory completion have not been issued) for which any Adverse
report has been received, an overall review should be carried out by the RRC to
decide whether or not a recommendation should be made to downgrade, demote or
remove the contractor from the List and/or the Specialist List. The Managing
Department should be informed of the RRC decision. To ensure fair and proper
conduct of the end of contract review and consistent practices adopted for reviews
by different RRCs, Managing Departments should draw up tailored guidelines for
RRCs’ reference.
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(e) More than one contract receiving Adverse reports in a category: -
(i) If a contractor receives 1st Adverse reports simultaneously in several contracts in a

category, the Managing Department may consider stronger regulating action than
those recommended in sub-paragraph 5.4.5(a) above.
(ii) At the stage when voluntary suspension is proposed, if the contractor has Adverse
reports in contracts under two Reporting Departments, but in the same category, the
Director of the Managing Department may decide to interview the contractor
personally.
(f) Adverse reports in several categories: -
At the stage when voluntary suspension is proposed, within the general framework
of the guidelines, Managing Departments of the several categories involved should
agree as to who should interview the contractor and to which category or categories
the suspension should apply. If this cannot be resolved, the matter should be
referred to DEVB for a decision.
5.4.6 Departments may consider recommending suspension to be extended to other

categories if a contractor consistently shows poor performance in aspects, such as poor
management ability, which are likely to affect other categories of works. In such cases, the
Chairman of the RRC shall write to the Chairman of the MRC recommending suspension in more
than one category. The Chairman of the MRC will assess the reasons given by the RRC and
make a follow-up recommendation to DEVB.
5.4.7 Notwithstanding the provisions given in paragraph 5.4.5 above for consecutive
Adverse reports, the RRC should consider recommending suspension in cases of repeated Adverse
reports which are not consecutive. The procedure shall be similar to that set out in sub-paragraph
5.4.5(b) above.
5.4.8 As a general principle, in the case of contracts being carried out by joint venture,
partnerships or consortia, the regulating actions arising from poor performance on a contract shall
be applied equally to all individual members of the joint venture. Nevertheless, if the case
warrants, DEVB may take different regulating actions against individual members of the joint
venture.
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5.5 Non-submission of Accounts and Information
5.5.1 Failure to submit accounts, answer queries or provide information within the
prescribed time will warrant: -
(a) mandatory suspension from tendering; or
(b) removal from the List and/or the Specialist List.
5.5.2 Contractors failing to submit annual audited financial statements/ half-yearly

management accounts within the following time limits shall be suspended automatically from
tendering. Regarding the submission of annual audited financial statements, if the auditor has
issued a disclaimer of opinion or adverse opinion on the annual audited financial statements,
the contractor shall be deemed as failing to submit the required annual audited financial
statements, unless or until the contractor submits another audited financial statements for the
same accounting year or for a subsequent period with the auditor’s opinion that the financial
statements fairly present the financial position of the contractor. Contractors deemed as
failing to submit the annual audited financial statements shall be suspended automatically from
tendering.
Submission Contractors Time Limit

Contractors on the List of 6 months after the end
Approved Contractors for of the accounting period
Public Works - Groups A, B &
Annual Audited C
Financial
Statements
Contractors/Suppliers on the 6 months after the end
List of Approved Suppliers of of the accounting period
Materials and Specialist
Contractors for Public Works
Half-yearly Contractors on the List of 6 months after the end

Management Approved Contractors for of the accounting period
Accounts Public Works - Group C
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5.5.3 Within two months but not less than one month before the prescribed time limit,
a letter shall be sent by registered post to contractors to warn them that they will be suspended
unless annual audited financial statements/ half-yearly management accounts are submitted
within the time limit. Under no circumstances would extension of the due date be granted.
5.5.4 A contractor suspended under paragraph 5.5.2 above will not be reinstated
automatically upon submission of annual audited financial statements/ half-yearly management
accounts. The reinstatement shall only be considered after the contractor has submitted all
his omitted annual audited financial statements/ half-yearly management accounts and has
proved to the satisfaction of DEVB that his financial position meets all the criteria appropriate
to his group and status.
5.5.5 If a contractor fails to answer queries or provide information within the specified
time for financial assessment, he shall be suspended from tendering automatically until he has
proved that his financial position meets all the criteria appropriate to his group and status.
5.5.6 Should the contractor fail (or be deemed to fail) to submit two consecutive audited
financial statements within 6 months after the end of the last accounting period, or be suspended
for one full year under paragraph 5.5.2 or 5.5.5 above and yet to provide (a) the annual audited
financial statements and/or half-yearly management accounts, the outstanding answer(s), or
information, which gave rise to the aforesaid suspension, and (b) other documents/information
required by DEVB as specified in the letter of suspension, he shall be removed automatically
from the List and/or the Specialist List.
5.5.7 These procedures will be applied by DEVB. The Works Departments will not
be consulted prior to taking action but will immediately be informed.
5.5.8 If any member of a joint venture or consortium is suspended from tendering under
these procedures, then the joint venture or consortium shall be ineligible to tender.
5.6 Failure to Meet the Financial Criteria
5.6.1 Failure to meet the financial criteria or requirements as established by DEVB

within the prescribed time will warrant: -
(a) mandatory suspension from tendering (a time limit for review to be set and the
contractor will be subject to a financial vetting before being considered for
reinstatement); or
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(b) downgrading to probationary status or demotion to a lower group of the List and/or
the Specialist List; or
(c) removal from the List and/or the Specialist List.
5.6.2 If a contractor fails to make good the shortfall in share capital, employed capital
and/or working capital within the time period as specified by DEVB for retention purpose, he
shall be suspended automatically from tendering for a minimum period of six months starting
from the commencement of the suspension notified by DEVB in the letter of suspension or
until the shortfall is rectified, whichever is later.
5.6.3 Should the contractor fail to meet any financial criteria (including, but not limited
to, to make good the shortfall in capital(s)) within one year from the commencement of the
suspension shown in the letter of suspension, he shall be removed automatically from the List
and/or the Specialist List.
5.6.4 The following regulating actions shall be applicable to the contractors on the List
and/or the Specialist List and be imposed against those contractors incurring substantial loss in
their business: -
(a) If any contractor suffers from an average loss rate greater than 20% in any one
year, a warning letter shall be sent by the Finance Section of DEVB (copied to
SEO(PS), DEVB and all the Works Departments) reminding the contractor that
should the average loss rate exceed 30% based on the audited financial statements
of the subsequent financial year, the contractor may be downgraded, demoted or
removed from all the categories in which he is listed. Upon notification, the
Works Departments shall increase their general vigilance in supervising the
contractor’s works.
(b) If any contractor suffers from an average loss rate greater than 30%, the contractor
shall be:
(i) downgraded to probationary status if he holds a confirmed status in any group

or category; or
(ii) demoted to confirmed status of a lower group if he holds a probationary status

in the higher group; or
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(iii) demoted to a lower group if he is under a category in the Specialist List which
has no probationary status; or
(iv) suspended from tendering if he holds a probationary status in the lowest group or
category or is under a category in the Specialist List which has no probationary
status.
(c) For contractors regulated under sub-paragraph (b) above, if their average loss
rates continue to be above 30% based on the audited financial statements for the
following two financial years, the regulating actions in sub-paragraph (b) above
shall be imposed again. A contractor who has been suspended from tendering
under sub-paragraph (b)(iv) above will be removed from the List and/or the
Specialist List.
(d) Provided that the contractor has not been removed from the List and/or the
Specialist List, if his latest audited financial statements show that the average loss
rate is less than 30%, the regulating action imposed under sub-paragraph (b) or
(c) above could be uplifted and the contractor could reinstate his status to that just
before the latest regulating action subject to meeting all the criteria including
financial requirements appropriate to his group and status.
(e) If the contractor’s audited financial statements show that the average loss rate
exceeds 30%, the contractor can inject capital to strengthen the shareholder’ funds
or net worth, which will be taken into account in determining the revised loss rate
for the year under review.
(f) A contractor who is regulated under the Profitability Trend Analysis (“PTA”)
may apply to waive the application of PTA upon the provision of full justification.
In this regard, approval will be granted only under special circumstances.
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5.7 Contractors Convicted of Contraventions of the Employment Ordinance (Cap. 57)
5.7.1 Any contractors convicted of three or more offences under the Employment
Ordinance (Cap. 57), in respect of separate incidents in a rolling 12-month period, shall be
compulsorily and automatically suspended from tendering for public works for six months. The
suspension shall take effect from the date of the last conviction. Convictions in respect of all
public and private contracts shall be counted.
5.7.2 On expiry of the six-month suspension period, if there have been no further
convictions as defined in paragraph 5.7.1 above under the Employment Ordinance (Cap. 57)
during the suspension period, the suspension shall be lifted. If there have been any further
conviction/convictions as defined in paragraph 5.7.1 above during the suspension period, the
suspension shall automatically continue for six months from the date of the last conviction until
there is no further conviction during the extended period or further extended period.
5.7.3 The date of conviction, not the date of commission of the offence, shall be used in
determining action under these procedures.
5.7.4 These procedures will be applied by DEVB. The Works Departments will not be
consulted prior to taking action but will immediately be informed.
5.7.5 The General Condition of Tender in relation to the statement of convictions under the
Employment Ordinance (Cap. 57), as shown in the website of DEVB, shall be included in all
tender documents.
5.7.6 A tender will not be considered if, by the date set for the close of tender, or the
extended date if this has been extended, the tenderer or, if the tenderer is a partnership or an
unincorporated or incorporated joint venture, any participant of the partnership or
unincorporated joint venture or shareholder of the incorporated joint venture is suspended from
tendering under the provisions of this Sub-section.
5.7.7 Departments shall include in the tender reports submitted to the relevant Tender
Board a statement stating that the recommended tenderer is not suspended from tendering under
the provisions of this Sub-section.
5.7.8 A conviction against each participant of the partnership or unincorporated joint

venture or shareholder of the incorporated joint venture shall be counted as a conviction against a
partnership or an unincorporated joint venture or incorporated joint venture with different
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participants for the partnership or unincorporated joint venture or different shareholders for the
incorporated joint venture for which the conviction was made.
5.7.9 For a limited company which substituted a partnership or sole proprietor or a

limited company which substituted another limited company as defined in Sub-section 6.5, the
limited company shall disclose the name of the entity prior to the substitution, where such
substitution takes place within the 12-month period prior to the tender closing date.
Convictions of the limited company including convictions of the entity (which includes
partnership or sole proprietorship or limited company) before substitution, which fall within
the 12-month period prior to the tender closing date, shall be taken into account in the tender
assessment.
5.7.10 Where the tenderer is a partnership or an unincorporated or incorporated joint

venture, the provisions of paragraph 5.7.9 above shall apply to participants of the partnership
or unincorporated joint venture or shareholders of the incorporated joint venture who is/are
limited company/companies.
5.8 Contractors Convicted of Employing Illegal Workers or of Having Illegal Workers

on Sites under their Control
5.8.1 Any contractors convicted of three or more offences under the Immigration
Ordinance (Cap. 115), for employing illegal workers or for having illegal workers on sites
under their control in respect of separate incidents in a rolling 12-month period, either as main
contractors or sub-contractors (whether nominated, specialist or domestic) or otherwise as
persons/companies who have control over or are in charge of the construction sites, shall be
compulsorily and automatically suspended from tendering for public works for six months.
Illegal workers shall mean any persons on construction sites who are illegal immigrants; or any
persons who, being not lawfully employable by virtue of Section 17G(2) of the Immigration
Ordinance, have committed an offence under Section 41 by contravening the conditions of stay
in force in respect of them. The suspension shall take effect from the date of the last
conviction. Convictions in respect of all public and private contracts shall be counted.
5.8.2 On expiry of the six-month suspension period, if there have been no further
convictions as defined in paragraph 5.8.1 above under the Immigration Ordinance (Cap. 115)
during the suspension period, the suspension shall be lifted. If there have been any further
conviction/convictions as defined in paragraph 5.8.1 above during the suspension period, the
suspension shall automatically continue for six months from the date of the last conviction until
there is no further conviction during the extended period or further extended period.
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5.8.3 The date of conviction, not the date of commission of the offence, shall be used
in determining action under these procedures.
5.8.5 The General Condition of Tender in relation to the statement of convictions under
the Immigration Ordinance (Cap. 115), as shown in the web-site of DEVB, shall be included
in all tender documents.
5.8.6 A tender will not be considered if the tenderer or, if the tenderer is a partnership
or an unincorporated or incorporated joint venture, any participant of the partnership or
unincorporated joint venture or shareholder of the incorporated joint venture is suspended from
tendering under the provisions of this Sub-section, unless the suspension is lifted by the date
set for the close of tender, or if this has been extended, the extended date.
5.8.7 Departments shall include in the tender reports submitted to the relevant Tender
Board a statement stating that the recommended tenderer is not suspended from tendering under
the provisions of this Sub-section.
5.8.8 A conviction against each participant of the partnership or unincorporated joint

venture or shareholder of the incorporated joint venture shall be counted as a conviction against
a partnership or an unincorporated joint venture or incorporated joint venture with different
participants for the partnership or unincorporated joint venture or different shareholders for the
incorporated joint venture for which the conviction was made.
5.8.9 For a limited company which substituted a partnership or sole proprietor or a

limited company which substituted another limited company as defined in Sub-section 6.5, the
limited company shall disclose the name of the entity prior to the substitution, where such
substitution takes place within the 12-month period prior to the tender closing date.
Convictions of the limited company including convictions of the entity (which includes
partnership or sole proprietorship or limited company) before substitution, which fall within
the 12-month period prior to the tender closing date, shall be taken into account in the tender
assessment.
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5.8.10 Where the tenderer is a partnership or an unincorporated or incorporated joint

venture, the provisions of paragraph 5.8.9 above shall apply to participants of the partnership
or unincorporated joint venture or shareholders of the incorporated joint venture who is/are
limited company/companies.
5.9 Contractors Convicted of Site Safety or Environmental Offences or Incurring

Serious Incidents on a Construction Site
5.9.1 Please refer to DEVB TCW No. 3/2009 for details.
5.10 Non-compliance with the Provisions for Employment of Technician Apprentices

and Building & Civil Engineering Graduates
5.10.1 Please refer to ETWB TCW No. 12/2003 for details.
5.11 Non-compliance with the Provisions for Engagement of Sub-contractors Registered

under Registered Specialist Trade Contractors Scheme
5.11.1 Please refer to Chapter 7 of the PAH, available in the website of CEDD, for details.
5.12 Failure to Obtain Quality Management System Certification as Required
5.12.1 Please refer to WBTC No. 13/2001 and ETWB TCW No. 13/2001A for details.
5.13 Withdrawal of Tenders within the Tender Validity Period
5.13.1 A contractor shall exercise reasonable care in preparing his tender. A contractor
who engages in any of the following inappropriate conducts, some of which may involve
breaches of contract, may find himself the subject of regulating action:
(a) withdrawal of his tender within the tender validity period;
(b) refusal to comply with the Conditions of Tender;
(c) refusal to withdraw a tender qualification or post-tender qualification irrevocably

and unconditionally unless such qualification is explicitly permitted in the
Conditions of Tender; and
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(d) refusal to make good the shortfall in share capital, employed capital and working
capital within the specified time required for the award of the tender.
5.13.2 Refusal may be by way of positive refusal or failure to respond to requests or

enquiry from the Employer or his agent. Failure to respond in the specified manner or by
the specified deadline may also be regarded as failure to respond. The inappropriate conducts
listed in paragraph 5.13.1 above are regarded as withdrawals of tenders in a particular category
within the tender validity period.
5.13.3 Upon becoming aware of the inappropriate conduct as described in paragraph

5.13.1 above, the procuring department shall seek legal advice from the Legal Advisory
Division (Works) of DEVB on whether legal action is recommended.
5.13.4 The Government may take legal action against a contractor to recover damages
where there has been a breach of an implied contract by the contractor. In any event,
withdrawal of a tender by the contractor under any of the situations mentioned in paragraph
5.13.1 above and which gives rise to reasonable suspicions as to the capability or integrity of
the contractor shall result in regulating action being taken against the contractor unless the
contractor can offer an acceptable explanation for such conduct.
5.13.5 Where it is established that a contractor engages in conduct as described in

paragraph 5.13.1 above and which gives rise to reasonable suspicions as to his capability or
integrity, the procuring department shall notify the Chairman of the related MRC within one
week enclosing copies of the relevant correspondence with a copy to DEVB (Attn: Principal
Assistant Secretary (Works)4) advising him of the name of the defaulting contractor, the tender
closing date, the contract number, the contract title, the predominant category of works and the
type of conduct as described in paragraph 5.13.1 above.
5.13.6 Upon receipt of the said notification from the procuring department, the Chairman
of the MRC shall take the following actions:
(a) If the notification is the first one in a rolling 36-month period, the following
actions should be taken.
(i) The MRC Chairman shall write on behalf of his Director to the contractor
preferably within two weeks from the date of receipt of the notification from the
procuring department, seeking an explanation from the contractor as to the
reasons for the inappropriate conduct (using the standard letter at Appendix 5B).
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(ii) If the MRC Chairman is satisfied with the contractor’s explanation, the contractor
shall be advised (using the standard letter at Appendix 5C) that the inappropriate
conduct will be recorded but will not be counted for the purposes of taking
regulating actions.
(iii) If the contractor has failed to respond or if the MRC Chairman is not satisfied
with the contractor’s explanation and considers that the inappropriate conduct
could have been reasonably avoided, the contractor should be warned (using the
standard letter at Appendix 5D) that should he engage in further inappropriate
conduct as described in paragraph 5.13.1 above either in the next 12-month period
or 36-month period, regulating actions will be taken in accordance with sub-
paragraphs (b) or (c) below unless the contractor can offer an acceptable
explanation for such conduct.
(b) If the notification is the second one in respect of the same category of works in a
rolling 12-month period, the following actions should be taken.
(i) The MRC Chairman shall follow the same procedures laid down in sub-
paragraphs (a)(i) and (a)(ii) above.
(ii) If the contractor has failed to respond or despite the contractor’s explanation, the
MRC Chairman is satisfied that the inappropriate conduct gives rise to reasonable
suspicions as to the capability or integrity of the contractor, he should recommend
to DEVB to remove the contractor from that particular category. DEVB will
give a further opportunity to the contractor to present his case before determining
whether to take regulating action against him as recommended by the MRC
Chairman.
(c) If the notification is the second one in respect of the same category of works in a
rolling 36-month period, the following actions should be taken.
(i) The MRC Chairman should follow the same procedures laid down in sub-
paragraphs (a)(i) and (a)(ii) above.
(ii) If the contractor has failed to respond or despite the contractor’s explanation the
MRC Chairman is satisfied that the inappropriate conduct gives rise to reasonable
suspicions as to the capability or integrity of the contractor, the MRC Chairman
should recommend to DEVB to suspend the contractor from tendering for public
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works contracts in that category for six months. DEVB will give a further
opportunity to the contractor to present his case before deciding whether to take
regulating action against him as recommended by the MRC Chairman.
5.13.7 If DEVB decides to take regulating action against a contractor in accordance with
this Sub-section 5.13 and where the contractor is a joint venture, then each and every participant
(in the case of an unincorporated joint venture) or shareholder (in the case of an incorporated
joint venture) shall be subject to the same regulating action.
5.13.8 For the purpose of counting the number of tender withdrawal and taking
regulating action, the date of withdrawal shall be taken as the tender closing date of the contract
concerned. In the event that there is uncertainty as to which date is the date of withdrawal, the
decision of the Secretary for Development in this connection is final.
5.14 Contractors Convicted of Contraventions of Section 27 of the Public Health and

Municipal Services Ordinance (Cap. 132)
5.14.1 Please refer to ETWB TCW No. 22/2003 and 22/2003A for details.
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SECTION 6 CHANGE OF COMPANY NAME AND COMPANY

STRUCTURE, SUBSTITUTION AND TRANSFER
OF BENEFITS AND OBLIGATIONS OF
CONTRACTS
6.1 Notification of Change of Name
6.1.1 When the company name of a contractor has been changed, the contractor shall
notify DEVB in writing of the change of name and submit:
(a) a copy of the Business Registration Certificate in the new name;
(b) (i) in the case of a company incorporated in Hong Kong, a copy of the
Certificate of Change of Name issued under Section 107(3)(b) of the
Companies Ordinance (Cap. 622); or
(ii) in the case of a registered non-Hong Kong company, a copy of the

Certificate of Registration containing the current corporate name issued
under Section 779(1)(b) of the Companies Ordinance (Cap. 622), and a
legal opinion (original) from a lawyer practising in the country in which
the company was incorporated confirming that under the law of that
country a change of name by the company does not affect any rights or
obligations of the company, or render defective any legal proceedings by
or against him, and any legal proceedings that could have been
commenced or continued against him by his former name may be
commenced or continued against him by his new name. The authenticity
of the lawyer’s professional qualifications also needs to be certified
correct by a government or related establishment;
(c) a list of all current contracts the contractor has entered into with the
Government; and
(d) documents on change of bank accounts, if any.
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6.2 Actions to be Taken by DEVB
6.2.1 Subject to and upon the receipt of the above documents from the contractor,
DEVB will register the change of name in the List and/or the Specialist List and category in
which the contractor was previously listed under the former company name; and notify the
Managing Department(s) of the change.
6.2.2 Contractors are required to:
(a) submit the original or certified true copy of their latest audited financial
statements after the aforesaid change; and
(b) answer all reasonable enquiries from DEVB
to ascertain that the financial criteria and requirements for both retention and tendering
purposes are met. Alternatively, a contractor’s audited financial statements immediately
before the change and his most up-to-date management accounts after the change would be
accepted in lieu of the latest audited financial statements after the change if the contractor’s
auditors can confirm to DEVB that there is no impact on the contractor’s financial position
arising from the change.
6.3 Actions to be Taken by the Managing Departments
6.3.1 Upon the notification of DEVB, the corresponding Managing Department for
the category or categories in which the contractor is listed shall consider whether the changes
will affect the ability of the contractor to perform satisfactorily and collect from the
contractor all the necessary documents in relation to his technical ability in the new name
such as copy of Quality Management System certificate and the Certificate of Registration of
General/Specialist Contractor. The Managing Departments shall investigate if necessary
and recommend to DEVB whether there should be any change in the contractor’s status
within one calendar month from the date of referral by DEVB. The procedures of
submitting a recommendation are the same as those given in paragraph 2.3.4 or paragraph
3.3.5 above. Regardless of the outcome of the action taken, existing contracts with the
contractor will remain unaffected. The contractor will continue to be allowed to tender for
contracts under the appropriate category or categories in which the contractor is listed unless
the contractor has been suspended from tendering or removed from the List or the Specialist
List.
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6.3.2 The Managing Departments should note that a change of name per se, or in the
case of a non-Hong Kong company as confirmed by the legal opinion referred to in paragraph
6.1.1(b)(ii), does not affect the legal status, or any of the rights or obligations of the company.
It is therefore not necessary to initiate procedures such as the issue of questionnaires, as if it
were a request by a new contractor for admission to the List and/or the Specialist List. The
contractor should simply be addressed by the new name in the administration of all current
contracts.
6.4 Notification to Relevant Bureaux/Departments
6.4.1 DEVB will inform all relevant bureaux/departments of the change of name and
any consequential changes in the contractor’s status under the List and/or the Specialist List.
6.5 Changes in Company Structure
6.5.1 As provided in paragraph 1.1.7, it is the duty of the contractor to immediately

inform DEVB of any material changes of his company which may affect his listing status,
which include changes in company structure. When there are changes to the partnership, the
contractor shall submit updated partnership agreements to DEVB in accordance with the
guidance notes of the application form. Upon receipt of the contractor’s notice or update,
DEVB will carry out vetting and, where necessary, ascertain the contractor’s capability for
retention on the List and/or the Specialist List. Secretary for Development shall have the
absolute discretion on whether or not such changes shall be approved for purpose of retention
on the List and/or the Specialist List and shall inform the contractor in writing as soon as a
decision has been made.
6.5.2 Changes of a limited company involving a change in his legal entity are not
allowed. It will be classified and dealt with as substitution under Sub-section 6.6.
6.5.3 Changes from sole-proprietorship to partnership are normally allowed, provided

that the sole-proprietor becomes one of the partners in the partnership, holding a majority
percentage of share after the change and the newly-formed partnership meets the minimum
financial and personnel requirements as set out in Annex 2 to Appendix 2A and Criteria 3
and 4 of Appendix 2A or Appendices 3B and 3C as appropriate. When DEVB is
informed of the change, the contractor shall confirm in writing whether there are any changes
to the firm such as management and technical personnel of the contractor and, if so, specify
the details of the change. Changes from sole-proprietorship to a limited company are not
allowed except as set out in Sub-section 6.6 below.
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6.5.4 Changes in partnership involving mere addition of partner(s) are normally

allowed, provided that the existing partners before the addition remain as partners in the
newly constituted partnership and the newly constituted partnership meets the minimum
financial and personnel requirements as set out in Annex 2 to Appendix 2A and Criteria
3-5 of Appendix 2A or Appendices 3B and 3C as appropriate. Financial assessment will
be conducted to ascertain if the new composition of partnership still meets the retention
requirements in the List and/or the Specialist List. When DEVB is informed of the change,
the contractor shall confirm in writing whether there are any changes to the firm such as
management and technical personnel of the contractor and, if so, specify the details of the
change.
6.5.5 For changes in partnership involving the death or retirement or replacement of

an existing partner, a full vetting on the firm’s financial, management, technical and
personnel capabilities shall be conducted afresh in accordance with the criteria specified in
Appendix 2A or Appendices 3B and 3C. For the purpose of assessing the technical and
management capabilities under Appendix 2A or Appendix 3C, the experience of each
partner will be apportioned according to his percentage of share in the partnership. Any
experience or qualification claimed by a partner by virtue of being a shareholder, director,
agent or employee of a limited company will not be counted as the experience or qualification
of the partner. Under normal circumstances, only the experience or qualification obtained
by a partner in the capacity of a proprietor or a partner of a partnership will be counted. The
partnership must collectively meet the stipulated requirements.
6.5.6 Changes from sole-proprietorship or partnership to a limited company are not

allowed, unless such changes are allowed under Sub-Section 6.6.
6.5.7 Any contractor who fails to comply with the retention requirements set out in
this Sub-section or fails to obtain the approval of DEVB for the changes shall be liable to be
removed from all categories of the List and/or the Specialist List.
6.6 Substitution
6.6.1 The structure of a contractor may change, for example, from a

sole-proprietorship or partnership to a limited company or a company may wish to transfer
his listing status to his holding or subsidiary company. All these cases are regarded as
applications for substitution.
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6.6.2 Application for substitution will be considered/allowed to cater for genuine

organizational restructuring to suit the business needs of contractors whilst upholding
government procurement principle of open and fair competition. Subject to the conditions
and procedural requirements as set out in paragraphs 6.6.3 to 6.6.6 below, a contractor may
submit an application for substitution which, if approved, will permit another company (the
“new company”) to inherit the company listing status, records of company experience, past
performance, convictions, accidents and regulating actions of the company being substituted
(the “outgoing company”).
6.6.3 The “Notes for Application for Substitution” at Appendix 6A describes the
pre-requisites and essential information for the completion of the substitution process. A
sample of undertaking, which should be signed by both the outgoing company and the new
company is shown at Appendix 6B. The date of approval for substitution will be the day
executing novation agreements of all outstanding contracts, if any, among the outgoing
company, the new company and the Government.
6.6.4 Upon receipt of an application for substitution, SEO(PS), DEVB will refer the
application to the Managing Departments concerned for the vetting of the technical and
management capability of the new company. These cases will be handled in the same
manner as application for admission. In addition, all relevant bureaux/departments will be
required to check whether the outgoing company has any outstanding contracts with them
and confirm to SEO(PS), DEVB within 3 working days the full list of contracts requiring
novation. The basic principle is to novate all contracts where final payment certificates
have not yet been issued and those contracts where final payment certificates have been
unilaterally issued by the Supervising Officers / Engineers / Maintenance Surveyors but
disputed by the contractor. Relevant bureaux/departments should however be reminded to
check cautiously all contracts still undertaken by the outgoing company (such as those in
Maintenance Periods) and bring to the attention of DEVB if any particular contracts have to
be included in or excluded from the novation list. Upon confirmation by the relevant
bureaux/departments of the full list of contracts to be novated, SEO(PS) will forward the list
together with the application for substitution to the Finance Section of DEVB for financial
vetting. The new company will be assessed financially on whether he is eligible for
admission and for taking up the outstanding contracts surrendered by the outgoing company.
6.6.5 If the Managing Departments recommend the substitution, they should submit
an updated list of outstanding contracts requiring novation and a list of outstanding issues that
have to be cleared by the outgoing company before novation and substitution can be
proceeded. If discrepancies are found between this list of outstanding contracts and the one
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collected previously for financial vetting, SEO(PS) will draw the attention of the Finance
Section of DEVB, which may conduct a re-assessment on the new company’s financial
capability if required. Separately, SEO(PS) will coordinate the returns from relevant
bureaux/departments on outstanding issues and request the outgoing company to furnish the
required documents. Having collected the required documents from the outgoing company,
SEO(PS) will send the documents to the relevant bureaux/departments for vetting. If only
one department is involved in the novation process, that department should follow up all
issues related to the novation and advise SEO(PS) of the date fixed for the execution of
novation agreement(s). DEVB will issue a letter to the new company approving his
inclusion in substitution of the outgoing company on the date of executing novation
agreement(s). If the novation agreement(s) is subsequently not executed on the specified
day, the approval for substitution will become void and invalid. In the event that more than
one bureau/department are involved in the novation process, SEO(PS) will facilitate as a
central coordinator between the relevant bureaux/departments and the outgoing and new
companies. The bureau/department which holds the greatest contract value for those
outstanding contracts requiring novation will be responsible for the logistical arrangement for
the novation procedures such as checking of documents on authorized signatories,
preparation of standardized novation agreement forms and arranging venue for signing
novation agreements.
6.6.6 In processing an application for substitution, Secretary for Development will

take into account all relevant information and has the sole discretion to withhold the approval
if there are reasonable grounds to believe that there is a breach of professional integrity in
relation to the application, such as false declarations, leading to violation of the Government
procurement principle of open and fair competition.
6.7 Transfer of Benefits and Obligations of Contracts – Novation
6.7.1 Apart from the substitution process as mentioned in Sub-section 6.6 above, a
contractor may apply to transfer his benefits and obligations under a contract with the
Government to a third party/new contractor only if he is being wound up, will no longer be in
existence, or is unable to complete the contract. Under such circumstances, the Government
may, on balance and in the interest of the Government and public fund, agree to a novation
instead of terminating the contract. In that event, the original contractor will normally be
removed from the List and/or the Specialist List in accordance with Section 5 above. In all
the aforementioned cases, a novation agreement is required. One of the basic requirements
is that the third party/new contractor must be an approved contractor under the relevant
category/categories in the List and/or the Specialist List. Approval to the novation is subject
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to and conditional upon the Government’s agreement to the terms of the novation agreement.
6.8 A Novation Agreement
6.8.1 For public works contracts, a novation agreement is a tripartite agreement

entered into by the Employer (Government), the original contractor and a third party/new
contractor, whereby the original contractor is released from and the third party/new contractor
assumes all the Contractor’s obligations and rights under the stated contract(s). The two
standard forms of novation agreement are shown at Appendices 6C & 6D. More than one
contract may be included in a novation agreement.
6.8.2 For all novation, advice from the Legal Advisory Division (Works) of DEVB
must be sought on any proposed change to the standard forms of novation agreement.
6.8.3 The bureaux/departments concerned must check to ensure that the third
party/new contractor taking over the contract has the technical, management and financial
capability and is a fit substitute for the original contractor. In the event that the original
contractor has assigned the financial benefit of his contract with the Government to a
financial institution, the original contractor is required to resolve matters relating to the
financial assignment to the satisfaction of the Government before the Government considers
agreeing to the proposed novation (see also Sub-section 6.9 herein below).
6.8.4 Before a novation agreement is executed, bureaux/departments concerned

should first confirm the financial capability of the third party/new contractor with the Finance
Section of DEVB. They should apply to DEVB (Attn: PAS(W)4), with a copy of
confirmation memo from the Finance Section of DEVB, for approval in principle before the
execution of the novation agreement. In the application, the details of the contract, the
parties involved in the novation agreement and the expected time required for the completion
of the novation agreement should be indicated. DEVB will monitor the progress of the
arrangement.
6.8.5 All three parties shall execute the agreement on the same date. In the case
where the contract to be novated is made between the Government and an unincorporated
joint venture contractor, all participants of the unincorporated joint venture contractor shall
also join in the execution of the agreement. Copies of the executed novation agreement
shall be sent to DEVB (Attn: PAS(W)4) and the Financial Services and the Treasury Bureau
within 3 working days from the date of execution.
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6.9 Performance Bond, Joint Venture Guarantee and/or Insurance
6.9.1 Where any performance bond, any guarantee and/or any insurance is required
for a contract and if the contract is to be novated then a substituting performance bond,
guarantee and/or insurance policy must be provided by the third party/new contractor, in the
contractually required form, prior to the execution of the novation agreement. The original
contractor shall be required to clear the following outstanding issues for each contract with
the Government which requires novation, if applicable, at least 2 weeks before execution of
novation agreement:
(a) The original contractor must provide documentary proof that any insurance
policy required under the contract also covers the new contractor to the same
extent as that for the original contractor. If the original insurance policy(ies)
includes other parties in joint names, the new policy(ies) should cover these
parties as well.
(b) In the event that an existing contract involves a Nominated Subcontract, the
original contractor, the new contractor and the relevant Nominated
Subcontractor should novate the Nominated Subcontract. The original and a
copy of the novated Nominated Subcontract should be produced to the relevant
bureau/department for inspection and, if found acceptable to the relevant
bureau/department, the original novated Nominated Subcontract will be
returned to the applicant and the copy thereof shall be retained for record.
The novated Nominated Subcontract should have a clause to the effect that the
novated Nominated Subcontract shall take effect only on the date when the
novation agreement in respect of main contract is executed.
(c) The original contractor must provide documentary proof that any Professional
Indemnity Insurance required for the contract also covers the new contractor to
the same extent as that for the original contractor. If the original insurance
policy(ies) includes other parties in joint names, the new policy(ies) should
cover these parties as well.
(d) The original contractor must provide documentary proof that any bond(s) and
surety(ies) required for the contract also covers the new contractor to the same
extent as that for the original contractor. Alternatively, new bonds and
surety(ies) acceptable to the Government may be furnished. In the event that a
substituting bond and/or surety(ies) cannot be made available at the date of the
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novation agreement, a supplementary agreement in the format of Appendix 6E

should be executed immediately after the execution of the novation agreement
for that particular contract.
(e) The original contractor must provide documentary proof that he has resolved
matters relating to the financial assignment if he has assigned the financial
benefit of his contract with the Government to a financial institution.
(f) The original contractor must provide other documents as specified and required
by DEVB.
6.9.2 Where the third party/new contractor is a limited liability joint venture company,
each shareholder of the company will be required to execute a Joint Venture Guarantee prior
to the execution of the novation agreement.
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SECTION 7 TENDERING
7.1 General
7.1.1 Tenders for public works contracts are normally invited from contractors on the
List and the Specialist List. In this connection, contractors which are not on the List and/or
the Specialist List may take part in these tendering exercises by either becoming an approved
contractor on the List and/or the Specialist List before tender closing date1 or participating as
a member of joint venture tenderer. In addition, the contractors are required to satisfy other
tender conditions stipulated in the tender invitation documents.
7.2 Tendering
7.2.1 Invitations of tenders for public works contracts will be published in the
Government Gazette normally for contracts with estimated value exceeding a certain limit2.
Tender invitations for public works contracts under that limit may only be published on the
website of the Financial Services and the Treasury Bureau (“FSTB”) and/or the websites of
the relevant bureaux / departments.
7.2.2 Invitations to contractors to tender will normally be limited to the particular group
appropriate to the value of the contract. However, when the works involved are of simple or
repetitive nature, the span of groups invited to tender may be broadened to the lower groups at
the discretion of the head of the department responsible for the contract, without immediate
regard to the value of the contract. This rule can be extended to probationary contractors in
Group A and Group B of the List.
7.2.3 Normally, Group C contractors will not be allowed to tender for Groups A and
B contracts unless the procuring department considers that there may be an inadequate
number of tenderers. In such cases, prior approval must be obtained from a D2 or higher
rank officer of the procuring department concerned and notification of the intention to invite
tenders from Group C contractors for lower group contracts given to the Managing
Department. If there are other reasons for inviting Group C contractors to tender for lower
group contracts, the procuring department shall seek prior consent from DEVB and sufficient
1
“Tender closing date” refers to the date set for the close of tender in the tender documents, or if this has been
extended, the extended date.
2
Please also refer to the Stores and Procurement Regulations Clause 340 (d) available at the website of FSTB :
https://www.fstb.gov.hk/tb/en/government-procurement-policy-procedures.htm.
7–1
time should be given to DEVB for deliberating the case.
7.2.4 If a contractor’s tender falls outside the limits applicable to his group, category or
status, he may not be eligible for the award of the contract.
7.2.5 A probationary contractor’s eligibility to tender and for the award of contracts is
more particularly set out in paragraphs 2.5.1, 3.5.1 and Sub-section 7.5. For the avoidance of
doubt, probationary contractors should normally be invited to tender for contracts in the
respective group. In case the procuring department considers it necessary to invite tenders
from contractors of confirmed status only, prior consent from DEVB shall be obtained. A
probationary contractor who is considered to have exceeded the tendering limits as set out in
paragraphs 2.5.1 and 3.5.1 at the time of tender invitation will still be permitted to collect tender
documents in respect of a contract and to submit a tender. However, a tender submitted by
such probationary contractor will not be considered unless he has become eligible to tender for
the contract being procured at the tender closing date. Where the tender submitted by a
probationary contractor is not considered because he has exceeded the limits given in
paragraphs 2.5.1 and 3.5.1 at the tender closing date, the procuring department shall, after the
award of the contract has been made, notify him in writing of the reasons for rejection of his
tender and remind him to check carefully against these limits in future bidding.
7.2.6 Contractors not in the group or confirmed status specified in the tender invitation
or a tenderer who has applied for admission or promotion to the group specified in the tender
invitation or who has applied for confirmed status will be permitted to collect tender documents
and may submit a tender. However, such a tender will not be considered unless his
application for admission or promotion or, as the case may be, confirmation is approved by the
tender closing date.
7.2.7 The Government reserves the right of dealing with contracts such as those
demanding the application of considerable financial resources, highly specialised equipment
or unusual professional or technical expertise of a high order, on the basis of single, restricted
or prequalified tendering by invitation.
7.3 Eligibility to Tender for Term Contracts
7.3.1 Eligibility to tender for term contracts shall be determined by the estimated value
of the term contract except where a specialist category has been created in the Specialist List
in which case tenders shall be invited from contractors in the specialist category. For the
purpose of defining eligibility to tender, the value of a term contract shall be taken to mean the
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total estimated expenditure3 under the contract.
7.3.2 At the discretion of the head of the department responsible for the contract,
contractors confirmed in Group B may be permitted to tender for term contracts above the
Group Tender Limit for Group B but which are of a simple and repetitive nature, provided the
contractors can demonstrate adequate technical and financial resources and have satisfactory
performance records. Group B contractors who are carrying out or have recently completed
similar term contracts satisfactorily shall be considered under this rule. However, the total
value of the Group C term contracts in any one category held by a Group B contractor should
not exceed the Group C probationary limit given in paragraph 2.5.1(c) or paragraph 7.5.4 below.
7.4 Holding Companies, Subsidiaries and Related Parties
7.4.1 A holding company, his subsidiaries and related parties shall be permitted to be
included in the List and/or the Specialist List, either in the same or different categories, classes
or groups. However, the holding company, all his subsidiaries and related parties who are
included in the List and/or the Specialist List shall each give an undertaking that only one
company will submit a tender for a particular contract. A tender submitted by a joint venture
of a holding company, his subsidiaries and/or related parties will be regarded as a tender from
one and the same tenderer. But if two or more shareholders or participants in the same joint
venture tenderer have a holding-subsidiary relationship or they are related, they shall not be
regarded as having submitted more than one tender. Failure to observe this undertaking will
render all related tenders null and void. The existence of a holding-subsidiary relationship
shall be determined in accordance with the provisions in Sections 13 to 15 of the Companies
Ordinance (Cap. 622). The definition of a “related party” is set out in the guidance notes of
the application form available at the website of DEVB via the link:
https://www.devb.gov.hk/en/construction_sector_matters/contractors/applications_as_public_
works/index.html.
7.5 Eligibility checking of Probationary Contractors
7.5.1 For the purpose of checking probationary contractors’ eligibility to tender, and
for the award of contracts:
(a) “contract being procured” means the contract being procured under a particular
procurement exercise in which the probationary contractor’s eligibility is checked;
3
i.e. the Total Value for Tender Assessment (TVTA).
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(b) all probationary contractors’ eligibility to tender as at the tender closing date for
the contract being procured will be checked to screen out those that are ineligible
to tender;
(c) when recommending the award of a contract to a probationary contractor, the

eligibility of the probationary contractor concerned for award of the contract
being procured will be re-checked at the date when the tender report is completed
and signed (the “tender report date”) for submission to the relevant authority
for determination of contract award and any new contracts awarded to the
probationary contractor after the tender closing date up to and including the tender
report date will be taken into account. The tender report should contain a
statement confirming that such re-checking has been done at the tender report
date in recommending acceptance of the tender from the probationary contractor
concerned. If the re-checking reveals that the contract limits of this probationary
contractor are exceeded and he is no longer eligible for award of the contract, the
tender recommendation should be revised accordingly;
(d) whether a contract is classified as a particular Group’s contract shall be

determined by reference to the relevant group tender limits prevailing at the first
publication date of tender invitation or, where the tender invitation is not
published, the date of issuance of the tender invitation for the contract;
(e) notwithstanding (d) above, in counting the number of Group C contract(s) that a
probationary contractor already holds, only Group C contract(s) with a contract
value exceeding the minimum value specified for Group C current at the tender
closing date for the contract being procured shall be counted;
(f) notwithstanding (d) above, in counting the number of contract(s) that a

probationary contractor already holds in a certain Group in the Specialist List,
only contract(s) in that Group with a contract value falling within the Group
tender limit current at the tender closing date for the contract being procured, or
in the case of the highest Group, only contracts in that Group with a contract value
exceeding the maximum value specified for the immediately lower Group current
at the tender closing date for the contract being procured shall be counted.
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7.5.2 For the purpose of checking the contracts which a probationary contractor already
holds under the rule in paragraphs 2.5.1, 3.5.1 and 7.5.1, the contracts which are completed
shall not be counted. In this regard, a contract is considered completed when the certificate
of completion of the works or the last completed section of the works (excluding establishment
works) is issued or, for term contracts, the issue of completion certificate for the last completed
works order (excluding establishment works).
7.5.3 Unless otherwise specified, contracts (each of an original contract value

corresponding to or above the group tender limit of the contract being procured) awarded by
the Housing Authority in the corresponding category will be taken into consideration when
calculating the total number and total value of works for checking whether the probationary
contractors are eligible to tender and for the award of contracts.
7.5.4 Paragraphs 2.5.1(c) and paragraph 7.5.3 do not apply to probationary Group C
contractors tendering for Group C contract in the “Buildings” category with the Architectural
Services Department, who have as at the tender closing date for the contract being procured
active Housing Authority contract(s) each of an original contract value exceeding Group
Tender Limit for Group B in the corresponding category. If the total outstanding value of
such Housing Authority contract(s) exceeds Group C probationary limit, this probationary
Group C contractor will be restricted to tender or for award of one Group C contract in the
“Buildings” category with the Architectural Services Department. Provided always that the
total Group C contracts that he already holds and the Group C contract being procured under
the same “Buildings” category does not exceed two (2) in number and does not exceed Group
C probationary limit in the total value of works. The term “active Housing Authority
contract(s)” shall mean those Housing Authority contracts which are not completed within the
meaning as provided in the second sentence of paragraph 7.5.2 above.
7.5.5 The total value of works in the relevant group, class and category of contracts that
a probationary contractor already holds as described in the rule in paragraphs 2.5.1, 3.5.1 and
7.5.4 should be referred to as the total outstanding value of the existing contract(s) held by
probationary contractors in the same group, class and category. The outstanding value of an
existing contract shall be the difference between the original contract sum4 and the aggregate
of all payments certified under the contract up to and including the tender closing date for the
contract being procured. The outstanding value shall be taken as zero if the original contract
sum is less than the aggregate of all payments certified. For the purpose of checking
eligibility for award of contract mentioned in paragraph 7.5.1(c), the same outstanding value
4
For New Engineering Contract (“NEC”), the original contract sum in counting the outstanding value of a
contract shall be the corrected forecast total of the Prices.
7–5
of the existing contract(s) determined as aforesaid shall be added to the total outstanding value
of new contracts in the relevant group / class and category of contracts awarded after the tender
closing date in checking compliance with the contract limits for probationary contractors.
7.5.6 Where –
(a) a probationary contractor has submitted tenders and attained the highest
combined scores for more than one contract in the same category, class and group;
and
(b) if the award of these contracts are determined at the same time but the award of
two or more of these contracts to that probationary contractor will exceed the
limits on number and/or value of contracts in the relevant category, class and
group stipulated in paragraph 2.5.1 or 3.5.1,
the Government shall be entitled to determine which contract(s) is/are to be awarded to that
probationary contractor on the basis of a combination of tender awards of these contracts that
would cost least to the Government. An example is provided in Appendix 7.
7.6 Award of a Contract
7.6.1 Before recommending the award of a contract, the department responsible for the
contract must be satisfied that the contractor being recommended is both technically and to the
best of their knowledge financially capable of successfully carrying out the contract and, all
other contracts he may hold.
7.6.2 In checking the financial capability of the tenderers, the department responsible
for the contract is required to consult the Finance Section of DEVB:
(a) in respect of all tenderers for contracts of any values exceeding $15,000,000;
and
(b) in cases where there is reason to doubt the financial capability of tenderers for
contracts with a value of $15,000,000 or less.
For both (a) and (b) above, it is normally only necessary to refer the three highest combined
scorers for a contract to the Finance Section of DEVB for financial checking. Financial
checking is also required on tenderers for contracts under categories listed in paragraph 3.3.6
7–6
if the contract is of a value exceeding $15,000,000.
7.6.3 A contractor must meet the financial requirements for acceptance of tenders
established by DEVB and included in Annex 2 to Appendix 2A or Appendix 3B before the
award of a contract. It should be noted that should the contractor fail to meet the financial
requirements or to rectify the shortfall in capital(s), or if the contractor’s average loss rate is
greater than 30% under the Profitability Trend Analysis, he will not be recommended for the
award of contracts in his prevailing groups.
7–7
APPENDIX 1 List of Relevant Technical Circulars
Technical Circulars1 superseded by this Handbook
Circular
Title
No.
Superseded by the first edition of this Handbook promulgated via Circular No. 5/2001
2/86 Rules for the Administration of the Category “Landscaping”
16/87 Central Record and Review of Contractors’ Performance
9/93 & Regulating Actions on Contractors Convicted of Employing Illegal Immigrants or of Having
9/93A Illegal Immigrants on Sites under their Control
7/96 & Change of Company Name of a Contractor and Transfer of Benefits and Obligations of
7/96A Contracts by Contractors (Novation)
12/96 Report on Contractors’ Performance Guidance Notes for the Completion of Reports
13/96 Guidance Notes for the Administration of Approved Contractors for Public Works and
Regulating Actions for Poor Performance
8/97 Regulating Actions on Contractors Convicted of Contravention of the Employment
Ordinance
9/97 Rules for the Administration of the List of Approved Contractors for Public Works
2/98 Automatic Suspension for Non-Submission of Accounts
Superseded by Revision A of this Handbook promulgated via Circular No. 25/2002
2/99 The Appendices in relation to convictions under the Immigration Ordinance
(Cap. 115) and Employment Ordinance (Cap. 57) in WBTC No. 2/99 –
Tenderer’s Eligibility for the Award of Works Contracts
5/2001 Contractor Management Handbook
44/2002 Regulating Actions for Contractors Convicted of Employing Illegal Workers or of Having
Illegal Workers on Sites under their Control
Superseded by Revision B of this Handbook since its promulgation via Circular No. 9/2005
25/2002 Contractor Management Handbook – Revision A
44/2002A Regulating Actions for Contractors Convicted of Employing Illegal Workers or of Having
Illegal Workers on Sites under their Control
18/2003 Substitution of Listing Status and Transfer of Benefits and Obligations of Contracts
Superseded by the current version of this Handbook
9/2005 Contractor Management Handbook – Revision B
1
“Land and Works Branch Technical Circular”, “Works Branch Technical Circular”, “Works Bureau Technical Circular”,
“Environmental, Transport and Works Bureau Technical Circular” and “Development Bureau Technical Circular (Works)”
are collectively called “Technical Circular” in this Appendix.
Appendix 1 Page 1 of 3
List of Relevant Technical Circulars Appendix 1
Technical Circulars subsumed under this Handbook
Circular
Title
No.
Partly subsumed under Revision B of this Handbook
13/2001A Quality Management System Certification of Consultants and Contractors for Public Works
Administered by the Works Group of Departments
47/2002 Management of Sub-contractors by Contractors
[subsumed under Chapter 5 and Chapter 7 of the Project Administration Handbook for Civil
Engineering Works (PAH) which is available at the website of the Civil Engineering and
Development Department (CEDD), and Section 5 of Appendix 4B of the Handbook]
12/2003 Employment of Technician Apprentices and Building & Civil Engineering Graduates by
Contractors of Public Works Contracts
10/2004 Tenderer’s Eligibility for the Award of Works Contracts
13/2004 Engagement of Sub-contractors Registered from Voluntary Sub-contractor Registration
Scheme
[subsumed under Chapter 5 and Chapter 7 of PAH which is available at the website of CEDD]
31/2004 & Trip Ticket System for Disposal of Construction & Demolition Materials
6/2010
3/2009 Regulating Action against Contractors for Occurrence of a Serious Incident or Conviction
for Site Safety or Environmental Offences
8/2010 Enhanced Specification for Site Cleanliness and Tidiness
Subsumed under the current version of this Handbook
1/2013 Rules for the Administration of the “Plumbing Installation” Category under the List of
Approved Suppliers of Materials and Specialist Contractors for Public Works
List of Relevant Technical Circulars Appendix 1
Technical Circulars and subsequent revisions to be read in conjunction with this Handbook
Circular
Title
No.
17/96 Supply of Bituminous Pavement Materials and Construction of Special Bituminous Surfacing
[subsumed under Chapter 5 of PAH which is available at the website of CEDD]
13/2001 & Quality Management System Certification of Consultants and Contractors for Public Works
13/2001A Administered by the Works Group of Departments
25/2001 and Admission of EMSTF onto the List of Approved Suppliers of Materials and Specialist
25/2001A Contractors for Public Works under 25 Categories of E&M, Electronics and Building Services
50/2002 Contractors’ Joint Ventures
12/2003 Employment of Technician Apprentices and Building & Civil Engineering Graduates by
Contractors of Public Works Contracts
22/2003 & Additional Measures to Improve Site Cleanliness and Control Mosquito Breeding on
22/2003A Construction Sites
19/2005 Environmental Management on Construction Sites (and Pay for Safety Performance Merit
Scheme)
3/2007 & Contractors’ Performance Index System
3/2007A
3/2009 Regulating Action against Contractors for Occurrence of a Serious Incident or Conviction
for Site Safety or Environmental Offences
6/2010 Trip Ticket System for Disposal of Construction & Demolition Materials
8/2010 Enhanced Specification for Site Cleanliness and Tidiness

7/2014 Guidance on Execution of Public Works Contracts as a Deed
4/2017 Employment of Skilled Workers in Public Works Contracts
6/2019 Implementation of Mandatory Construction Industry Collaborative Training Schemes in Public
Works Contracts
1/2020 Score Card for Assessment of Site Safety Performance
APPENDIX 2A Minimum financial, technical and management

requirements for the List of Approved Contractors for
Public Works
The suitability of a contractor for admission, confirmation and promotion to a category and group in the
List is assessed mainly under six core elements, (namely experience, management, staff employment, safety,
integrity and financial capability), as well as other specific technical requirements. A contractor on the
List shall ensure his continuous compliance with the retention requirements. Subject to other provisions
in the Handbook, the applicability of the criteria in this Appendix to admission, confirmation, promotion
and retention are summarized in the table below.
For admission,
confirmation and For retention
promotion
Criterion 1 : Safety
1.1 Qualified personnel  
1.2 Performance in compliance with safety  1
legislations
Criterion 2: Experience  
Criterion 3: Management – Top Management
3.1 Minimum number and qualifications  
3.2 Continuous Capability Building  
Criterion 4: Staff Employment – Technical Staff
4.1 Minimum number and qualifications  
4.2 Continuous Capability Building  
Criterion 5: Financial Capability  
Criterion 6: Integrity
6.1 Integrity Management Policy  
6.2 Integrity Training  
Other Criteria: Business Registration Certificate,  
Statutory Registration and ISO 9001 Certification
1
The policy and procedure for imposition of regulating action against contractors on the List for occurrence of a serious
incident or conviction for site safety offences are set out in DEVB TC(W) No. 3/2009 and handled under that Technical
Circular separately.
Appendix 2A Page 1 of 16
Minimum financial, technical and management requirements for the List of Approved Contractors for Public Works Appendix 2A
Buildings Port Works Roads & Drainage Site Formation Waterworks

Criterion 1: Safety
Group A
1.1 Qualified personnel Admission on Probation / Confirmation / Retention
- 1 no. of safety supervisor (see Remark 1.1)
1.2 Performance in Admission on Probation / Confirmation
compliance with - < 5 safety offences in each of the rolling 6-month period in the past 12 months (see Remark 1.2)
safety legislations #
Group B
1.1 Qualified personnel Admission on Probation (Direct Entry or By Promotion) / Confirmation / Retention
- 1 no. of safety supervisor (see Remark 1.1)
1.2 Performance in Admission on Probation (Direct Entry or By Promotion) / Confirmation
Group C
1.1 Qualified personnel Admission on Probation (Direct Entry or By Promotion) / Confirmation / Retention
- 1 no. of safety manager (see Remark 1.1)
1.2 Performance in Admission on Probation (Direct Entry or By Promotion) / Confirmation

Criterion 2: Experience (for admission, confirmation and promotion only) #
Group A: Admission on Probation
2.1 Experience in - Satisfactory completion of --- - Satisfactory completion of --- - Satisfactory completion of
satisfactory one building works one roads and drainage one mainlaying works
execution of contract (main contract or works contract (main contract (main contract or
contracts subcontract) within the contract or subcontract) subcontract) within the
past 5 years within the past 5 years past 5 years
2.2 Contract Value - over 50% of Group A --- - over 50% of Group A --- - over 50% of Group A
limit limit limit
2.3 Specific - compliance with the --- --- --- ---
Coverage requirements in Annex 1
Requirement
Group A: Confirmation
2.1 Experience in - Satisfactory completion or --- - Satisfactory completion or --- - Satisfactory completion or
satisfactory execution for two years execution for two years execution for two years
execution of (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as
contracts the main contractor of one the main contractor of one the main contractor of one
building works contract roads and drainage works waterworks contract
executed in HKSAR contract executed in executed in HKSAR
within the past 5 years, HKSAR within the past 5 within the past 5 years,
after inclusion in the years, after inclusion in after inclusion in the
Group A on probation the Group A on probation Group A on probation
2.2 Contract Value - over 50% of Group A --- - over 50% of Group A --- - over 50% of Group A
limit limit limit
2.3 Specific - compliance with the --- - Experience in (i) --- - mainlaying works
Coverage requirements in Annex 1 construction of concrete
Requirement carriageway and (ii)
laying of pre-cast
concrete pipes of various
diameters

Group B: Admission on Probation
2.1 Experience in Direct Entry - Satisfactory completion of Direct Entry - Satisfactory completion of Direct Entry
satisfactory - Satisfactory completion of one port works contract - Satisfactory completion of one site formation works - Satisfactory completion of
execution of one building works (main contract or one roads and drainage contract (main contract or one waterworks works
contracts contract (main contract or subcontract) within the works contract (main subcontract) within the contract (main contract or
subcontract) within the past 5 years contract or subcontract) past 5 years subcontract) within the
past 5 years within the past 5 years past 5 years
By Promotion By Promotion By Promotion
- Satisfactory completion as - Satisfactory completion as - Satisfactory completion as
the main contractor of at the main contractor of at the main contractor of at
least one building works least one roads and least one waterworks
contract within the past 5 drainage contract within contract within the past 5
years, after confirmation the past 5 years, after years, after confirmation
in Group A confirmation in Group A in Group A
- Non-Government - Non-Government - Non-Government
experience may be experience may be experience may be
accepted to supplement accepted to supplement accepted to supplement
Government experience Government experience Government experience
as detailed in Remark 2.3 as detailed in Remark 2.3 as detailed in Remark 2.3
below below below
2.2 Contract Value Direct Entry - over 50% of Group B Direct Entry - over 50% of the Group B Direct Entry
- over 70% of Group B limit - over 70% of Group B limit - over 70% of Group B
limit limit limit
By Promotion By Promotion By Promotion
- over 75% of Group A - over 75% of Group A - over 75% of Group A
limit limit limit
2.3 Specific Direct Entry & Promotion --- --- - earthworks quantity Direct Entry & Promotion
Coverage - compliance with the (excluding quarrying and - mainlaying works
Requirement requirements in Annex 1 maintenance of spoil
dumps) not less than
50,000 m3

Group B: Confirmation
2.1 Experience in - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or
satisfactory execution for two years execution for two years execution for two years execution for two years execution for two years
execution of (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as
contracts the main contractor of one the main contractor of one the main contractor of one the main contractor of one the main contractor of one
building works contract port works contract roads and drainage works site formation works waterworks contract
executed in HKSAR executed in HKSAR contract executed in contract executed in executed in HKSAR
within the past 5 years, within the past 5 years, HKSAR within the past 5 HKSAR within the past 5 within the past 5 years,
after inclusion in the after inclusion in the years, after inclusion in years, after inclusion in after inclusion in the
Group B on probation Group B on probation the Group B on probation the Group B on probation Group B on probation
2.2 Contract Value - over 70% of Group B - over 50% of Group B - over 70% of Group B - over 50% of Group B - over 70% of Group B
limit limit limit limit limit
2.3 Specific - compliance with the --- - Experience in (i) --- ---
Requirement carriageway, (ii) laying of
pre-cast concrete pipes of
various diameters and (iii)
construction of highways
structures for pedestrian
use or vehicular use

Group C: Admission on Probation
2.1 Experience in Direct Entry Direct Entry Direct Entry Direct Entry Direct Entry
satisfactory - Satisfactory completion as - Satisfactory completion as - Satisfactory completion as - Satisfactory completion as - Satisfactory completion as
execution of the main contractor of at the main contractor of at the main contractor of at the main contractor of at the main contractor of at
contracts least one building works least one port works least one roads and least one site formation least one waterworks
contract within the past 7 contract within the past 7 drainage works contract works contract within the contract within the past 7
years years within the past 7 years past 7 years years
By Promotion By Promotion By Promotion By Promotion By Promotion
- Satisfactory completion as - Satisfactory completion as - Satisfactory completion as - Satisfactory completion as - Satisfactory completion as
the main contractor of at the main contractor of at the main contractor of at the main contractor of at the main contractor of at
least one building works least one port works least one roads and least one site formation least one waterworks
contract within the past 5 contract within the past 5 drainage contract within works contract within the contract within the past 5
years, after confirmation years, after confirmation the past 5 years, after past 5 years, after years, after confirmation
in Group B in Group B confirmation in Group B confirmation in Group B in Group B
- Non-Government - Non-Government - Non-Government - Non-Government - Non-Government
experience may be experience may be experience may be experience may be experience may be
accepted to supplement accepted to supplement accepted to supplement accepted to supplement accepted to supplement
Government experience Government experience Government experience Government experience Government experience
as detailed in Remark 2.3 as detailed in Remark 2.3 as detailed in Remark 2.3 as detailed in Remark 2.3 as detailed in Remark 2.3
below. below. below. below. below.
2.2 Contract Value Direct Entry Direct Entry Direct Entry Direct Entry Direct Entry
- Total value of not more Total value of not more Total value of not more Total value of not more Total value of not more
than two of the above than two of the above than two of the above than two of the above than two of the above
contracts shall be over contracts shall be over contracts shall be over contracts shall be over contracts shall be over
probationary limit of probationary limit of probationary limit of probationary limit of probationary limit of
Group C 2 Group C2 Group C2 Group C2 Group C2
By Promotion By Promotion By Promotion By Promotion By Promotion
- over 75% of Group B - over 75% of Group B - over 75% of Group B - over 75% of Group B - over 75% of Group B
limit limit limit limit limit
2.3 Specific Direct Entry & Promotion --- --- --- ---
Coverage - compliance with the
Requirement requirements in Annex 1
2
For contracts which tenders were invited before 1 March 2021, the total value of not more than two of the relevant contracts shall be over 140% of the average of respective prevailing probationary
limit of Group C stipulated in Remark 2.2. If the applicant’s experience is based on two contracts, one for which tender was invited before 1 March 2021 and one for which tender was invited
on or after 1 March 2021, the total value of contracts required shall be the sum of 70% and 50% of the respective probationary limits of Group C stipulated in Remark 2.2.

Group C: Confirmation
2.1 Experience in - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or - Satisfactory completion or
satisfactory execution for two years execution for two years execution for two years execution for two years execution for two years
execution of (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as (whichever is earlier) as
contracts the main contractor of one the main contractor of one the main contractor of one the main contractor of one the main contractor of one
building works contract port works contract roads and drainage works site formation works waterworks contract
executed in HKSAR executed in HKSAR contract executed in contract executed in executed in HKSAR
within the past 5 years, within the past 5 years, HKSAR within the past 5 HKSAR within the past 5 within the past 5 years,
after inclusion to Group C after inclusion to Group C years, after inclusion to years, after inclusion to after inclusion to Group C
on probation on probation Group C on probation Group C on probation on probation
2.2 Contract Value - over 150% of Group B - over 150% of Group B - over 150% of Group B - over 150% of Group B - over 150% of Group B
limit 3 limit3 limit3 limit3 limit3
2.3 Specific - compliance with the --- - Experience in (i) --- ---
Requirement carriageway, (ii) laying of
pre-cast concrete pipes of
various diameters and (iii)
construction of highways
structures for vehicular
use
3
For a contract which tenders were invited before 1 March 2021, the contract value shall be over 70% of the average of the respective prevailing probationary limit of Group C stipulated in
Remark 2.2.

Criterion 3: Management – Top Management
Group A
3.1 Minimum Admission on Probation (Direct Entry) / Confirmation / Retention
Number and - At least one member of the resident top management shall have a minimum experience of five years, out of which three years shall be local experience, in
qualifications managing a construction firm obtained in the past eight years
3.2 Continuous Retention
Capability - The named member(s) of the top management is/are required to participate in an average of minimum 6 hours of capability building events per year, including
Building* minimum 1 hour safety-related event(s) and 1 hour integrity-related event(s)
Group B
3.1 Minimum Admission on Probation (Direct Entry or By Promotion) / Confirmation / Retention
Group C

Criterion 4: Staff Employment – Technical Staff
Group A (not applicable for Port Works Category and Site Formation Category)
4.1 Minimum Admission on Probation (Direct Entry) / Confirmation / Retention
Number and At least one person with one or more of the following qualifications:
Qualifications - Higher Certificate in a discipline relevant to the category of works from a Hong Kong polytechnic, a Hong Kong recognised training institution or equivalent and
one year local working experience in the relevant category of works; or
- Ordinary Certificate in a discipline relevant to the category of works from a Hong Kong polytechnic, a Hong Kong recognised training institution or equivalent
and two years local working experience in the relevant category of works; or
- at least ten years local working experience in the relevant category of works
Capability - The named member(s) of the technical staff is/are required to participate in an average of minimum 6 hours of capability building events per year, including
Group B
Number and At least one person with one or more of the following qualifications:
Qualifications - Higher Certificate in a discipline relevant to the category of works from a Hong Kong polytechnic, a Hong Kong recognised training institution or equivalent and
two years local working experience in the relevant category of works; or
- Ordinary Certificate in a discipline relevant to the category of works from a Hong Kong polytechnic, a Hong Kong recognised training institution or equivalent
and three years local working experience in the relevant category of works; or
- at least eleven years local working experience in the relevant category of works
Capability - The named member(s) of the technical staff is/are required to participate in an average of minimum 6 hours of capability building events per year, including
Group C
Number and At least two person with a relevant degree from a Hong Kong university or equivalent with at least five years post-graduate working experience, out of which three
Qualifications years shall be local experience, in the relevant category of works
Capability - The named members of the technical staff are required to participate in an average of minimum 6 hours of capability building events per year, including minimum
Building* 1 hour safety-related events and 1 hour integrity-related events

Criterion 5: Financial Capability (Please also refer to Annex 2 for details)
Group A, Group B and Group C: Admission on Probation (Direct Entry or by Promotion) / Confirmation / Retention
5.1 Paid-up Share Probationary Confirmed
Capital Group A : min. $2.4 million min.: $4.8 million
Group B: min. $5.8 million min.: $11.9 million
Group C min. $17.4 million min. $22.2 million
5.2 Employed capital Probationary Confirmed
Group A : min. $2.4 million ; max: $4.7 million min.: $4.8 million ; max.: $9.0 million
Group B: min. $5.8 million ; max: $12.1 million min.: $11.9 million ; max.: $25.1 million
Group C min. $17.4 million plus specified % of min. $22.2 million plus specified % of A.O.W.
annualized outstanding works (A.O.W.)
5.3 Working capital Probationary Confirmed
Group A : higher of $2.4 million or 15% of A.O.W. higher of $4.8 million or 15% of A.O.W.
Group B: higher of $5.8 million or 10% of A.O.W. higher of $11.9 million or 10% of A.O.W.
Group C higher of $17.4 million or 8-10% of A.O.W. higher of $22.2 million or 8-10% of A.O.W.
5.4 Profitability Trend - Average loss rate ≤ 30%
Analysis
Criterion 6: Integrity
Group A, Group B and Group C
6.1 Integrity Admission on Probation (Direct Entry or by Promotion) / Confirmation / Retention
Management - Possess an integrity management policy covering at least the contents set out in the Sample Integrity Management Policy at Annex 3
Policy
6.2 Integrity Retention
Training* - See sub-criteria 3.2 and 4.2 above
Other criteria
Group A, Group B and Group C: Admission on Probation (Direct Entry or by Promotion) / Confirmation / Retention
7.1 Place of Business - Possess or set up in Hong Kong a place of business as defined in Section 2 of the Business Registration Ordinance
7.2 Statutory - Registration with the --- --- --- ---
Registration Building Authority’s
Register of General
Building Contractors

Group B and Group C: Admission on Probation (Direct Entry or by Promotion) / Confirmation / Retention
7.3 Quality Group B and Group C
Management - Obtain ISO 9001:2005 Certification; or
- If the contractor does not have suitable works contracts in hand for certification auditing, a confirmation from a certification body accredited by the Hong Kong
Certification Body Accreditation Scheme to issue the certification or considered to be equivalent by DEVB that a full review of the Quality Manual of their
Hong Kong office has been carried out in Hong Kong by the certification body and such Quality Manual has been confirmed by the certification body as being
in conformity with the requirements of the relevant ISO standard. Please refer to WBTC No. 13/2001 & ETWB TC(W) No. 13/2001A and subsequent updates.
Remarks
General
1. Unless otherwise specified, the revised admission/confirmation/promotion/retention requirements in this Appendix shall take effect from 1 March 2021.
2. The assessment criteria / sub-criteria denoted with asterisk (*) are retention requirements only.
3. The assessment criteria / sub-criteria denoted with hashtag (#) are admission, confirmation or promotion requirements only.
4. Except for those assessment criteria / sub-criteria denoted with asterisk (*) and hashtag (#), the remaining ones are applicable to admission, confirmation, promotion and retention.
5. There are no Group A contractors for the Port Works and Site Formation categories.
Criterion 1: Safety
1.1 Qualified Personnel
Group A and Group B
- The contractor shall employ at least one person who is qualified to be a safety supervisor in accordance with Chapter 3, Appendix III, paragraph 6(4) of the Construction Site Safety
Manual.
- The duties of safety supervisor shall include providing assistance to the contractor in promoting the safety and health of its employees. Provided that the duties of the safety supervisor
can be properly discharged, the safety supervisor may work on part-time basis or take up other tasks.
Group C
- The contractor shall employ at least one person as a safety manager who shall possess below qualifications :
Academic qualification Experience Professional

Requirements Degree or equivalent qualification in At least five years of construction site safety Registered Safety Auditor under the
engineering, construction-related or experience at managerial level after Factories and Industrial Undertakings
occupational safety and health discipline registration as Safety Officer under the (Safety Management) Regulation
Factories and Industrial Undertakings
(Safety Officers and Safety Supervisors)
Regulations
Alternative Requirements --- At least ten years of construction site safety Registered Safety Auditor under the
experience at managerial level after Factories and Industrial Undertakings
registration as Safety Officer under the (Safety Management) Regulation
Factories and Industrial Undertakings
(Safety Officers and Safety Supervisors)
Regulations
- The duties of the safety manager shall include providing assistance to the contractor in overseeing the safety and health of its employees and the company’s safety performance in
construction sites. Provided that the duties of the safety manager can be properly discharged, the safety manager may work on part-time basis or take up other tasks.
- For admission, confirmation, promotion or retention in more than one categories in the List and/or the Specialist List, the contractor is required to employ one qualified safety personnel
with requirements appropriate to the highest Group of the List only instead of one for each category.
Remarks
1.2 Performance in compliance with safety legislations#
- The applicant shall not be convicted of 5 or more site safety offences counted by the date of commission and not by the date of conviction, each arising out of separate incidents in any 6-
month period in the past 12 months counting from the submission of the application. For example, if an applicant submitted its application on 1 January 2021, the applicant shall not be
convicted of 5 or more site safety offences in each of the rolling 6-month period below:
Rolling
1 Jan 20 to 1 Feb 20 to 1 Mar 20 to 1 Apr 20 to 1 May 20 to 1 Jun 20 to 1 Jul 20 to
6-month
30 Jun 20 31 Jul 20 31 Aug 20 30 Sep 20 31 Oct 20 30 Nov 20 31 Dec 20
Period
- A site safety offence means a conviction for any offence set out in the ordinances and their subsidiary legislations stipulated in paragraph 2(e) of DEVB TC(W) No. 3/2009 or subsequent
updates. For overseas applicants who do not have site experience in the HKSAR, a site safety offence means a conviction for any offence set out in the relevant occupational health and
safety acts, regulations and their subsidiary legislations in its place of incorporation or place of major business. The overseas applicants shall provide details of such site safety offence
to DEVB and Managing Department(s) for assessment.
- The applicant shall declare his compliance with this assessment sub-criteria in the application form, and shall provide supporting documents upon request. In the event that an applicant’s
number of convictions exceeds the above limit, the applicant shall be regarded as having satisfied this requirement if the applicant already holds a certificate of compliance with ISO
45001 (or equivalent) and has completed a safety audit by external safety auditor recognised by DEVB to demonstrate its capability to deliver a relevant contract with satisfactory safety
performance after the last conviction and within one year from its application.
Criterion 2: Company Experience#

2.1 Both relevant Government and non-Government contracts will be counted for assessing contract experience requirements for admission on probation (direct entry or by promotion) and
confirmation. “Government contract” in this Appendix refers to “HKSAR Government public works contract”. For the purpose of assessing contract experience requirements for
confirmation and promotion, if the following conditions are satisfied, Managing Department may, but is not bound to, take a non-Government contract as if it were a Government contract:
(a) the majority of its works (i.e. more than 50% of work value) under that non-Government contract are construction works entrusted by the Government;
(b) the provisions in that non-Government contract follow the requirements and standards of works in relevant category of Government works contracts; and
(c) the procurement and contract administration of the party to whom the Government construction works are entrusted, follows the standard procedures of Government’s public works
contracts;
provided that contractor could adduce evidence to the Managing Department that the above conditions (a) to (c) could be satisfied. To facilitate assessment, the Managing Department may
seek confirmation on the authenticity of the proof provided by the contractor and seek further references on the requirements of the contract concerned and the contractor’s technical and
management capabilities from the relevant parties, including the bureau/department which has entrusted the works to other party.
2.2 Group A limit and Group B limit mean the Group Tender Limits for Group A and Group B respectively. Probationary limit of Group C means the total value of Group C contracts in any one
category for which a probationary Group C contractor is eligible to be awarded. The applicable tender limits for Group A, Group B and Group C (Probationary) in this Appendix should be as
follows:
Applicable to contracts for which tenders were invited Group A Group B Group C (Probationary)
On or after 1 March 2021 $150 million $400 million $1,500 million
Before 1 March 2021 but on or after 15 February 2017 $100 million $300 million $700 million
before 15 February 2017 $75 million $185 million $400 million
Remarks
2.3 An applicant shall satisfy the following minimum experience requirements before the applicant may be considered for promotion:
Admission on probation to Group B

- Normally, an applicant should have satisfactorily completed at least one relevant Government contract within the past 5 years, after confirmed in Group A, of value over 75% of Group A
limit. Alternatively, an applicant’s experience may be considered acceptable if he has satisfactorily completed at least two relevant contracts executed in the HKSAR within the past 5
years after confirmed in Group A - one relevant non-Government contract of value over 75% of Group A limit plus one relevant Government contract of value over 50% of Group A limit.
Admission on probation to Group C

- Normally, an applicant should have satisfactorily completed at least one relevant Government contract within the past 5 years, after confirmed in Group B, of value over 75% of Group
B limit. Alternatively, an applicant’s experience may be considered acceptable if he has satisfactorily completed at least two relevant contracts executed in the HKSAR within the past 5
years after confirmed in Group B - one relevant non-Government contract of value over 75% of Group B limit plus one relevant Government contract of value over 50% of Group B limit.
2.4 A contractor may apply for admission to confirmed status directly if he can demonstrate that he has satisfactorily completed relevant contracts in accordance with paragraph 2.3.1 of Section
2.
2.5 For confirmation in Group A or Group B, or promotion to Group B in Waterworks category, the value of waterworks in other categories of Government or non-Government contracts may
also be accredited, provided that an applicant undertook the waterworks and was the main contractor for that contract.
2.6 Sub-contractor experience in this Appendix refers to working experience in carrying out sub-contract works in the first tier level (i.e. a sub-contract between the subject contractor and the
main contractor) for all categories. In addition, for Waterworks category, relevant experience as a second tier sub-contractor for the main contract of other category under entrustment
arrangement, incorporating waterworks elements that were required to be carried out by a contractor under the Waterworks category in the capacity as a sub-contractor will be accredited. In
all cases, the sub-contract works shall be relevant to the works under the Category he is applying for. For avoidance of doubt, the same works can be counted only once for a contractor
irrespective of the sub-contracting arrangement. The contractor shall provide sufficient evidence to demonstrate the experience acquired from his completed sub-contracts.
2.7 For contracts completed by joint venture, only the part of contract completed by the contractor as a participant or shareholder in the joint venture shall be accredited and shall be calculated in
accordance with his share of works by value. The part completed by the contractor shall be relevant to the works under the Category he is applying for. The contractor shall provide sufficient
evidence to demonstrate the experience acquired from his completed part in the joint venture contracts.
2.8 Completion of contract refers to issue of certificate of completion of the works or the last completed section of the works (excluding establishment works) or, for term contracts, the issue of
completion certificate for the last completed works order (excluding establishment works).
2.9 The contractor shall provide documentary evidence (e.g. performance reports, progress reports, minutes, statement from the Engineer / Architect / Supervising Officer / Client, etc.) to the
satisfaction of the Managing Departments to demonstrate the contractor’s satisfactory execution of a contract for at least two years and the works already completed should be relevant to and
commensurate with the category being applied for confirmation.
2.10 “value” refers to the Architect/Engineer’s estimated value of completed works and, in case of joint venture, the shared value of completed works undertaken by the applicant.
Remarks
2.11 The non-Government main contract for assessing contract experience requirements for confirmation and promotion as set out in this Appendix should be comparable with Government main
contract in terms of management and site practices, including among others, safety and environmental performance, as substantiated with proof by the contractor in his application. To
facilitate investigation, the Managing Department and DEVB may seek confirmation, as necessary, on the authenticity of the proof provided by the contractor and/or seek further references
on the contractor’s technical and management capabilities from relevant authorities or clients/consultants/authorised persons/architects/engineers of the contracts concerned, as appropriate.
Criterion 3: Management and Criterion 4: Staff Employment

3.1 The contractor shall employ in Hong Kong, the minimum number of full time management and technical personnel with relevant experience in engineering and project management as
specified in sub-criteria 3.1 and 4.1 at the time of admission and while he is on the List shall keep DEVB informed of any changes of such personnel. The contractor shall be removed from
the List or demoted to a lower group if he fails to comply with this requirement.
3.2 Top management shall be the President, Chairman, Director, Managing Director, Executive Director, or General Manager etc.
3.3 The top management and the technical staff appointed by a contractor must be two individual persons.
3.4 For technical staff of Group C contractors, the following degrees are considered relevant:
Buildings Port Works, Roads and Drainage, Site Formation,
Waterworks
Structural Engineering Civil Engineering
Engineering (in the structural engineering Engineering (in the civil engineering stream)
stream)
Architecture
Quantity Surveying
Building Technology
Other degrees such as those in Mechanical Engineering, Electrical Engineering and Management Studies are not considered as relevant degrees. A relevant professional qualification is
equivalent to a relevant degree. Relevant degrees from universities or polytechnics outside Hong Kong are acceptable.
3.5 Academic or non-graduate vocational qualifications other than those stipulated in this Appendix may be acceptable, subject to case by case consideration, at the merits of relevant proofs
and/or supporting information as deemed necessary, by the relevant Managing Department.
3.6 For admission, retention, confirmation or promotion in more than one category, the contractor is required to employ one top management with qualifications and experience appropriate to the
highest Group only instead of one for each category. However, he is required to employ a minimum of one experienced technical staff for each category regardless of the number specified
in the above table. The experience and qualifications of the technical staff shall be as specified for the appropriate group and category in the above table.
3.7 For the avoidance of doubt, a person already appointed by a contractor on the Approved List or a supplier/specialist on the Specialist List as its full-time Top Management/Technical Staff
should NOT be appointed simultaneously as Top Management/Technical Staff of another contractor/supplier/specialist on the Approved List or the Specialist List.
3.8 For requirements set out in sub-criteria 3.2, 4.2 and 6.2 in this Appendix, capability building events may be in the form of conferences, seminars, workshops, forums, training courses, etc.
The contractor shall declare its compliance with these sub-criteria during renewal and submit documentary proof if requested.
Remarks
Other Criteria
4.1 Contractors shall possess or set up in Hong Kong a place of business as defined in Section 2 of the Business Registration Ordinance (Cap. 310).
4.2 Contractors applying for admission to the Buildings category are required to be registered in the Register of General Building Contractors kept by the Building Authority in accordance with
the Buildings Ordinance (Cap. 123) and shall submit proof of their registration with their applications.
ANNEX 1 Guideline/Checklist for Project of Considerable Scope

and Complexity
Table A
Checklist Items
New Building Building Trades Structural Works Building Services
Involved Involved Works Involved
Min. area and no. of
storeys Min. no. (Total 8 ) Min. Cost in terms Min. Cost in terms of
1. Blockwork/Non- of % of min. % of min. contract
structural Elements contract value value (excluding
2. Roofing/Tanking (excluding Prelim. Prelim.)
Group Application 3. Carpentry/Joinery/ and piling)
Ironmongery Include at least 3 of
4. Glazing/Curtain Wall/ Involve new the following:
Cladding construction of 1. Electrical
5. Internal & External Reinforced 2. Fire Services
Finishes/ Rendering Concrete or 3. MVAC
6. External Works Structure 4. Lift/Escalator
7. Plumbing & Drainage Steelworks
8. Metal Works
Group At least 2 storeys 5 out of 8 20% 20%
A Direct Entry to or CFA≥700m2
probation in one construction
site
At least 2 storeys 5 out of 8 20% 20%
By Confirmation or CFA≥700m2
from Probation in one construction
site
Group At least 2 storeys 5 out of 8 15% 15%
B or CFA≥1100m2
By Promotion
in one construction
site
Direct Entry to At least 3 storeys 7 out of 8 15% 15%
probation / and CFA≥2600m2
By Confirmation in one construction
from Probation site
Group At least 3 storeys All 8 15% 15%
C and CFA≥2800m 2
By Promotion
in one construction
site
At least 3 storeys All 8 total 12% total 12%
and total CFA
Direct Entry to
Probation ≥21000m2
in max. two
construction site
At least 3 storeys All 8 12% 12%
By Confirmation and CFA≥10500m2
from Probation in one construction
site
Remarks:
1. For application for confirmation from probation, the scope of on-going contract which the contractor has satisfactorily
executed for two years should attain the minimum number of building trades and the minimum costs for structural works and
building services works as stipulated in Table A. The completed works of the on-going contract should fulfil at least 50% of
the above requirements.
Annex 1 to Appendix 2A Page 1 of 1

ANNEX 2 Financial Criteria for Administration of the List and

Introduction
1. The financial criteria for administration of the List of Approved Contractors for Public Works (the
List) and requirements for acceptance of a tender are established by DEVB. Contractors are required to:
(i) submit the original or a certified true copy of their latest audited financial statements and in case
the contractor is a Group C contractor on the List, also the latest half-yearly management accounts;
(ii) submit certified statements of outstanding workload;
(iii) provide supplementary information; and
(iv) answer all reasonable enquiries from DEVB
to enable DEVB to ascertain that the applicable financial criteria and requirements are met.
2. In accordance with the Rules for Administration of the List in Section 2 of the Handbook, a
contractor applying for admission, confirmation or promotion must meet and maintain the financial criteria
applicable to his appropriate group and status. For retention on the List, a contractor is also required to
meet such financial criteria.
3. The financial information required to be submitted by the contractors for financial assessment is
set out in Notes to Annex 2 to Appendix 2A & Appendix 3B.
Financial Criteria for Administration of the List
4. A contractor is required to maintain minimum levels of paid-up share capital, employed capital
and working capital applicable to the appropriate group and status. The minimum levels of paid-up share
capital, employed capital and working capital will be periodically adjusted and are currently set as follows:
Minimum Minimum Minimum

Paid-up Share Capital Employed Capital Working Capital
(Note 3)
HK$ HK$ HK$
(i) For Group A
(a) Probationary $2.4 million (M) $2.4M $2.4M
plus $1.2M for every or 15% on annualized
$20M of annualized outstanding works,
outstanding works or whichever is higher
part thereof above
$50M,
subject to a maximum
of $4.7M

Financial Criteria for Administration of the List and Requirements for Acceptance of a Tender Annex 2 to Appendix 2A
Minimum Minimum Minimum

Paid-up Share Capital Employed Capital Working Capital
(Note 3)
HK$ HK$ HK$
(i) For Group A (Cont’d)
(b) Confirmed $4.8M $4.8M $4.8M
part thereof above
$100M,
subject to a
maximum of
$9.0M
(ii) For Group B
(a) Probationary $5.8M $5.8M $5.8M
$40M of outstanding works,
annualized whichever is higher
outstanding works or
part thereof above
$120M,
subject to a
maximum of $12.1M
(b) Confirmed $11.9M $11.9M $11.9M

part thereof above
$250M,
subject to a
maximum of $25.1M
(iii) For Group C
(a) Probationary $17.4M $17.4M $17.4M
plus $2M for every or 8% on the first $1,120M
$100M of of annualized outstanding
annualized works and
outstanding works 10% on remainder,
or part thereof whichever is higher
above $1,120 M
(b) Confirmed $22.2M $22.2M $22.2M

plus $2M for every or 8% on the first $1,120M
$100M of annualized of annualized
outstanding works outstanding works and
or part thereof 10% on remainder,
above $1,120 M whichever is higher

Note : (1) The above revised financial criteria shall take effect on 1 March 2021. However, in order
to facilitate the existing contractors on the List to maintain their present listing status, the
existing contractors will be given a 12-months’ grace period to adjust to the above new
financial criteria. In other words, all management accounts or audited financial
statements with accounting periods ending on or after 1 March 2022 will be subject to the
above new financial criteria.
(2) As regards applications for admission, confirmation or promotion in the List, contractors
shall meet the above new financial criteria applicable to the specific group in question for
applications made on or after 1 March 2021. Applications made prior to 1 March 2021
shall be subject to the financial criteria applicable at the time of application and the
successful applicants shall meet the above new financial criteria within the same deadline
as the existing contractors aforesaid. For the purpose of tender evaluation, contractors
shall be subject to the above revised financial criteria if the tenders are invited on or after
1 March 2021.
(3) The paid-up share capital requirement is not applicable in case of partnership and sole
proprietorship.
5. Where a contractor is listed in more than one works category, he must maintain the minimum
levels of share capital, employed capital and working capital applicable to his highest group and status.
6. The annualized outstanding works is defined as the combined annual value of uncompleted works
on public works contracts, Housing Authority contracts and contracts with the private sector on a world-
wide basis.
7. Public works contracts include all construction-related contracts and works-related maintenance
contracts where Government of HKSAR is the employer.
8. Shortfall in share capital and employed capital can be rectified by an increase in share
capital/partners’ funds/proprietor’s funds, while shortfall in working capital can generally be rectified by
the following methods:
(i) increase in share capital/partners’ funds/proprietor’s funds to be paid up in cash; or
(ii) drawdown of a bank loan that is not repayable within 12 months; or
(iii) deferment in repayment of outstanding loan to directors or related companies by means of a

deferred loan agreement in an acceptable legal format.
Bank overdraft or similar facility can be a method to rectify the shortfall in working capital only for shortfall
relating to outstanding workload. Notwithstanding the above, other rectification methods may be
accepted subject to the satisfaction of DEVB.
9. If a contractor reported loss in the latest audited financial statements, he shall be subject to an
assessment on Profitability Trend Analysis, which is an analysis of the financial performance of a contractor
with reference to his profit or loss over the past three consecutive years. In this regard, the average loss
rate of the contractor shall not be greater than 30%.

10. The average profit/loss rate is defined as the weighted average of the net profit/loss as a
percentage of the opening balance of the shareholders’ funds or net worth over the past three years with
weights of 3:2:1 (higher weight to be assigned to the more recent year). The net profit/loss and the opening
balance of the shareholders’ funds or net worth will be extracted from the audited financial statements.
Subsequent capital injection by a contractor to strengthen the shareholders’ funds or net worth will be taken
into account in determining the revised loss rate for the year under review.
11. For a newly formed company with only two years’ operations, the average profit/loss rate is
defined as the weighted average of the net profit/loss as a percentage of the opening balance of the
shareholders’ funds or net worth over the past two years with weights of 3:2 (higher weight to be assigned
to the more recent year).
12. For a newly formed company with only one or less than one year’s operation, the average loss
rate is defined as the net loss as a percentage of the shareholders’ funds or capital at the start of business.
13. Contractors are required to provide additional financial information as and when required to
enable DEVB to carry out ad hoc financial assessment.
14. DEVB will take into account the financial information submitted by the contractor and any other
relevant information available to DEVB to form an opinion on his financial capability. In the event that
special circumstances of a contractor arise which cast doubts on his financial capability, DEVB reserves
the rights to determine that the contractor fails to satisfy the financial requirements.
Financial Requirements for Acceptance of a Tender
15. In order to be recommended for the award of a contract of whatever value in any category of
work, a contractor’s share capital, employed capital and working capital, as assessed from the accounts,
should amount to at least the levels required for administration of the List. In this regard, the employed
capital and working capital requirements would be based on the latest statement of outstanding workload
and would take into account the annual value of the tender. The financial information required to be
submitted in the tendering exercise by the contractors is set out in Notes to Annex 2 to Appendix 2A &
Appendix 3B.
16. In the case of a joint venture, each participant (irrespective whether on the List, the Specialist List
or not) shall be assessed on his own financial capability in taking up his share of the tender. In order to
be recommended for the award of a contract, all participants must meet the required capital levels.
However, if any of the participants cannot meet the required capital level(s) for undertaking his share but
the other participant(s) of the joint venture has met the financial criteria for undertaking such share(s) and
agrees to undertake such share(s) by signing an undertaking in the form prescribed by DEVB, the joint
venture may still be regarded as satisfying the financial requirements collectively.
17. If a contractor is subject to the assessment on the Profitability Trend Analysis and his average loss
rate is greater than 30% (or his revised loss rate taking into account subsequent capital injection is still
greater than 30%, if applicable), he will not be recommended for award of contracts in his prevailing group.
In the case of a joint venture, if any participant is subject to the assessment on the Profitability Trend
Analysis and his average loss rate is greater than 30% (or his revised loss rate taking into account subsequent
capital injection is still greater than 30%, if applicable), the joint venture will not be recommended for
award of contracts.
18. Rectification in shortfall for share capital, employed capital and working capital for tendering
purpose follows the same methods adopted for the purpose of administration of the List.
19. A contractor must satisfy DEVB that he is financially capable in undertaking the contract. In
this regard, DEVB will take into account the financial information submitted by the contractor and any
other relevant information available to DEVB to form an opinion on his financial capability. In the event

that special circumstances of a contractor arise which cast doubts on his financial capability, DEVB reserves
the rights to determine that the contractor fails to satisfy the financial requirements.
Certified Statements of Outstanding Workload
20. Each contractor submitting audited financial statements or management accounts and/or
tendering for contracts of whatever value will be required to submit with his accounts/tenders a statement
certified by his director or by a person authorized to sign Government contracts on the tenderer’s behalf
giving the following information:
(i) a list of current contracts held with Government and the private sector including the
Housing Authority, both as main contractor or subcontractor;
(ii) the approximate value of uncompleted works on each of the contracts at (i); and
(iii) the approximate time required to complete each of the contracts at (i).

NOTES TO ANNEX 2 TO APPENDIX 2A AND APPENDIX 3B

Financial Information Required to be Submitted for
Financial Assessment
(1) Contractors shall provide the following documents if they have not already been submitted to the
Finance Section of DEVB before:
(a) the original or copies of annual financial statements for the last three accounting years audited and
certified by certified public accountants;
(b) management accounts covering the period between the latest audited financial statements up to a
date not earlier than three months before the date of submission;
(c) a statement of gains/(losses) arising from fair value adjustments for the latest audited financial
statements;
(d) a statement giving details of significant events which occurred after the year end date of the latest
audited financial statements which would affect the company’s financial position;
(e) a statement giving details of subsequent settlement of current assets after the year end date of the
latest audited financial statements;
(f) a statement giving details of any off-balance sheet liabilities, including contingent liabilities, if
not covered in the latest audited financial statements;
(g) a statement listing current or outstanding contracts in hand with total and outstanding contract
sums, contract period and time required to complete the outstanding portion of the contract;
(h) bank letters or agreements on existing banking facilities such as term loans and overdraft; and
(i) any other additional financial information if considered necessary.
Copies of audited financial statements submitted under paragraph (a) shall be certified true by the directors
of the company and all documents under paragraphs (b) to (i) above shall be certified true and correct by
independent auditors or directors of the company. The sample statement format for paragraphs (c), (d), (e)
and (g) above can be downloaded from the website of DEVB.
(2) All statements submitted should be prepared in English or Chinese.
(3) The financial statements and the management accounts shall reflect the financial position of the
company only (i.e. the accounts must not be consolidated accounts).
(4) Audited financial statements include auditor’s report, statement of financial position, statement of
comprehensive income, statement of changes in equity and statement of cash flows, and notes
comprising significant accounting policies and other explanatory information.
(5) The latest audited financial statements must be for a period ending no more than 18 months before
the submission date.
(6) For the latest audited financial statements, if the auditor has issued a disclaimer or adverse audit
opinion in the auditor’s report, the company shall be deemed as failing to submit the required
financial statements.
(7) The management accounts include at a minimum statement of financial position (or balance sheet)
Notes to Annex 2 to Appendix 2A and Appendix 3B Page 1 of 2

Financial Information Required to be Submitted for Financial Assessment Note to Annex 2 to

Appendix 2A & Appendix 3B
and statement of comprehensive income (or profit and loss accounts) and must be in the same
layout of the audited financial statements.
(8) In the case of a joint venture, financial and supplementary statements as mentioned under
paragraph (1) above for each participant must be submitted.
IMPORTANT
Contractors are reminded that willfully and knowingly making a false statement, misrepresentation or
concealment of any information in their submissions may lead to regulating actions by DEVB and may be
considered as a criminal offence liable to prosecution by relevant authority.
Notes to Annex 2 to Appendix 2A and Appendix 3B Page 2 of 2

ANNEX 3 Sample Integrity Management Policy
Points to Note:
(a) Contractors on the List and Specialist List shall maintain an integrity management policy (“the Policy”)
to state a construction company’s commitment to integrity and anti-corruption practices, as well as their
policy in respect of key integrity issues (including solicitation, acceptance and offer of advantages,
managing conflict of interest, etc.). The Policy shall be endorsed and signed by the top management
of a contractor.
(b) The sample Policy provided at this annex is for reference. The elements in the sample shall form the
basis for contractors to devise their company rules / guidelines on integrity such as by way of issuing a
Code of Conduct. While it may not be necessary for a contractor to use the exact wording in the
sample, the standard and requirements adopted by the contractor shall be on par with, or not inferior to
that of the sample.
(c) A contractor shall ensure that the Policy is made known to all their company personnel, as well as
business counterparts (e.g. clients, main contractors, subcontractors, suppliers and consultants, etc.) by
various means such as by publicising the Policy on the company’s website, issuing letters, or
incorporating the requirements in the employment contracts, consultancy agreements or construction /
supplier contracts. A contractor shall render full assistance to law enforcement agencies in the
investigation of criminal offences.

Sample Integrity Management Policy Annex 3 to Appendix 2A
Sample Integrity Management Policy
(name of Contractor) (“Company”) prohibits all forms of bribery and

corruption and is committed to integrity, honesty and anti-corruption practices in doing business. All sole
proprietor / partners / directors* and staff (hereafter referred as “personnel”) must abide by this integrity
policy and the associated company rules / guidelines / code of conduct*.
 Our Company and all personnel have to  Our Company prohibits all personnel from
observe the Prevention of Bribery Ordinance disclosing any classified information without
(Cap. 201) and Competition Ordinance (Cap. authorization, and misusing any Company
619) in Hong Kong and relevant laws in other information.
jurisdictions when conducting business in the
region.  Our Company has an internal reporting
mechanism for our personnel to enquire
 Our Company does not allow our personnel to matters relating to integrity and report possible
solicit or accept any advantages1 from any breaches of integrity requirements. Our
individuals or organizations having business Company handles these reports promptly and
dealings with our Company unless permission in strict confidence.
is granted for the acceptance.
 Our Company strictly forbids retaliation
 Our Company prohibits all personnel from against any personnel who, in good faith,
offering advantages to any staff or member of reports possible breaches of integrity
a government department or public body while requirements or who participates in the inquiry
having dealing of any kind with them. We also / investigation of the allegation.
prohibit all personnel from offering advantages
to any individual of organizations, whether  Any personnel in breach of integrity
directly or indirectly through a third party, for requirements will be subject to internal
influencing them in any dealing, when disciplinary action, including termination of
conducting business with our Company. appointment and / or referral to relevant law
enforcement agencies.
 Our Company’s personnel are required to
avoid accepting lavish or frequent  Our Company is committed to partner with
entertainment from others having business ethical business counterparts who share the
dealings with our Company. same value and commit to the same integrity
standard.
 Our company requires all personnel to avoid
any conflict of interest situation, or the
perception of such. If unavoidable, the
personnel concerned should make a declaration
to the approving authority who should decide
on the actions for mitigating the conflict.
Signature(s):
1
Advantage is defined under the Prevention of Bribery Ordinance (Cap. 201) covering any gift, loan, fee, reward, commission,
office, employment contract, discharge from obligation/liability/loan, service and favour, exercise or forbearance from exercise
of right/power/duty, etc.
* delete as appropriate

Sample Integrity Management Policy Annex 3 to Appendix 2A
Sample Integrity Management Policy

(Chinese Version)
誠信管理政策範本
(承建商名稱) (公司) 禁止一切形式的賄賂及貪污行為，秉持廉潔守正、誠實

正直的精神經營業務，嚴禁貪污。所有獨資經營者／合伙人／董事*及員工(下稱「人員」)必須遵守
本誠信政策及相關的公司規則／指引／行為守則*。
 本公司及公司所有人員必須遵守香港的《防  本公司禁止所有人員在未經授權下披露任
止賄賂條例》(第 201 章)及《競爭條例》(第何機密資料，或不當使用公司資料。
619 章)，在其他司法管轄區經營業務時亦須
遵守當地的相關法例。  本公司設有內部通報機制，供人員查詢有關
誠信的事宜，並舉報可能違反誠信規定的個
 本公司不容許人員向與本公司有業務往來案。本公司接獲舉報後會從速處理，而且絕
的人士或機構索取利益 1 或接受由該等人對保密。
士或機構提供的利益。假如事先獲得批准接
受有關利益，則作別論。  本公司嚴禁向真誠地舉報可能違反誠信規
定個案的人員，或參與有關指控的研訊／調
 本公司禁止所有人員在與政府部門或公共查人員報復。
機構進行任何事務往來時，向其職員或成員
提供利益，以及禁止所有人員向任何機構的  任何違反誠信規定的人員將面對內部紀律
成員提供利益(不論是直接或經第三者間接處分，包括終止聘用及／或轉交相關執法機
進行)，意圖影響他們與本公司進行業務往關處理。
來時的決定。
 本公司致力與價值觀相同、秉持同等誠信標
 本公司屬下人員必須避免接受與本公司有準和重視商業道德的伙伴合作。
業務往來的單位所提供的奢華或頻密款待。
 本公司要求所有人員避免陷入利益衝突的
情況，或被視為有利益衝突的情況。假如無
法避免，有關人員須向審批人員申報，由其
決定應採取什麼行動緩解情況。
簽署：
1 根據《防止賄賂條例》(第 201 章)，利益的定義涵蓋任何饋贈、貸款、費用、報酬、佣金、職位、僱傭合約；解除義務／法律責
任／貸款；服務及優待；行使或不行使權利／權力／職責等。
* 刪去不適用的部分。

APPENDIX 2B Guidelines for Setting Up of Integrity Management

System
GUIDELINES FOR SETTING UP OF
INTEGRITY MANAGEMENT SYSTEM
Appendix 2B Page 1 of 10
Guidelines for Setting up Integrity Management System Appendix 2B
Introduction
This Integrity Management System (IMS) can be used by all organizations. The purpose of
publishing the guidelines for setting up of IMS is to provide a management system framework and
recommendation of good practices to support organizations in managing integrity related issues.
DEVB is currently maintaining two lists of approved contractors for undertaking public works
contractors, i.e. the List of Approved Contractors for Public Works (“the List”) and the List of Approved
Suppliers of Materials and Specialist Contractors for Public Works (“the Specialist List”). Any contractor
who has been removed from the List (or the Specialist List) due to misconduct may apply for re-inclusion
under probation after expiry of two years from the date of removal. The contractor is required to submit a
proof of successful completion of integrity training course and establishment of an IMS with the proof of
complying with all the IMS requirements as prescribed by the DEVB. Such proof can be substantiated by
a statement of compliance Section C (i) issued by an independent auditor, recognized by the DEVB, after his/her
completion of the integrity audit exercise.
In addition, the re-included contractor is required to upkeep the operation of the IMS and provide
proof of complying with all the IMS requirements thereafter during the probation period through the integrity
audit exercise as mentioned above on a yearly basis. Failure to satisfy this requirement will render the
contractor being removed, suspended, downgraded or demoted from the List (or the Specialist List) in
accordance with the Contractor Management Handbook.
The remainder of this document has the following three sections:
 Section A outlines the detailed requirements of an IMS.
 Section B describes the basic standard of conduct expected of all directors and staff of the
organization.
 Section C describes the basic interpretation of some of terms and requirements mentioned in
Section A.
Section A: System Requirements
This Section outlines the detailed requirements of an IMS. The word ‘shall’ is used to indicate mandatory
requirements.
1.0 Management Responsibility
1.1 The top management shall establish documented integrity management policy Section C (a)
for the
organization.
1.2 The organization shall ensure the policy includes a commitment to comply with applicable legal
requirements, anti-bribery, anti-fraud and anti-collusion.
1.3 The organization shall take action to ensure the defined policy is well communicated and
understood within the organization, as well as with their business partners Section C (b).
1.4 The organization shall appoint a member of management Section C (c)

to ensure the effective
implementation of the IMS.
2.0 Training and Awareness Section C (d)
2.1 The organization shall provide integrity training to all staff within the organization.
2.2 The organization shall establish and maintain procedures to ensure that its staff are aware of the
organization’s IMS, as well as the defined Code of Conduct in Section B.
3.0 Planning for Integrity Risk Assessment and Treatment Section C (e,f)
3.1 The organization shall establish and maintain procedures for the ongoing identification, analysis,
evaluation of integrity risks, in the areas including but not limiting to:
3.1.1 Bribery
3.1.2 Compliance with Laws of Hong Kong and Other Jurisdictions
3.1.3 Conflict of interest
3.1.4 Use of company assets
3.1.5 Confidentiality of information
3.1.6 Outside Employment
3.1.7 Relationship with suppliers, contractors and customers
3.2 The organization shall establish and maintain risk treatment plans to document how the chosen
treatment options will be implemented. The information provided in the treatment plans should
include:
3.2.1 The reasons for selection of treatment options
3.2.2 Those who are responsible for implementing the plan
3.2.3 Proposed actions and contingencies
3.2.4 Resource requirements
3.2.5 Reporting and monitoring requirements
3.2.6 Timing and schedule
4.0 Implementation of the Risk Treatment Plans Section C (g)
4.1 The organization shall establish suitable documentation (i.e. policies, procedures, instructions,
forms) to support the implementation of the risk treatment plan.
4.2 The organization shall implement the defined risk treatment plans and maintain suitable records for
demonstrating its effective implementation.
5.0 Monitoring and Review Section C (h)
5.1 The organization shall plan in both monitoring and review as part of the integrity management
process and involve regular checking or surveillance (i.e. periodic or ad hoc).
5.2 The organization shall apply suitable methods for monitoring the implementation of risk treatment
plan.
5.3 The organization shall review the performance of the implemented risk treatment plan, to ensure
that controls are effective and efficient in both design and operation.
5.4 The organization shall maintain monitoring and review records.
5.5 The organization shall analyze and learn lessons from events, changes, trends, successes and
failures for obtaining further information to improve integrity management.
5.6 The organization shall timely inform the DEVB of any acts of suspected misconduct or misconduct
committed by their directors and staff.
6.0 Internal Audit
6.1 The organization shall establish and maintain an audit programme and procedures for carrying out
periodic IMS audits, in order to:
6.1.1 Determine whether or not the IMS is implemented and maintained properly, and is effective
in meeting the requirements for the IMS.
6.1.2 Review the results of previous audits and provide information to management
7.0 Management Review and Improvement Action
7.1 The top management shall review the achievement of the policy at regular intervals for identifying
any improvement action needs. Management review records shall be maintained.
Section B: Code of Conduct – Guidance Document
This Section describes the basic standard of conduct expected of all directors1 and staff of the organization.
The guidelines given in each of the aspects are useful to help organization to understand the basic intents.
Organization shall consider them along with their business nature to determine the actual risks when
developing integrity management plans.
1.0 Prevention of Bribery
1.1 Prevention of Bribery Ordinance
1.1.1 Under the Prevention of Bribery Ordinance (the Ordinance), any director or staff member who,
without the permission of his employer or principal (i.e. the Company), solicits or accepts an
advantage as a reward or inducement for doing any act or showing favour in relation to the latter’s
business, commits an offence. The person offering the advantage also commits an offence.
(The relevant provisions of Section 9 of the Ordinance and the definition of “advantage” are detailed
at Annex 1 of Appendix 2B.)
1.2 Solicitation & Acceptance of Advantage
It is the Company’s policy that unless special permission from the approving authority is given,
directors and staff (hereafter referred as “personnel” should not solicit or accept any advantage for
themselves or others, from any person, company or organization having business dealings with the
Company; or from their subordinates; or when the advantage will lead to a conflict of interest of the
personnel in discharging his/her official duties. However, they may accept (but not solicit) the
following advantages when offered by these offerors on a voluntary basis:
(a) Gifts or souvenirs of nominal value for advertising or promotional purpose, or given on festive
or special occasions, subject to a maximum limit2 of $_________ in value; or
(b) discounts or other special offers given to them as customers, on terms and conditions equally
applicable to other customers in general; or
1.2.1 Gifts or souvenirs presented to personnel in official functions, by others having business dealings
with the Company, are deemed as offers to the Company which retention requires special permission
given by the approving authority.
1.2.2 A special permission mentioned paragraph 1.2.1 and 1.2.2 must be obtained using Form A (at Annex
2 of Appendix 2B) within 14 days upon the acceptance of gifts or souvenir or other advantages,
beyond which such permission is deemed as invalid.
1.2.3 However, all personnel should decline an offer of advantage if acceptance could affect his/her
objectivity in conducting the Company’s business or induce him/her to act against the interest of the
Company, or acceptance will likely lead to perception or allegation of impropriety.
1.2.4 If the personnel are required to act on behalf of a client when conducting the Company’s business,
1
For sole proprietor and partnership, please amend accordingly.
2
As a general guide, the recommended maximum limit is HK$ $250
they should also comply with any additional restrictions on acceptance of advantage that may be
required by the client. For example, contractors’ employees, agents and subcontractors conducting
business in connection with public works contracts are prohibited from acceptance of advantages in
the work context.
1.3 Offer of Advantage
1.3.1 All personnel are prohibited from offering advantages to any director or staff of another company or
organization, for the purpose of influencing such person or company in any dealings, or any member
or staff of a government department or public body while having business dealings with the latter,
whether directly or indirectly through a third party, when conducting the Company’s business.
1.4 Entertainment
1.4.1 As defined in Section 2 of the Ordinance, “entertainment” refers to food or drink provided for
immediate consumption on the occasion, and any other entertainment provided at the same time.
Although entertainment is an acceptable form of business and social behaviour, all personnel should
avoid accepting overly lavish or frequent entertainment from persons with whom the Company has
business dealings (e.g. suppliers or contractors) or from his/her subordinates to avoid placing
himself/herself in a position of obligation.
1.4.2 All personnel are also not allowed to offer frequent or excessive entertainment to government officers.
1.5 Records, Accounts and other Documents
1.5.1 All personnel should ensure that all records, receipts, accounts or other documents they submit to the
Company, give a true representation of the events or business transactions as shown in the documents.
Intentional use of documents containing false information to deceive or mislead the Company,
regardless of whether there is any gain or advantage involved, may constitute an offence under the
Ordinance.
2.0 Compliance with laws of Hong Kong and in Other Jurisdictions
2.1 All personnel must comply with all local laws and regulations when conducting the Company’s
business, and also those in other jurisdictions when conducting business there.
3.0 Conflict of Interest
3.1 All personnel should avoid any conflict of interest situation (i.e. situation where their private interest
conflicts with the interest of the Company) or the perception of such conflicts. Private interest
covers both pecuniary and non-pecuniary interest. They should not misuse their position or
authority in the Company to pursue their own private interests which include both financial or
personal interests and those of their family members, relatives or close personal friends. When
actual or potential conflict of interest arises, the personnel should make a declaration to the approving
authority using Form B (Annex 3 of Appendix 2B).
3.2 Some common examples 3 of conflict of interest are described below but they are by no means
exhaustive:
(a) Personnel involved in a procurement exercise is closely related to or has financial interest in the
business of a supplier who is being considered for selection by the Company.
(b) Personnel involved in supervising the works of a subcontractor is the director of the subcontractor
under his supervision.
(c) One of the candidates under consideration in a recruitment or promotion exercise is a family member,
a relative or a close personal friend of the personnel involved in the process.
(d) A director of the Company has financial interest in a company whose quotation or tender is under
consideration by the Board of directors.
(e) A staff member (full-time or part-time) undertaking part-time work with a contractor whom he is
responsible for monitoring.
4.0 Use of Company Assets
4.1 Personnel in charge of or having access to any Company assets, including funds, property,
information, and intellectual property, should use them solely for the purpose of conducting the
Company’s business. Unauthorized use, such as misuse for personal gain, is strictly prohibited.
5.0 Confidentiality of Information

5.1 All personnel should not disclose any classified information of the Company without authorization
or misuse any Company information (e.g. unauthorized sale of the information). Those who have
access to or are in control of such information, including information in the Company’s computer
system, should at all times take security measures to protect the information from unauthorized
disclosure or misuse. Special care should also be taken in the use of any personal data, including
directors’, staff’s and customers’ personal data, to ensure compliance with the Personal Data (Privacy)
Ordinance.
6.0 Outside Employment

6.1 Any full time staff who wish to take up employment outside the Company, must seek the prior written
approval of the approving authority. The approving authority should consider whether the outside
employment would give rise to a conflict of interest with the staff’s duties or the interest of the
Company.
3
To assist the personnel in judging whether or not a conflict of interest exists, contractors are encouraged to provide examples
of conflict of interest which are very likely to happen in their daily operation. The examples listed here are for reference by
contractors, the contractor is required to add, delete or modify the examples to suit the operational needs.
7.0 Relationship with Suppliers, Contractors and Customers
7.1 Gambling
7.1.1 Directors and staff are advised not to engage in frequent gambling activities (e.g. mahjong) with
persons having business dealings with the Company.
7.2 Loans
7.2.1 Directors and staff should not accept any loan from, or through the assistance of, any individual or
organization having business dealings with the Company. There is however no restriction on
borrowing from licensed banks or financial institutions.
8.0 Reporting Mechanism
8.1 Any enquiries about the Company’s integrity policy / requirements, and any reports of possible
breaches of that or other company policies/rules should be made to
(please specify the name & post). All
these reports shall be handled promptly in strict confidence.
8.2 In cases of suspected corruption or other criminal offences, a report should be made to the ICAC or
the appropriate law enforcement agency / authority promptly.
8.3 It is the Company’s policy that retaliation against any personnel who, in good faith, makes the above
reports or who participates in the inquiry / investigation of the allegation is strictly forbidden.
9.0 Compliance
9.1 It is the responsibility of all personnel to understand and comply with these integrity requirements.
Supervisors should ensure that their subordinates understand and comply with this. Any personnel
in breach of these requirements will be subject to internal disciplinary action as appropriate, including
termination of appointment.
[The Company may wish to include other guidelines on the conduct required of personnel in their dealings
with suppliers, contractors, customers, and other business partners as appropriate to specific trades.]
Section C: Interpretation of Terms and Requirements
This Section describes the basic interpretation of some of terms and requirements mentioned in Section A.
This Section should be read in conjunction with Section A and Section B of this document.
(a) The integrity management policy should include a commitment to comply with applicable legal
requirements, anti-bribery (e.g. prohibition from offering, soliciting and accepting advantage), anti-
fraud (e.g. prohibition of false accounting) and anti-collusion (e.g. prohibition from participating in
tender rigging). The integrity management policy should be formally endorsed and signed by the
top management to demonstrate their determination. A sample is provided at Annex 3 of Appendix
2A.
(b) Business partners include clients, consultants, agents, subcontractors and suppliers. Organization
should also impose the integrity management policy on its consultants, agents, subcontractors and
suppliers who work on its behalf through contractual means, where practicable.
(c) The appointed member should be a senior staff delegated with adequate and necessary financial and
administrative authorities, and directly accountable to the top management.
(d) The organization should lay down a training plan or programme to meet with the training need of all
its staff including the new recruits. Also, the organization should oblige all its staff to strictly
observe the provisions and requirements set out in the IMS through their employment contacts or
other means, as appropriate.
(e) The organization should conduct integrity risk assessments with respect to its different work
procedures taking into account the nature, scale and location of its business. The work procedures
should include, among others, procurement, staff administration and project management procedures.
(f) The organization should establish a set of compliance checklists on various work procedures, taking
into account the risks identified and making reference to those ICAC Practical Guides/Pamphlets
which can be downloaded from the ICAC’s website:
http://www.hkbedc.icac.hk/english/publications/practical_guides.php
(g) The organization should put in place an internal reporting system, including a designated hotline,
which enables its staff to ask questions in relation to the IMS, and bring to notice of the management,
such as the appointed member, any potential breaches of the IMS or risky conducts in performing
their duties. Any enquiries received and follow-up actions taken by the management should be
properly recorded to facilitate future audits.
(h) The organization should lay down a disciplinary mechanism, setting out the disciplinary process and
details of follow-up actions to be taken against its staff for any non-compliance with the IMS.
(i) The organization should submit the Statement of Compliance together with an independent audit
report prepared by an independent auditor. The report should include:
- Introduction
o Background information
o Objectives
o Assumptions and limitations

- Assessment Methodology
o Assessment approach
o Assessment checklist
- Assessment Process
o Description of the process and activities performed
- Assessment Result
- Recommendations
Revision B-7 dated 30 April 2012
Extracts of the Prevention of Bribery Ordinance Annex 1 to Appendix 2B
Extracts of the Prevention of Bribery Ordinance
Section 9 Section 2
(1) Any agent who, without lawful authority or reasonable ‘Advantage’ means :
excuse, solicits or accepts any advantage as an
(a) any gift, loan, fee, reward or commission
inducement to or reward for or otherwise on account of
consisting of money or of any valuable security or
his –
of other property or interest in property of any
(a) doing or forbearing to do, or having done or description;
forborne to do, any act in relation to his principal’s
(b) any office, employment or contract;
affairs or business; or
(c) any payment, release, discharge or liquidation of
(b) showing or forbearing to show, or having shown or
any loan, obligation or other liability, whether in
forborne to show, favour or disfavour to any person
whole or in part;
in relation to his principal’s affairs or business,
(d) any other service, or favour (other than
shall be guilty of an offence.
entertainment), including protection from any
(2) Any person, who, without lawful authority or penalty or disability incurred or apprehended or
reasonable excuse, offers any advantage to any agent as from any action or proceedings of a disciplinary,
an inducement to or reward for or otherwise on account civil or criminal nature, whether or not already
of the agent’s – instituted;
(a) doing or forbearing to do, or having done or (e) the exercise or forbearance from the exercise of
forborne to do, any act in relation to his principal’s any right or any power or duty; and
affairs or business; or
(f) any offer, undertaking or promise, whether
(b) showing or forbearing to show, or having shown or conditional or unconditional, of any advantage
forborne to show, favour or disfavour to any person within the meaning of any of the preceding
in relation to his principal’s affairs or business, paragraphs (a), (b), (c), (d) and (e),
shall be guilty of an offence. but does not include an election donation within the
(3) Any agent who, with intent to deceive his principal, meaning of the Elections (Corrupt and Illegal Conduct)
uses any receipt, account or other document – Ordinance (Cap. 554), particulars of which are included in
(a) in respect of which the principal is interested; and an election return in accordance with that Ordinance.
(b) which contains any statement which is false or
erroneous or defective in any material particular;
and
‘Entertainment’ means :
The provision of food or drink, for consumption on the
(c) which to his knowledge is intended to mislead the
occasion when it is provided, and of any other
principal,
entertainment connected with, or provided at the same time
shall be guilty of an offence. as, such provisions.
(4) If an agent solicits or accepts an advantage with the
permission of his principal, being permission which
complies with subsection (5), neither he nor the person Section 19
who offered the advantage shall be guilty of an offence In any proceedings for an offence under this Ordinance, it
under subsection (1) or (2). shall not be a defence to show that any such advantage as
(5) For the purpose of subsection (4) permission shall – is mentioned in this Ordinance is customary in any
(a) be given before the advantage is offered, solicited profession, trade, vocation or calling.
or accepted; or
(b) in any case where an advantage has been offered or
accepted without prior permission, be applied for
and given as soon as reasonably possible after such
offer or acceptance,
and for such permission to be effective for the purpose
of subsection (4), the principal shall, before giving such
permission, have regard to the circumstances in which
it is sought.
Annex 1 to Appendix 2B Page 1 of 1

Application for Permission to Accept Gifts, Souvenirs and other Advantages Annex 2 to Appendix 2B
Application for Permission to FORM A

Accept Gifts, Souvenirs and other Advantages
Part A – To be completed by Receiving Staff^
To : (Approving Authority)1 via (supervisor of the Requesting Staff)
I wish to apply for permission to accept the following gifts / souvenirs / advantage that are offered to
me on _________ (date of acceptance).
(Please specify the gifts/souvenirs/other Advantages and the estimated value(s))
Description of Offeror :
Name & Title of Offeror :
Company :
Relationship :
Occasion on which the Gift / Souvenirs /
Advantages was / is to be received :
(Date) (Name of Requesting Staff)

(Title / Department)
^ All application must be made within 14 days upon acceptance.
------------------------------------------------------------------------------------------------------------------------------------
Part B – To be completed by Approving Authority
To : (Requesting Staff) via (supervisor of the Requesting Staff)
Please be informed that your application is: (Please tick as appropriate)
□ approved Justification :
□ Not approved, and you should take the follow-up action as below
Follow-up Action Remark
( ) Retain for Display / as a Souvenir in the Office
( ) Share among the Office
( ) Reserve as Lucky Draw Prize at Staff Function
( ) Donate to a Charitable Organization
( ) Return to Offeror
( ) Others (please specify) :
(Date) (Name of Approving Authority)

(Title)
1
The contractor is required to set a schedule of approving authority commensurate to the requesting staff, e.g. Department
Head, Division Head.
Declaration and Management of Conflict of Interest Annex 3 to Appendix 2B
Form B
Declaration and Management of Conflict of Interest
Part A – Declaration (To be completed by Declaring Staff )
1
To : (Approving Authority) via (supervisor of the Declaring Staff)
I would like to report the following existing actual/potential* conflict of interest situation arising
during the discharge of my official duties:-
Persons/companies with whom/which I have official dealings and/or private interest
My relationship with the persons/organisation(s) (e.g. relative)
My contact with the person(s)/organisation(s)

(Please state the frequency of contact and the usual occasions of contact, etc.)
Relationship of the person(s)/organisation(s) with our Company

(e.g. supplier, subcontractor, consultant)
Brief description of my duties which involved the person(s)/organisation(s)

(e.g. handling of tender exercise)
File reference, if any, of the mentioned duties
(Date) (Name of Declaring Staff)

(Title / Department)
* Delete as appropriate.
1
The contractor is required to set out a schedule of approving authority commensurate to the requesting staff, e.g. Department
Head, Division Head.

Declaration and Management of Conflict of Interests Annex 3 to Appendix 2B
Part B – Approval (To be completed by Approving Authority)

To : (Declaring Staff) via (supervisor of the Declaring Staff)
Part B(i) – In respect of the declaration in Part A of this form, it has been decided that:
(Please tick as appropriate)
□ The declaration as described in Part A is noted. You are allowed to continue handling the work as
described in Part A, provided that there is no change in the information declared above.
□ You may continue to handle the work as described in Part A, but an independent officer would be
recruited / appointed* to participate in, oversee or review part or all of the decision making process
(e.g. task another officer with the required expertise to provide objective assessment on the
matter).
Details:
□ You are relieved of your duty as described in Part A entirely or partially* (e.g. prohibit from
handling the specific part/duty that you have conflict, withdraw from discussion / meeting /
decision-making on a specific issue/cause, restrict from accessing to the relevant information,
redeploy to handle other tasks while the duty described in Part A will be taken up by another staff)
Details:
□ Others (please specify) :
Part B(ii) – The justification(s) for the measure(s) as described in Part B(i) above is/are:
(Factors of consideration including the materiality of the conflict, link between the conflict and the matter in question, and any
possible negative public perception over the conflict/incident.)
In all cases, please be reminded that you should not disclose any privileged information of the subject matter to the
person(s)/organisation(s) concerned and should further report if there are changes in circumstances necessitating
reporting. If you are allowed to continue to perform the duty, you are reminded to exercise your duty in a fair and impartial
manner.
(Date) (Name of Approving Authority)

(Title)
Part C – Keeping of Records (To be completed by the Declaring Staff)
To : (Designated Staff for keeping the completed form) via (Approving Authority)
I noted the decision in Part B. The completed form is for your retention please.
(Date) (Name of Declaring Staff)

(Title/Department)
* Delete as appropriate.
APPENDIX 3A Category, Class and Group in the Specialist List
Suppliers of Specialist Managing

Categories
Materials Contractors Departments
(Note)
1 Air-conditioning Installation X Arch SD
Group I – Contracts/Sub-contracts up to
$9.2 million
Group II - Contracts/Sub-contracts of
unlimited value
2 Audio Electronics Installation X Arch SD
3 Broadcast Reception Installation X Arch SD
4 Burglar Alarm and Security Installation X Arch SD
5 Catering Equipment Installation X Arch SD
6 Design, Manufacture and Installation of X Hy D

Glass (or Fibre) Reinforced Plastic Units
for Highway Structures
7 Diesel Generator Installation X Arch SD
8 Electrical and Mechanical Installation for X Arch SD

Sewage Treatment and Screening Plant
9 Electrical Installation X Arch SD

Group I – Contracts/Sub-contracts up to
$4.6 million
Group II – Contracts/Sub-contracts up to
$11.4 million
Group III – Contracts/Sub-contracts of
unlimited value
10 Electronic Timing and Display Installation X Arch SD
11 Fabrication of Unfired Pressure Vessels X WSD
Category, Class and Group in the Specialist List Appendix 3A

Categories
(Note)
12 Fire Service Installation X Arch SD
Group I – Contracts/Sub-contracts up
to $4.6 million
Group II – Contracts/Sub-contracts of
unlimited value
13 Fountain Installation X Arch SD
14 Ground Investigation Field Work X CEDD

to $3.7 million
unlimited value
15 Industrial Type Electrical Installation X Arch SD
16 Land Piling X Arch SD

to $5.5 million
unlimited value
17 Land, Engineering and Hydrographic X Lands D

Survey Services
18 Landscaping X Arch SD
Class I - General Landscape Work
Class II - Hydroseeding
to $3.8 million
unlimited value
19 Landslip Preventive/Remedial Works X CEDD

to Slopes/Retaining Walls
20 Lift, Escalator and Passenger X Arch SD

Conveyor Installation
21 Liquefied Petroleum Gas Installation X Arch SD
22 Low Voltage Cubicle Switchboard X Arch SD

Installation

Categories
(Note)
23 Mechanical Handling and Lifting X Arch SD
Installation
24 Mechanical Plant and Equipment X Arch SD

Installation
to $1.8 million
unlimited value
25 Plumbing Installation X Arch SD

to $4.6 million
unlimited value
26 Prestressed Concrete Works for X X Hy D

Highway Structures
Class I – Supply and Installation of
Prestressing Systems
Class II – Supply of Prestressed
Concrete Units
27 Radio Electronics Installation X Arch SD
28 Repair and Restoration of Historic X Arch SD

Buildings
29 Road Marking X Hy D
30 Soil and Rock Testing X CEDD
31 Specialized Operations for Highway X Hy D

Structures
Class I – Guniting
Class II – Waterproofing of Concrete
Surfaces
Class III – Repair of Cracked Concrete
by Resin Injection
Class IV – Non-destructive Testing of
Welds
Class V – Hot Dip Galvanising

Categories
(Note)
32 Steam and Compressed Air X Arch SD
Installation
33 Structural Steelwork X Hy D
34 Supply and Installation of Bearings for X Hy D

Highway Structures
Class I – Mechanical Bearings
Class II – Elastomeric Bearings
35 Supply and Installation of Expansion X Hy D

Joints for Highway Structures
36 Supply and Installation of Pumpsets X WSD

and Associated Pipework
37 Supply and Installation of Water X WSD

Treatment Plant
38 Supply of Bituminous Pavement X X Hy D

Materials and Construction of Special
Bituminous Surfacing
39 Survey of Government Land Pressure X Arch SD

Receivers subject to Steam and Air
Pressure (but excluding Steam
Boilers)
40 Survey of Government Land Steam X Arch SD

Boilers
41 Survey of Lifting Appliances and X Arch SD

Lifting Gear
42 Swimming Pool Water Treatment X Arch SD

Installation
43 Transparent Panels for Noise Barriers X Hy D

on Highways
44 Turn-key Interior Design and Fitting- X Arch SD

out Works
Group I – Eligible to be awarded one
contract as a Trade Test

Categories
(Note)
Group II – Eligible to be awarded
more than one contract at any time
45 Uninterruptible Power Supply X Arch SD

Installation
46 Video Electronics Installation X Arch SD
Note:
Arch SD : Architectural Services Department

CEDD : Civil Engineering and Development Department
Hy D : Highways Department
Lands D : Lands Department
WSD : Water Supplies Department
APPENDIX 3B Financial Criteria for Administration of the Specialist

List and Requirements for Acceptance of a Tender
Introduction
1. The financial criteria for administration of the List of Approved Suppliers of Materials and Specialist
Contractors for Public Works (Specialist List) and requirements for acceptance of a tender are established
by DEVB. Contractors are required to:
(i) submit the original or a certified true copy of their latest audited financial statements and in case the
contractor is also a Group C contractor on the List, the latest half-yearly management accounts;
(ii) submit certified statements of outstanding workload;
(iii) provide supplementary information; and
(iv) answer all reasonable enquiries from DEVB
to enable DEVB to ascertain that the applicable financial criteria and requirements are met.
2. In accordance with the Rules for Administration of the Specialist List in Section 3 of the Handbook,
a contractor applying for admission, confirmation or promotion must meet and maintain the financial criteria
applicable to his appropriate category and group. For retention on the List, a contractor is also required to
meet such financial criteria.
3. The financial information required to be submitted by the contractors for financial assessment is set
out in Notes to Annex 2 to Appendix 2A & Appendix 3B.
Financial Criteria for Administration of the Specialist List
4. A contractor should generally possess at least a positive capital value. In addition, a contractor is
required to maintain minimum levels of paid-up share capital, employed capital and working capital
applicable to the appropriate category and group. The minimum levels of paid-up share capital, employed
capital and working capital will be periodically adjusted and are currently set as follows:
Minimum
Category Group Capital
(Note (3))
HK$
(i) Air-conditioning I 920,000

Installation II 5,500,000
(ii) Electrical and Mechanical - 5,500,000

Installation for Sewage
Treatment and Screening Plant
Financial Criteria for Administration of the Specialist List and Requirements for Acceptance of a Tender Appendix 3B
Minimum
(Note (3))
HK$
(iii) Electrical Installation I 920,000

II 920,000
III 5,500,000
(iv) Ground Investigation Field Work I 920,000

II 5,500,000
(v) Land Piling I 920,000

II 13,900,000
(vi) Landslip Preventive/Remedial - 13,900,000

Works to Slopes/Retaining
Walls
(vii) Prestressed Concrete Works for - 1,800,000

Highway Structures
(viii) Road Marking - 1,800,000
(ix) Specialized Operations for - 1,800,000

Highway Structures
(x) Structural Steelwork - 1,800,000
(xi) Supply and Installation of - 1,800,000

Bearings for Highway
Structures
(xii) Supply and Installation of - 1,800,000

Expansion Joints for Highway
Structures
(xiii) Supply and Installation of - 5,500,000

Pumpsets and Associated
Pipework
(xiv) Supply and Installation of Water - 5,500,000

Treatment Plant
(xv) Supply of Bituminous Pavement - 5,500,000

Materials and Construction of
Special Bituminous Surfacing
Minimum
(Note (3))
HK$
(xvi) Swimming Pool Water Treatment - 5,500,000

Installation
(xvii) Turn-key Interior Design and I/II 23,900,000

Fitting-out Works (Note*)
(xviii) Categories other than those listed Any 920,000

above and under paragraph 3.3.6 in
Section 3
Note*: The contractor under this category and group is also required to have a minimum annual turnover
of HK$80 million in each of the immediate past three years.
5. If a contractor has outstanding contracts in hand, his working capital should amount to at least the
following:
Condition Level of Working Capital required
(i) Contractor has either employed or 15% of the combined annual value of uncompleted
working capital under HK$5.8 million works on outstanding contracts both in the public and
private sectors including the Housing Authority or the
minimum working capital specified in paragraph 4
above, whichever is higher
(ii) Contractor has both employed and 10% of the combined annual value of uncompleted
working capital not less than works on outstanding contracts both in the public and
HK$5.8 million respectively private sectors including the Housing Authority or the
minimum working capital specified in paragraph 4
(iii) Contractor is also a Group C contractor 8% on the first $1,120 million and 10% on the remaining
on the List combined annual value of uncompleted works on
outstanding contracts both in the public and private
sectors including the Housing Authority as required
under paragraph 4(iii) of Annex 2 to Appendix 2A or
the minimum working capital specified in paragraph 4
Note : (1) The above revised financial criteria shall take effect on 1 March 2021. However, in order to
facilitate the existing contractors on the Specialist List to maintain their present listing status,
the existing contractors will be given a 12-months’ grace period to adjust to the above new
financial criteria. In other words, all management accounts or audited financial statements
with accounting periods ending on or after 1 March 2022 will be subject to the above new
financial criteria.
(2) As regards applications for admission, confirmation or promotion in the Specialist List,
contractors shall meet the above new financial criteria applicable to the specific category, group
and status in question for applications made on or after 1 March 2021. Applications made
prior to 1 March 2021 shall be subject to the financial criteria applicable at the time of
application and the successful applicants shall meet the above new financial criteria before the
end of the same grace period as the existing contractors aforesaid. For the purpose of tender
evaluation, contractors in the relevant categories, groups and status of the Specialist List shall
be subject to the above revised financial criteria if the tenders are invited on or after 1 March
2021.
(3) The paid-up share capital requirement is not applicable in case of partnership and sole
proprietorship.
6. Where a contractor is listed in more than one category in the Specialist List and/or is also listed on the
List, he must maintain the minimum levels of share capital, employed capital and working capital applicable
to his category, group and status with higher employed capital requirement. The higher employed capital
requirement is determined based on the minimum level of employed capital before taking into account the
annualized outstanding works. The financial criteria for each group and status to be retained on the List are
set out in Annex 2 to Appendix 2A.
7. Shortfall in share capital and employed capital can be rectified by an increase in share capital/partners’
funds/proprietor’s funds, while shortfall in working capital can be generally rectified by the following
methods:
(i) increase in share capital/partners’ funds/proprietor’s funds to be paid up in cash; or
(ii) drawdown of a bank loan that is not repayable within 12 months; or
(iii) deferment in repayment of outstanding loan to directors or related companies by means of a deferred
loan agreement in an acceptable legal format.
Bank overdraft or similar facility can be a method to rectify the shortfall in working capital only for shortfall
relating to outstanding workload. Notwithstanding the above, other rectification methods may be accepted
subject to the satisfaction of DEVB.
8. If a contractor reported loss in the latest audited financial statements, he shall be subject to an
assessment on Profitability Trend Analysis, which is an analysis of the financial performance of a contractor
with reference to its profit or loss over the past three consecutive years. In this regard, the average loss rate
of the contractor shall not be greater than 30%.
9. The average profit/loss rate is defined as the weighted average of the net profit/loss as a percentage of
the opening balance of the shareholders’ funds or net worth over the past three years with weights of 3:2:1
(higher weight to be assigned to the more recent year). The net profit/loss and the opening balance of the
shareholders’ funds or net worth will be extracted from the audited financial statements. Subsequent capital
injection by a contractor to strengthen the shareholders’ funds or net worth will be taken into account in
determining the revised loss rate for the year under review.
10. For a newly formed company with only two years’ operations, the average profit/loss rate is defined
as the weighted average of the net profit/loss as a percentage of the opening balance of the shareholders’
funds or net worth over the past two years with weights of 3:2 (higher weight to be assigned to the more
recent year).
11. For a newly formed company with only one or less than one year’s operation, the average loss rate is
defined as the net loss as a percentage of the shareholders’ funds or capital at the start of business.
12. Contractors are required to provide additional financial information as and when required to enable
DEVB to carry out ad hoc financial assessment.
13. DEVB will take into account the financial information submitted by the contractor and any other
special circumstances of a contractor arise which cast doubts on his financial capability, DEVB reserves the
rights to determine that the contractor fails to satisfy the financial requirements.
Financial Requirements for Acceptance of a Tender
14. In order to be recommended for the award of a contract of whatever value in any category of work, a
contractor's share capital, employed capital and working capital, as assessed from the accounts, should
amount to at least the levels required for administration of the Specialist List. In this regard, the employed
capital and working capital requirements would be based on the latest statement of outstanding workload and
would take into account the annual value of the tender. The financial information required to be submitted
in the tendering exercise by the contractors is set out in Notes to Annex 2 to Appendix 2A & Appendix 3B.
15. In the case of a joint venture, each participant (irrespective whether on the List, the Specialist List or
not) shall be assessed on his own financial capability in taking up his share of the tender. In order to be
recommended for the award of a contract, all participants must meet the required capital levels. However,
if any of the participants cannot meet the required capital level(s) for undertaking his share but the other
participant(s) of the joint venture has met the financial criteria for undertaking such share(s) and agrees to
undertake such share(s) by signing an undertaking in the form prescribed by DEVB, the joint venture may
still be regarded as satisfying the financial requirements collectively.
16. If a contractor is subject to the assessment on the Profitability Trend Analysis and his average loss
rate is greater than 30% (or his revised loss rate taking into account subsequent capital injection is still greater
than 30%, if applicable), he will not be recommended for tender award for contracts in his prevailing group
or category. In the case of a joint venture, if any participant is subject to the assessment on the Profitability
Trend Analysis and his average loss rate is greater than 30% (or his revised loss rate taking into account
subsequent capital injection is still greater than 30%, if applicable), the joint venture will not be
recommended for award of contracts.
17. Rectification in shortfall for share capital, employed capital and working capital for tendering purpose
follows the same methods adopted for the purpose of administration of the Specialist List.
18. A contractor must satisfy DEVB that he is financially capable in undertaking the contract. In this
regard, DEVB will take into account the financial information submitted by the contractor and any other
special circumstances of a contractor arise which cast doubts on his financial capability, DEVB reserves the
rights to determine that the contractor fails to satisfy the financial requirements.
Certified Statements of Outstanding Workload
19. Each contractor submitting audited financial statements or management accounts and/or tendering for
contracts of whatever value will be required to submit with his accounts/tenders a statement certified by his
director or by a person authorized to sign Government contracts on the tenderer’s behalf giving the following
information:
(i) a list of current contracts held with Government and the private sector including the Housing
Authority, both as main contractor or subcontractor;
(ii) the approximate value of uncompleted works on each of the contracts at (i); and
(iii) the approximate time required to complete each of the contracts at (i).
APPENDIX 3C Minimum Technical & Management Criteria for Admission,

Confirmation, Promotion and Retention of Contractors for
the Specialist List
General Notes
(1) The suitability of a contractor for admission (direct entry or by promotion) and confirmation to the
Specialist List is assessed mainly under six core elements, (namely experience, management, staff
employment, safety, integrity and financial capability), as well as other specific technical requirements.
Unless otherwise specified, a contractor on the Specialist List shall also ensure his continuous
compliance of the above requirements for the purpose of retention. Whereas the financial criteria are
stated in Appendix 3B, details of technical, management and other requirements are given in this
Appendix and outlined below:
I. Experience (not applicable to retention)
- For admission (direct entry or by promotion) and confirmation, the minimum company experience
requirements for each category are stipulated in the respective pages in this Appendix.
II. Management
- The specific management criteria for each category are stipulated in the respective pages in this
Appendix. A contractor shall be removed from the Specialist List or demoted to a lower group if
he fails to comply with these requirements. In the event of any changes of the personnel in the top
management, a contractor shall inform the Managing Department immediately.
- Top management shall be the President, Chairman, Director, Managing Director, Executive
Director or General Manager etc.
- The continuous capability building requirements for top management below are applicable only to
retention :
(a) The named member(s) of the top management is/are required to participate in an average of
minimum 6 hours of capability building events per year, including minimum 1 hour safety-
related event(s) and 1 hour integrity-related event(s).
(b) Capability building events may be in the form of conferences, seminars, workshops, forums,
training courses, etc. The contractor shall declare its compliance with these sub-criteria during
renewal and submit documentary proof if requested.
Appendix 3C Page G1 of G7
Minimum Technical & Management Criteria for Admission, Confirmation, Promotion and Retention Appendix 3C
of Contractors for the Specialist List
III. Staff Employment
- The specific staff employment criteria for each category are stipulated in the respective pages in
this Appendix. A contractor shall be removed from the Specialist List or demoted to a lower group
if he fails to comply with these requirements. In the event of any changes of the personnel in the
technical staff, a contractor shall inform the Managing Department immediately.
- The continuous capability building requirements for technical staff (supervisory grade) below are
only applicable to retention:
(a) The named member(s) of the technical staff (supervisory grade) is/are required to participate
in an average of minimum 6 hours of capability building events per year, including minimum
1 hour safety-related event(s) and 1 hour integrity-related event(s).
(b) Capability building events may be in the form of conferences, seminars, workshops, forums,
training courses, etc. The contractor shall declare its compliance with these sub-criteria
during renewal and submit documentary proof if requested.
IV. Safety 1
(i) Qualified Personnel
- The contractor shall employ at least one person who is qualified to be a safety supervisor in
accordance with Chapter 3, Appendix III, paragraph 6(4) of the Construction Site Safety Manual.
A contractor who is required to employ safety supervisor as specified in this Appendix shall be
removed from the Specialist List or demoted to a lower group if he fails to comply with these
requirements. In the event of any changes of the personnel in safety supervisor, a contractor shall
inform the Managing Department immediately.
- The duties of the safety supervisor shall include providing assistance to the contractor in promoting
the safety and health of its employees. Provided that the duties of the safety supervisor can be
properly discharged, the safety supervisor may work on part-time basis or take up other tasks.
(ii) Performance in compliance with safety legislations (not applicable to retention)
- The applicant shall not be convicted of 5 or more site safety offences counted by the date of
commission and not by the date of conviction, each arising out of separate incidents in any 6-month
period in the past 12 months counting from the submission of the application. For example, if an
applicant submitted its application on 1 January 2021, the applicant shall not be convicted of 5 or
more site safety offences in each of the rolling 6-month period below:
1
Not applicable to the following six categories: (i) Prestressed Concrete Works for Highway Structures Class II – Supply of
Prestressed Concrete Units; (ii) Transparent Panels for Noise Barriers on Highways; (iii) Survey of Lifting Appliances and
Lifting Gear; (iv) Soil and Rock Testing; (v) Survey of Government Land Pressure Receivers subject to Steam and Air Pressure
(but excluding Steam Boilers) and (vi) Survey of Government Land Steam Boilers
Rolling
1 Jan 20 to 1 Feb 20 to 1 Mar 20 to 1 Apr 20 to 1 May 20 to 1 Jun 20 to 1 Jul 20 to
6-month
30 Jun 20 31 Jul 20 31 Aug 20 30 Sep 20 31 Oct 20 30 Nov 20 31 Dec 20
Period
- A site safety offence means a conviction for any offence set out in the ordinances and their subsidiary
legislations stipulated in paragraph 2(e) of DEVB TC(W) No. 3/2009 or subsequent updates. For
overseas applicants who do not have site experience in the HKSAR, a site safety offence means a
conviction for any offence set out in the relevant occupational health and safety acts, regulations and
their subsidiary legislations in its place of incorporation or place of major business. The overseas
applicants shall provide details of such site safety offence to the Development Bureau and Managing
Department(s) for assessment.
- The applicant shall declare his compliance with this assessment sub-criteria in the application form,
and shall provide supporting documents upon request. In the event that an applicant’s no. of
convictions exceeds the above limit, the applicant shall be regarded as having satisfied with this
requirement if the applicant already holds a certificate of compliance with ISO 45001 (or equivalent)
and has completed a safety audit by external safety auditor recognized by the Development Bureau
to demonstrate its capability to deliver a relevant contract with satisfactory safety performance after
the last conviction and within one year from its application.
V. Integrity
- The applicant shall maintain an integrity management policy covering at least the contents set out
in the Sample Integrity Management Policy at Annex 3 to Appendix 2A.
- In respect of integrity training, please refer to the continuous capability building requirements in
Items II and III above.
VI. Specific Technical Requirements
- The applicant shall possess or set up in Hong Kong a place of business as defined in Section 2 of
the Business Registration Ordinance and submit a copy of his business registration certificate in his
application for admission (direct entry or by promotion) and confirmation to the Specialist List.
The contractor shall also maintain his business registration certification for retention.
- Other specific technical requirements such as statutory registration and certification, plant and
equipment, office / workshop facilities, etc. for each category are stipulated in the respective pages
in this Appendix.
(2) Unless otherwise specified, the revised admission, confirmation, promotion and retention requirements
in this Appendix shall take effect from 1 March 2021. When contractors submit applications for
admission, confirmation or promotion based solely on the experience of contracts (or the related main
contract for the case of which experience of subcontracts is allowed) for which tenders were invited
before 1 March 2021, the minimum contract value in the Contractor Management Handbook Revision
B-15 shall be adopted for assessing such applications. For the avoidance of doubt, the respective
applicable group limits to determine the minimum contract values referred to in the contract experience
requirement for the relevant categories and groups are as follows:
Category Applicable group limits

Air-conditioning Installation (Group I) $5.7 million
Electrical Installation (Group I) $2.3 million
Electrical Installation (Group II) $5.7 million
Fire Service Installation (Group I) $2.3 million
Mechanical Plant and Equipment Installation (Group I) $1.1 million
Plumbing Installation (Group I) $2.3 million
(3) The non-Government contract for assessment of the job experience of a probationary contractor for
acquiring confirmed status under categories related to electrical and mechanical engineering and with
Arch SD as the Managing Department shall satisfy the following additional criteria:
(i) An applicant shall provide documentary evidence to prove that such contract is comparable with
the Government contract in terms of standard of works and project management practices; and
(ii) The contract shall be administered by the Architect/Surveyor/ Engineer, who shall approve building
services/electrical & mechanical equipment/materials and drawing submissions, monitor the
quality of installation works and associated testing & commissioning works, and certify satisfactory
completion of the works. For job experience outside the HKSAR, evidence as stipulated under
the “Guidance Notes for Application” shall also be provided; otherwise, it will not be considered
as a valid job reference.
(4) The plant and equipment requirements are subject to modification as technology advances and as new
plant emerges.
Summary of Contents
Page Annex
Categories
No No
1 Air-conditioning Installation 1-1 – 1-10 1, 2
2 Audio Electronics Installation 2-1 – 2-5 1, 3
3 Broadcast Reception Installation 3-1 – 3-4 1, 4
4 Burglar Alarm and Security Installation 4-1 – 4-4 1, 5
5 Catering Equipment Installation 5-1 – 5-4 1, 6
6 Design, Manufacture and Installation of Glass (or Fibre) 6-1 – 6-3 -

Reinforced Plastic Units for Highway Structures
7 Diesel Generator Installation 7-1 – 7-4 1, 7
8 Electrical and Mechanical Installation for Sewage 8-1 – 8-7 1, 8

Treatment and Screening Plant
9 Electrical Installation 9-1 – 9-14 1, 9
10 Electronic Timing and Display Installation 10-1 – 10-5 1, 10
11 Fabrication of Unfired Pressure Vessels 11-1 – 11-2 12
12 Fire Service Installation 12-1 – 12-11 1, 13
13 Fountain Installation 13-1 – 13-4 1, 14
14 Ground Investigation Field Work 14-1 – 14-3 15, 16
15 Industrial Type Electrical Installation 15-1 – 15-6 1, 17
16 Land Piling 16-1 – 16-3 -
17 Land, Engineering and Hydrographic Survey Services 17-1 – 17-2 -
18 Landscaping
Class I - General Landscape Work 18-1 –18-3 35
Class II - Hydroseeding 18-4 – 18-6
19 Landslip Preventive/Remedial Works to Slopes/ Retaining Walls 19-1 – 19-3 18
20 Lift, Escalator and Passenger Conveyor Installation 20-1 – 20-5 1, 19
Page Annex
Categories
No No
21 Liquefied Petroleum Gas Installation 21-1 – 21-4 1, 20
22 Low Voltage Cubicle Switchboard Installation 22-1 – 22-5 1, 21
23 Mechanical Handling and Lifting Installation 23-1 – 23-6 1, 22
24 Mechanical Plant and Equipment Installation 24-1 – 24-10 1, 23
25 Plumbing Installation 25-1 – 25-10 1, 36
26 Prestressed Concrete Works for Highway Structures -

Class I – Supply and Installation of Prestressing Systems 26-1 – 26-3
Class II – Supply of Prestressed Concrete Units 26-4 – 26-6
27 Radio Electronics Installation 27-1 – 27-5 1, 25
28 Repair and Restoration of Historic Buildings 28-1 – 28-2 -
29 Road Marking 29-1 – 29-3 -
30 Soil and Rock Testing 30-1 – 30-6 -
31 Specialized Operations for Highway Structures -

Class I – Guniting 31-1 – 31-3
Class II – Waterproofing of Concrete Surfaces 31-4 – 31-6
Class III – Repair of Cracked Concrete by Resin Injection 31-7 – 31-9
Class IV – Non-destructive Testing of Welds 31-10 – 31-12
Class V – Hot Dip Galvanising 31-13 – 31-15
32 Steam and Compressed Air Installation 32-1 – 32-6 1, 28
33 Structural Steelwork 33-1 – 33-3 -
34 Supply and Installation of Bearings for Highway Structures -

Class I – Mechanical Bearings 34-1 – 34-3
Class II – Elastomeric Bearings 34-4 – 34-6
35 Supply and Installation of Expansion Joints for Highway 35-1 – 35-3 -
Structures
36 Supply and Installation of Pumpsets and Associated 36-1 – 36-3 -
Pipework
37 Supply and Installation of Water Treatment Plant 37-1 – 37-3 -
Page Annex
Categories
No No
38 Supply of Bituminous Pavement Materials and 38-1 – 38-5 -
Construction of Special Bituminous Surfacing
39 Survey of Government Land Pressure Receivers subject to Steam 39-1 – 39-3 1, 29
and Air Pressure (but excluding Steam Boilers)
40 Survey of Government Land Steam Boilers 40-1 – 40-3 1, 30
41 Survey of Lifting Appliances and Lifting Gear 41-1 – 41-3 1, 31
42 Swimming Pool Water Treatment Installation 42-1 – 42-6 1, 32
43 Transparent Panels for Noise Barriers on Highways 43-1 – 43-3 -
44 Turn-key Interior Design and Fitting-out Works 44-1 – 44-6 -
45 Uninterruptible Power Supply Installation 45-1 – 45-4 1, 33
46 Video Electronics Installation 46-1 – 46-6 1, 34
Minimum Technical & Management Criteria for Admission, Confirmation, Promotion and Retention of Contractors for the Specialist List Appendix 3C
Managing Department : Architectural Services Department
Works Category : 1. Air-conditioning Installation Specialist Contractor
Group I: Contracts/Subcontracts up to HK$9.2M

Group II: Contracts/Subcontracts of unlimited value
Brief Scope of Category:
The scope of work in this category covers the supply, installation and maintenance of air-conditioning installations comprising chillers, refrigeration systems,
heat rejection plant, pipeworks, water handling equipment, air ducts, air handling equipment, thermal insulation, control and monitoring system, etc.
Definition of Probationary Status (Para. 7.5.3 is not applicable for this category)
Probation to Group I : Not Applicable

Probation to Group II : Eligible for the award of any number of Group I contracts/subcontracts; and a maximum of two Group II
contracts/subcontracts provided that the total value of Group II works does not exceed $32 million
Appendix 3C Page 1-1 of 1-10

Group I Group II
A. Entry on Probation A. Entry on Probation
Not Applicable 1. Experience
General
(1) The applicant shall have adequate experience in the type and size of work of the
category, as stipulated under “Job Reference for Inspection” below, with satisfactory
quality of work compatible with Government standard on and in relation to air-
conditioning installations; and
(2) The applicant shall have adequate experience in contract management of work of the
category, as stipulated under “Job Reference for Inspection” below, including solely and
fully responsibility for carrying out contract management and coordination with
building contractor and other building services / electrical and mechanical contractors;
and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes of the
application form must also be produced to the satisfaction of the DEVB; otherwise, it will
not be considered as a valid job reference.
Job Reference for Inspection (In addition to the above, every job submitted by the applicant
shall fulfill all requirements set out below; otherwise, it will not be considered as a valid job
reference)
(4) The applicant shall submit at least 2 contracts, which were completed within the past 3
years for site inspection; and
(5) At least one of the above 2 contracts shall be completed within the past 12 months or at
final stage; and
(6) These 2 contracts shall be direct contract, which was signed between the applicant and
the employer of the concerned project; and
(7) The applicant shall be able to arrange joint site inspections for the government’s
examination of the quality and workmanship of the submitted job reference within
normal office hours; and
(8) The scope of work for each of these 2 contracts must fulfill all of the following
requirements:
(a) Contract value of the work related to the category under application for inclusion
exceeds 180% of Group I tender limit (See General Notes (2)); and
(b) The contract shall cover major scope of works as described in the “Brief Scope of
Category”; and
(c) The air-conditioning installation shall be of central type, which shall include
chiller, chilled water pipeworks, pumps, air-handling equipment, etc., and the
cooling capacity of the chillers is not less than 1000kW; and
Group I Group II
(d) The contract shall be of a completely new building construction project or a whole
building refurbishment project.
(9) Subcontract will not be considered as valid job reference unless it can satisfy all of the
following requirements, in addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work as described under the “Brief
Scope of Category” covered in the main contract; and
(b) The applicant shall have undertaken the full scope of work covered in the
subcontract, solely and fully, including contract management; and
(c) The subcontract shall be signed between the applicant and the main contractor
which is the company awarded with the direct contract by the employer of the
concerned project; and
(d) The aforementioned main contractor shall not be the air-conditioning installation
contractor for the project work; and
(e) The applicant must present documentary evidence to prove the above
requirements are met and such evidence must be substantiated by the main
contractor including a letter, which must be signed by the main contractor’s
authorized signatory to confirm that the applicant has met the above requirements
in the subcontract; and
(f) Notwithstanding the above, the Managing Department may seek references on the
applicant’s technical and managerial capabilities from the employer, the relevant
parties of the concerned project and other sources or confirmation on the
authenticity of the proof provided by the applicant from the relevant parties of the
concerned project.
2. Registration with relevant authorities in Hong Kong (such as Quality Management
System Certification, Building Authority etc.)
Statutory Registration
The applicant shall be
– a Registered Specialist Contractor in the Ventilation Sub-register under Buildings
Ordinance, Cap. 123; and
– a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406; and
have full time technical staff (meeting the relevant statutory registration requirement) of
number not less than that described in the Section “Management and Staff Employment”.

Group I Group II
Quality Management System Certification
Quality Management System certificates issued under the rules of the Hong Kong
Certification Body Accreditation Scheme (HKCAS) operated by the Hong Kong
Accreditation Service (HKAS); i.e. bearing the HKCAS Accreditation Mark, or Quality
Management System certificates bearing the accreditation mark of other accreditation bodies
which are considered as having an equivalent standard by the DEVB.
The scope of certification shall be relevant to the contractor list being applied for, e.g. “supply,
installation and maintenance of air-conditioning installation”.
If the scope of certification does not include “maintenance”, the manual shall have relevant
sections for maintenance work that shall include not only post contract service but also service
for separate maintenance contract.
3. Management and Staff Employment
3.1 Top Management (See General Notes (1), Item II)
At least one member of the top management shall have a minimum experience of 5 years, out
of which 3 years shall be local experience, in managing an electrical or mechanical
engineering services company obtained in the past eight years. Please refer to General Notes
(1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff (See Annex 1 for definition of Staff Qualification)
3.2.1 Qualified Engineer
Employ at least 1 no. qualified engineer (Mechanical or Building Services discipline) with
adequate and relevant project management experience. Please refer to General Notes (1),
Item III in this Appendix in respect of continuous capability building requirement.
3.2.2 Technical Support Staff

Employ adequate nos. of technicians, site supervisors and draftsmen with adequate and
relevant academic qualification and working experience. Please refer to General Notes (1),
Technician 2 nos.
Site supervisor 4 nos.
Draftsman 2 nos.
3.2.3 Qualified Worker
Employ adequate nos. of Qualified Workers in the following trades/trade divisions:
(A) Plumber/ Refrigeration/Air-conditioning/Ventilation Mechanic
Minimum score required 40 marks
Skilled Plumber/ Refrigeration/Air-conditioning/Ventilation Mechanic 20 marks
Semi-skilled Plumber/Refrigeration/Air-conditioning/Ventilation Mechanic 15 marks
Group I Group II
(B) Electrician
Skilled Electrician 20 marks
Semi-skilled Electrician 15 marks
(C) Welder
Qualified Welder (QW) 1 no.
(D) Staff meeting the following statutory registration requirements
Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade
A2 – 2 nos. (minimum)
Licensed Plumber (LP) registered under Waterworks Ordinance, Cap. 102 – 1 no. (minimum)
The REW, LP and QW can be the Qualified Engineer, Technical Support Staff or Qualified
Worker.
4. Plant and Equipment(See General Notes (4))
Adequate modern drafting and computing facilities; minimum 2 nos. CAD terminals.
Adequate nos. of calibrated testing instruments and equipment/tools for carrying out
installation, operation, maintenance and testing/commissioning services; valid calibration
certificates for testing instruments shall be available. Refer to Annex 2 for list of typical
equipment/tools and testing instruments required.
5. Office/Workshop Facilities
Local office/workshop in HKSAR is required. Reasonably sized, suitably furnished office
and workshop/storage areas. In general, the minimum office area shall be 110 m2 and the
minimum workshop + storage area shall be 50 m2. Documentary evidence (e.g.
purchase/lease agreement) to prove right of use shall be produced.
6. Others
6.1 Safety
Please refer to General Notes (1), Item IV in this Appendix.
6.2 Integrity
Please refer to General Notes (1), Item V in this Appendix.

Group I Group II
B. Confirmation B. Confirmation
(1) The applicant has satisfactorily completed, within the past 12 months, at least one relevant
contract executed in HKSAR that satisfies the criteria stipulated in General Notes (3) in this
Appendix, awarded after inclusion in the category on probation; and
(2) This contract shall be direct contract, which was signed between the applicant and the
employer of the concerned project; and
(3) The scope of work for this contract must fulfill all the following requirements:
(a) Contract value of the work related to the category under application for confirmation
exceeds Group I tender limit (See General Notes (2)); and
Category”; and
(c) The air-conditioning installation shall be of central type, which shall include chiller,
chilled water pipeworks, pumps, air-handling equipment, etc., and the cooling capacity
of the chillers is not less than 1000kW; and
(d) The contract shall be of a completely new building construction or a whole building
refurbishment; and
(e) If the contract is a term contract, all of the above requirements 3 (a) to 3 (d) shall be
fulfilled in one works order.
(a) The subcontract shall include all the relevant work as described under the “Brief Scope
of Category” covered in the main contract; and
(b) The applicant shall have undertaken the full scope of work covered in the subcontract,
solely and fully, including contract management; and
(c) The subcontract shall be signed between the applicant and the main contractor which is
the company awarded with the direct contract by the employer of the concerned project;
and
(d) The aforementioned main contractor shall not be the air-conditioning installation
contractor for the project work.
Apart from the above experience requirement, other criteria should be the same as that required
for “A. Entry on Probation”.

Group I Group II
C. Direct Entry C. Direct Entry
1. Experience Not Applicable
General
category, as stipulated under “Job Reference for Inspection” below, with
satisfactory quality of work compatible with Government standard on and in
relation to air-conditioning installations; and
(2) The applicant shall have adequate experience in contract management of work of
the category, as stipulated under “Job Reference for Inspection” below, including
solely and fully, responsibility for carrying out contract management and,
coordination with building contractor and other building services / electrical and
mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes
of the application form must also be produced to the satisfaction of the DEVB;
otherwise, it will not be considered as a valid job reference.
Job Reference for Inspection (In addition to the above, every job submitted by the
applicant shall fulfill all requirements set out below; otherwise, it will not be considered
as a valid job reference)
(4) The applicant shall submit at least 2 contracts, which were completed within the
past 3 years for site inspection; and
(5) At least one of the above 2 contracts shall be completed within the past 12 months
or at final stage; and
(6) These 2 contracts shall be direct contract, which was signed between the applicant
and the employer of the concerned project; and
requirements:
(a) Contract value of the work related to the category under application for
inclusion exceeds 50% Group I tender limit (See General Notes (2)); and
(b) The contract shall cover the nature of works as described in the “Brief Scope
of Category”; and
(c) Installation of window type air-conditioners will not be considered as valid job
reference.

Group I Group II
(9) Subcontract will not be considered as valid job reference unless it can satisfy all of
the following requirements, in addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work as described under the
“Brief Scope of Category” covered in the main contract; and
(d) The aforementioned main contractor shall not be the air-conditioning

installation contractor for the project work; and
authorized signatory to confirm that the applicant has met the above
requirements in the subcontract; and
(f) Notwithstanding the above, the Managing Department may seek references on
the applicant’s technical and managerial capabilities from the employer, the
relevant parties of the concerned project and other sources or confirmation on
the authenticity of the proof provided by the applicant from the relevant parties
of the concerned project.
– a Registered Specialist Contractor in the Ventilation Sub-register under Buildings
Ordinance, Cap. 123; and
– a Registered Electrical Contractor registered under Electricity Ordinance, Cap.
406; and

Group I Group II

At least one member of the top management shall have a minimum experience of 5 years,
out of which 3 years shall be local experience, in managing an electrical or mechanical
engineering services company obtained in the past eight years. Please refer to General
Notes (1), Item II in this Appendix in respect of continuous capability building
requirement.

relevant academic qualification and working experience. Please refer to General Notes
(1), Item III in this Appendix in respect of continuous capability building requirement.
Technician 2 nos.
Draftsman 1 no.
Employ adequate nos. of qualified workers with adequate relevant experience in the
following trades/trade divisions:
(A) Plumber/Refrigeration/Air-conditioning/Ventilation Mechanic
Skilled Plumber/Refrigeration/Air-conditioning/Ventilation Mechanic 20 marks
Semi-skilled Plumber/Refrigeration/Air-conditioning/Ventilation Mechanic 15 marks
(B) Electrician
(C) Welder
(D) Staff meeting the following statutory registration requirements
Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406.
Grade A2 – 1 no. (minimum)
Licensed Plumber (LP) registered under Waterworks Ordinance, Cap. 102 – 1 no.
(minimum)
The LP, REW and QW can be Technical Support Staff or Qualified Worker.

Group I Group II

Adequate modern drafting and computing facilities; minimum 1 no. CAD terminal.
installation, operation, maintenance and testing/commissioning services; valid
calibration certificates where applicable for testing instruments shall be available. Refer
to Annex 2 for list of typical equipment /tools and testing instruments required.
Local office/workshop in HKSAR is required. Reasonably sized, suitably furnished
office and workshop/storage areas. In general, the minimum office area shall be 50 m2
and the minimum workshop + storage area shall be 30 m2. Documentary evidence (e.g.
6. Others
6.1 Safety
6.2 Integrity

Works Category : 2. Audio Electronics Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of power amplifier, mixing amplifier, cassette tape deck, loudspeaker,
microphone etc. commonly used for public address system, intercom system, language laboratory system, simultaneous interpretation system and audio
system at different venues.
Eligible for the award of a maximum of two contracts/subcontracts provided that the total value of works in this category does not exceed $5.5 million

A. Entry on Probation B. Confirmation C. Direct Entry
1. Experience 1. Experience 1. Experience

General (1) The applicant has satisfactorily completed, within the General
past 12 months, at least one relevant contract executed in
(1) The applicant shall have adequate experience in the HKSAR that satisfies the criteria stipulated in General (1) The applicant shall have adequate experience in the
type and size of work of the category, as stipulated Notes (3), awarded after inclusion in the category on type and size of work of the category, as stipulated
under “Job Reference for Inspection”, with probation; and under “Job Reference for Inspection”, with
satisfactory quality of work compatible with satisfactory quality of work compatible with
Government standard on and in relation to audio (2) This contract shall be direct contract, which was signed Government standard on and in relation to audio
electronics installations; and between the applicant and the employer of the concerned electronics installations; and
project; and
(2) The applicant shall have adequate experience in (2) The applicant shall have adequate experience in
contract management of work of the category, as (3) The scope of work for this contract must fulfill all the contract management of work of the category, as
stipulated under “Job Reference for Inspection” following requirements: stipulated under “Job Reference for Inspection”
below, including solely and fully, responsibility for below, including solely and fully, responsibility for
carrying out contract management and coordination (a) Contract value of the work related to the category carrying out contract management and coordination
with building contractor and other building services / under application for confirmation exceeds $0.3M; with building contractor and other building services /
electrical and mechanical contractors; and and electrical and mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as (b) The contract shall cover the nature of works as (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application described in the “Brief Scope of Category”; and stipulated in the guidance notes of the application
form must also be produced to the satisfaction of the form must also be produced to the satisfaction of the
DEVB; otherwise, it will not be considered as a valid (c) If the contract is a term contract, all of the above DEVB; otherwise, it will not be considered as a valid
job reference. requirements (a) shall be fulfilled in one works job reference.
order.
Job Reference for Inspection (In addition to the above, Job Reference for Inspection (In addition to the above,
every job submitted by the applicant shall fulfill all (4) Subcontract will not be considered as valid job reference every job submitted by the applicant shall fulfill all
requirements set out below; otherwise, it will not be unless it can satisfy all of the following requirements, in requirements set out below; otherwise, it will not be
considered as a valid job reference) addition to all the above stated requirements: considered as a valid job reference)
(4) The applicant shall submit at least 2 contracts, which (a) The subcontract shall include all the relevant work (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site as described under the “Brief Scope of Category” were completed within the past 3 years for site
inspection; and covered in the main contract; and inspection; and
(5) At least one of the above 2 contracts shall be (b) The applicant shall have undertaken the full scope (5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage; of work covered in the subcontract, solely and completed within the past 12 months or at final stage;
and fully, including contract management; and and
(6) These 2 contracts shall be direct contract, which was (c) The party by which the applicant is awarded with (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the the subcontract, and the upstream contracting signed between the applicant and the employer of the
concerned project; and parties up to and including the main contractor, concerned project; and
which is the company awarded with the direct
(7) The applicant shall be able to arrange joint site contract by the employer of the concerned project, (7) The applicant shall be able to arrange joint site
inspections for the government’s examination of the all shall not be the audio electronics installation inspections for the government’s examination of the
quality and workmanship of the submitted job contractor for the project work. quality and workmanship of the submitted job
reference within normal office hours; and reference within normal office hours; and

(8) The scope of work for each of these 2 contracts must Apart from the above experience requirement, other criteria (8) The scope of work for each of these 2 contracts must
fulfill all of the following requirements: should be the same as that required for “A. Entry on Probation”. fulfill all of the following requirements:
(a) Contract value of the work related to the (a) Contract value of the work related to the
category under application for inclusion category under application for inclusion
exceeds $0.3M; and exceeds $0.8M; and
(b) The contract shall cover the nature of works as (b) The contract shall cover the nature of works as
described in the “Brief Scope of Category”. described in the “Brief Scope of Category”.
(9) Subcontract will not be considered as valid job (9) Subcontract will not be considered as valid job
reference unless it can satisfy all of the following reference unless it can satisfy all of the following
requirements, in addition to all the above stated requirements, in addition to all the above stated
requirements: requirements:
(a) The subcontract shall include all the relevant (a) The subcontract shall include all the relevant
work as described under the “Brief Scope of work as described under the “Brief Scope of
Category” covered in the main contract; and Category” covered in the main contract; and
(b) The applicant shall have undertaken the full (b) The applicant shall have undertaken the full
scope of work covered in the subcontract, scope of work covered in the subcontract,
solely and fully, including contract solely and fully, including contract
management; and management; and
(c) The party by which the applicant is awarded (c) The party by which the applicant is awarded
with the subcontract, and the upstream with the subcontract, and the upstream
contracting parties up to and including the contracting parties up to and including the main
main contractor, which is the company contractor, which is the company awarded with
awarded with the direct contract by the the direct contract by the employer of the
employer of the concerned project, all shall not concerned project, all shall not be the audio
be the audio electronics installation contractor electronics installation contractor for the
for the project work; and project work; and
(d) The applicant must present documentary (d) The applicant must present documentary
evidence to prove the above requirements are evidence to prove the above requirements are
met and such evidence must be substantiated met and such evidence must be substantiated
by all the relevant upstream contracting parties by all the relevant upstream contracting parties
as mentioned at (c) above including letters as mentioned at (c) above including letters
from them, which must be signed by their from them, which must be signed by their
authorized signatories to confirm that the authorized signatories to confirm that the
applicant has met the above requirements in the applicant has met the above requirements in the
subcontract; and subcontract; and
(e) Notwithstanding the above, the Managing (e) Notwithstanding the above, the Managing
Department may seek references on the Department may seek references on the
applicant’s technical and managerial applicant’s technical and managerial
capabilities from the employer, the relevant capabilities from the employer, the relevant
parties of the concerned project and other parties of the concerned project and other
sources or confirmation on the authenticity of sources or confirmation on the authenticity of
the proof provided by the applicant from the the proof provided by the applicant from the
relevant parties of the concerned project. relevant parties of the concerned project.
2. Management and Staff Employment 2. Management and Staff Employment
2.1 Top Management (See General Notes (1), Item II) 2.1 Top Management (See General Notes (1), Item II)
At least one member of the top management shall have a At least one member of the top management shall have a
minimum experience of 5 years, out of which 3 years shall minimum experience of 5 years, out of which 3 years shall
be local experience, in managing an electrical or be local experience, in managing an electrical or
mechanical engineering services company obtained in the mechanical engineering services company obtained in the
past eight years. Please refer to General Notes (1), Item II past eight years. Please refer to General Notes (1), Item II
in this Appendix in respect of continuous capability in this Appendix in respect of continuous capability
building requirement. building requirement.
2.2 Technical Staff (See Annex 1 for definition of Staff 2.2 Technical Staff (See Annex 1 for definition of Staff
Qualification) Qualification)
2.2.1 Technical Support Staff 2.2.1 Technical Support Staff
Employ adequate nos. of technicians, site supervisors and Employ adequate nos. of technicians, site supervisors and
draftsmen with adequate and relevant academic draftsmen with adequate and relevant academic
qualification and working experience. Please refer to qualification and working experience. Please refer to
General Notes (1), Item III in this Appendix in respect of General Notes (1), Item III in this Appendix in respect of
continuous capability building requirement. continuous capability building requirement.
Technician 1 no. Technician 1 no.

Site supervisor 1 no. Site supervisor 1 no.
Draftsman 1 no. Draftsman 1 no.
2.2.2 Qualified Worker 2.2.2 Qualified Worker
Employ adequate nos. of Qualified Workers in the Employ adequate nos. of Qualified Workers in the
following trades/ trade divisions: following trades/ trade divisions:
Electronic Equipment Mechanic (Construction Work) Electronic Equipment Mechanic (Construction Work)
Minimum score required 40 marks Minimum score required 40 marks
Skilled Electronic Equipment Mechanic 20 marks Skilled Electronic Equipment Mechanic 20 marks
(Construction Work) (Construction Work)
Semi-skilled Electronic Equipment 15 marks Semi-skilled Electronic Equipment 15 marks
Mechanic (Construction Worker) Mechanic (Construction Work)

3. Plant and Equipment(See General Notes (4)) 3. Plant and Equipment(See General Notes (4))
Adequate modern drafting and computing facilities; Adequate modern drafting and computing facilities;
minimum 1 no. CAD terminal. minimum 1 no. CAD terminal.
Adequate nos. of calibrated testing instruments and Adequate nos. of calibrated testing instruments and
equipment/tools for carrying out installation, operation, equipment/tools for carrying out installation, operation,
maintenance and testing/commissioning services; valid maintenance and testing/commissioning services; valid
calibration certificates for testing instruments shall be calibration certificates for testing instruments shall be
available. Refer to Annex 3 for list of typical available. Refer to Annex 3 for list of typical
equipment/tools and testing instruments required. equipment/tools and testing instruments required.
4. Office/Workshop Facilities 4. Office/Workshop Facilities
Local office/workshop in Hong Kong SAR is required. Local office/workshop in Hong Kong SAR is required.
Reasonably sized, suitably furnished office and Reasonably sized, suitably furnished office and
workshop/storage areas. In general, the minimum office workshop/storage areas. In general, the minimum office
area shall be 40 m2 and the minimum workshop + storage area shall be 40 m2 and the minimum workshop + storage
area shall be 25 m2. Documentary evidence (e.g. area shall be 25 m2. Documentary evidence (e.g.
purchase/lease agreement) to prove right of use shall be purchase/lease agreement) to prove right of use shall be
produced. produced.
5. Others 5. Others
5.1 Safety 5.1 Safety
Please refer to General Notes (1), Item IV in this Appendix. Please refer to General Notes (1), Item IV in this Appendix.
5.2 Integrity 5.2 Integrity
Please refer to General Notes (1), Item V in this Appendix. Please refer to General Notes (1), Item V in this Appendix.
5.3 Authorized Agency 5.3 Authorized Agency
Preferably be an authorized agent in HKSAR for essential Preferably be an authorized agent in HKSAR for essential
equipment. Documentary evidence such as authorized equipment. Documentary evidence such as authorized
agency agreements shall be available. agency agreements shall be available.
5.4 Support from Principal 5.4 Support from Principal

Technical support from principal(s) of relevant agency is Technical support from principal(s) of relevant agency is
desirable. Applicant to demonstrate scope and extent (such desirable. Applicant to demonstrate scope and extent (such
as design, backup on installation / maintenance etc.) of as design, backup on installation / maintenance etc.) of
support. support.

Works Category : 3. Broadcast Reception Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of TV/FM aerials, pre-amplifiers, broadband/channel amplifiers,
distribution amplifiers, combining units, tee-units, splitter units, signal cables and TV/FM outlets, etc. for building and amenity projects.

Direct Entry
1. Experience
General
(1) The applicant shall have adequate experience in the type and size of work of the category, as stipulated under “Job Reference for Inspection” below, with satisfactory quality of work
compatible with Government standard on and in relation to broadcast reception installations; and
(2) The applicant shall have adequate experience in contract management of work of the category, as stipulated under “Job Reference for Inspection” below, including solely and fully
responsibility for carrying out contract management and coordination with building contractor and other building services / electrical and mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes of the application form must also be produced to the satisfaction of the DEVB; otherwise, it will
Job Reference for Inspection (In addition to the above, every job submitted by the applicant shall fulfill all requirements set out below; otherwise, it will not be considered as a valid job
reference)
(4) The applicant shall submit at least 2 contracts, which were completed within the past 3 years for site inspection; and
(5) At least one of the above 2 contracts shall be completed within the past 12 months or at final stage; and
(6) These 2 contracts shall be direct contract, which was signed between the applicant and the employer of the concerned project; and
(7) The applicant shall be able to arrange joint site inspections for the government’s examination of the quality and workmanship of the submitted job reference within normal office hours;
and
(8) The scope of work for each of these 2 contracts must fulfill all of the following requirements:
(a) Contract value of the work related to the category under application for inclusion exceeds $0.4M; and
(b) The contract shall cover major scope of works as described in the “Brief Scope of Category”.
(9) Subcontract will not be considered as valid job reference unless it can satisfy all of the following requirements, in addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work as described under the “Brief Scope of Category” covered in the main contract; and
(b) The applicant shall have undertaken the full scope of work covered in the subcontract, solely and fully, including contract management; and
(c) The party by which the applicant is awarded with the subcontract, and the upstream contracting parties up to and including the main contractor, which is the company awarded
with the direct contract by the employer of the concerned project, all shall not be the broadcast reception installation contractor for the project work; and
(d) The applicant must present documentary evidence to prove the above requirements are met and such evidence must be substantiated by all the relevant upstream contracting
parties as mentioned at (c) above including letters from them, which must be signed by their authorized signatories to confirm that the applicant has met the above requirements
(e) Notwithstanding the above, the Managing Department may seek references on the applicant’s technical and managerial capabilities from the employer, the relevant parties of the
concerned project and other sources or confirmation on the authenticity of the proof provided by the applicant from the relevant parties of the concerned project.

Direct Entry

At least one member of the top management shall have a minimum experience of 5 years, out of which 3 years shall be local experience, in managing an electrical or mechanical engineering
services company obtained in the past eight years. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
Employ adequate nos. of technicians, site supervisors and draftsmen with adequate and relevant academic qualification and working experience. Please refer to General Notes (1), Item III
in this Appendix in respect of continuous capability building requirement.
Technician 1 no.
Site supervisor 1 no.
Draftsman 1 no.
Employ adequate nos. of Qualified Workers in the following trades/ trade divisions:
Electrician/ Electronics Equipment Mechanic (Construction Work)
Skilled Electrician/ Electronics 20 marks
Equipment Mechanic (Construction
Work)
Semi-skilled Electrician/ Electronics 15 marks
Work)
3. Plant and Equipment (See General Notes (4))
Adequate modern drafting and computing facilities, minimum 1 no. CAD terminal. Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out installation, operation,
maintenance and testing/ commissioning services; valid calibration certificates for testing instruments shall be available. Refer to Annex 4 for list of typical equipment/ tools and testing
instruments required.
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished office and workshop/ storage areas. In general, the minimum office area shall be 40 m2 and the
minimum workshop + storage area shall be 10 m2. Documentary evidence (e.g. purchase/lease agreement) to prove right of use shall be produced.

Direct Entry
5. Others
5.1 Safety
5.2 Integrity

Works Category : 4. Burglar Alarm and Security Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of central control station consisting of computer and peripherals,
communication network, UPS system, equipment console and rack, deterrent system consisting of card access control, exit control lock, duress push button,
tamper switch, detection system comprising of motion detector, magnetic door contact, glass break detector, surveillance system comprising of closed circuit
television, digital video motion detector, watchman tour system, etc. where applicable for building and amenity projects.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to burglar alarm and security installations; and
(2) The applicant shall have adequate experience in contract management of work of the category, as stipulated under “Job Reference for Inspection” below, including solely and fully,
reference)
and
with the direct contract by the employer of the concerned project, all shall not be the burglar alarm and security installation contractor for the project work; and

Direct Entry
2. Registration with relevant authorities in Hong Kong (such as Quality Management System Certification, Building Authority etc.)
The applicant shall be a Licensed Security Company engaged in Type III Security Work under Security and Guarding Services Ordinance, Cap. 460 and have full time technical staff (meeting
the relevant statutory registration requirement) of number not less than that described in the Section “Management and Staff Employment”.
Employ at least 1 no. qualified engineer (Electronics, Building Services or Electrical discipline) with adequate and relevant professional and project management experience. This requirement
may be waived with the applicant having adequate nos. of degree holder technicians stated below. Please refer to General Notes (1), Item III in this Appendix in respect of continuous
capability building requirement.
Degree holder Technician with minimum 5 years post-qualification experience.

 Nil for applicant with Qualified Engineer.
 2 for applicant without Qualified Engineer.
Draftsman 1 no.
(A) Electrician/ Electronic Equipment Mechanic (Construction Work)

Skilled Electrician/ Electronics 20 marks
Work)
Semi-skilled Electrician/ Electronics 15 marks
Work)

Direct Entry
(B) Staff meeting the following statutory registration requirements:
Security Personnel (SP) holding Security Personnel Permit (Cat. D) issued under Security and Guarding Services Ordinance, Cap 460 – 2 nos. (minimum)
The SP can be the Qualified Engineer, Technical Support Staff or Qualified Worker.
Adequate modern drafting and computing facilities; minimum 1 no. CAD terminal. Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out installation,
operation, maintenance and testing/ commissioning services; valid calibration certificates for testing instruments shall be available. Refer to Annex 5 for list of typical equipment/ tools and
testing instruments required.
minimum workshop + storage area shall be 10 m2. Documentary evidence (e.g. purchase/ lease agreement) to prove right of use shall be produced.
6. Others
6.1 Safety
6.2 Integrity
6.3 Authorized Agency

Be an authorized agent/distributor in HKSAR for the major equipment to be offered. Documentary evidence such as authorized agency/distributorship agreements shall be available.
6.4 24-hour Emergency Service Centre

Available for fault attendance. The service shall be effective, e.g. the fault call can be acknowledged immediately and maintenance personnel can arrive at the fault location within 1
hour.

Works Category : 5. Catering Equipment Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of full range of electrical and gas cooking equipment, sinks and fixtures,
exhaust hood, steam and hot water equipment, refrigeration and food storage facilities, etc. for use in commercial kitchen, restaurant and canteen in buildings
and associated serving area, including cooker, cooking range, food warmer, steamer, fryer, hot plate, oven, water heater, sink, hot cabinet, freezer, food rack,
kitchen work-top, water wash hood, gas water heater connected to mechanical exhaust system etc.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to catering equipment installations; and
reference)
(7) All statutory submissions to Gas Authority and statutory forms such as the Work Completion (Part of an Installation) Certificate (i.e. Form WR1 (A)) shall be issued under the name
of the applicant; and
and
(b) The contract shall cover major catering equipment installation related to the category; and
(c) The contract shall be for new building project or for a completely renovated commercial kitchen in restaurant, canteen, etc. Partial renovation or fitting-out works in an existing
commercial kitchen are not acceptable.
with the direct contract by the employer of the concerned project, all shall not be the catering equipment installation contractor for the project work; and

Direct Entry
– a Registered Gas Contractor registered under Gas Safety Ordinance, Cap. 51; and
– a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406; and
have full time technical staff (meeting the relevant statutory registration requirement) of number not less than that described in the Section “Management and Staff Employment”.

Technician 1 no.
Draftsman 1 no.
(A) Mechanical Fitter/Electrician

Skilled Mechanical Fitter/Electrician 20 marks
Semi-skilled Mechanical Fitter/Electrician 15 marks

Direct Entry

– Registered Gas Installer (RGI) registered under Gas Safety Ordinance, Cap. 51. Gas Installation Work – 1 no. (minimum) (The RGI(s) shall hold licences covering gas installation
work Class 1 to 7 collectively)
– Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade A2 – 1 no. (minimum)
The RGI and REW can be the Technical Support Staff or Qualified Workers.
Adequate modern drafting and computing facilities; minimum 1 no. CAD terminal. Adequate nos. of calibrated testing instruments and equipment/tools for carrying out installation, operation,
6. Others
6.1 Safety
6.2 Integrity

Managing Department : Highways Department
Works Category : 6. Design, Manufacture and Installation of Glass (or Fibre) Reinforced Plastic Units Specialist Contractor
for Highway Structures
The scope of work in this category covers the design, manufacture and installation of glass reinforced plastic units or plastic units reinforced with other fibre
for highway structures works.

Direct Entry
1. Job Experience
Satisfactory completion of at least 3 projects in the design, manufacture and installation of glass (or fibre) reinforced plastic products in highway structures in the past 3 years, each
with a value of $ 0.3 M or more. References on these projects from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be
verified by paying site visits.
Not Applicable
3.1 Top Management(see General Notes (1), Item II)

At least one top management with one year of relevant professional and management experience is required. Documentary proof shall be submitted to demonstrate sufficient
commitment for control of the works. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff

a. At least one design staff with 3 years of experience in the field of glass (or fibre) reinforced plastic is required.
b. Local workforce capable of installing the glass (or fibre) reinforced plastic units.
All the named technical staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to
General Notes (1), Item III in this Appendix in respect of continuous capability building requirement.

a. Mechanical fibre/resin mixer.
b. Hoisting facility.
c. Carpenter's equipment (saw, drill etc.).
d. Heat curing chamber.
e. Spray machine (chopped fabric, gelcoat etc.).
f. Air compressor for spray gun.
Local office in Hong Kong is required. The applicant must possess a factory with equipment listed above and adequate testing and quality control facilities.
6. Training Facilities
Not Applicable

Direct Entry
7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix.
7.3 Acceptable design, manufacturing and installation procedures and fully documented quality assurance system. Raw materials used must comply with relevant British Standards
or other equivalent national standards. A certificate from an approved laboratory to confirm that the materials used meet the requirements stipulated in BS 2782 & BS 4549.
7.4 Applicants will be required to complete a standard questionnaire entitled “Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Questionnaire) and
submit/ supplement all the necessary supporting documents in the application for inclusion into the category. In completing the questionnaire, reference can be made to the
“Guidelines for Applicants in Completing the Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Guidelines). The Questionnaire and the
Guidelines can be obtained from the website, http://www.hyd.gov.hk/en/public_forms/index.html.

Works Category : 7. Diesel Generator Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of diesel generator and associated installations such as fuel tank,
switchboard, cable, earthing etc.

C. Direct Entry
1. Experience
General
compatible with Government standard on and in relation to diesel generator installations; and
reference)
(7) All statutory forms such as the Work Completion (Part of an Installation) Certificate (i.e. Form WR1 (A)) shall be issued under the name of the applicant; and
and
(a) The contract shall cover the scope of works as described in the “Brief Scope of Category”; and
(b) The rating of the diesel generator of the job reference shall be 300kVA or higher.
with the direct contract by the employer of the concerned project, all shall not be the diesel generator installation contractor for the project work; and

C. Direct Entry
The applicant shall be a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406 and have full time technical staff (meeting the relevant statutory registration
requirement) of number not less than that described in the Section “Management and Staff Employment”.

Employ at least 1 no. qualified engineer (Mechanical, Electrical or Building Services discipline) with adequate and relevant project management experience. Please refer to General Notes

Technician 2 nos.
Draftsman 1 no.
Employ adequate nos. of Qualified Worker in the following trades/ trade divisions:
(A) Mechanical Fitter

Skilled Mechanical Fitter 20 marks
Semi-skilled Mechanical Fitter 15 marks

C. Direct Entry
(B) Electrician

(C) Staff meeting the following statutory registration requirements:
The REW can be the Qualified Engineer, Technical Support Staff or Qualified Worker.
Adequate modern drafting and computing facilities, minimum 1 no. CAD terminal. Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out installation, operation,
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished office and workshop /storage areas. In general, the minimum office area shall be 40 m2 and the
6. Others
6.1 Safety
6.2 Integrity
Preferably being an authorized agent in HKSAR for essential equipment. Documentary evidence such as authorized agency agreements shall be available.
6.4 Support from Principal
Technical support from principal(s) of relevant agency is desirable. Applicant to demonstrate scope and extent (such as design, backup on installation / maintenance etc.) of support.

Works Category : 8. Electrical and Mechanical Installation for Sewage Treatment and Screening Plant Specialist Contractor
The scope of work in this category covers design, supply, installation and maintenance of the following facilities:
(i) Electrical and mechanical equipment for sewage (including stormwater) pumping stations;
(ii) Electrical and mechanical equipment for screening plant and small package treatment plant (i.e. the design average dry weather flow of not more than
500m3/day is considered as a small package treatment plant);
(iii) Electrical and mechanical equipment for sewage treatment plants, which are considered to have included the nature of work as depicted in items (i)
and (ii) above.
Eligible for the award of a maximum of two contracts/subcontracts provided that the total value of works in this category does not exceed $55 million


type and size of work of the category, as stipulated Notes (3) in this Appendix, awarded after inclusion in the type and size of work of the category, as stipulated
under “Job Reference for Inspection” below, with category on probation; and under “Job Reference for Inspection” below, with
Government standard on and in relation to electrical (2) This contract shall be direct contract, which was signed Government standard on and in relation to electrical
and mechanical installations for sewage treatment between the applicant and the employer of the concerned and mechanical installations for sewage treatment
and screening plant; and project; and and screening plant; and
(2) The applicant shall have adequate experience in (3) All statutory forms such as the Work Completion (Part of (2) The applicant shall have adequate experience in
contract management of work of the category, as an Installation) Certificate (i.e. Form WR1 (A)) shall be contract management of work of the category, as
stipulated under “Job Reference for Inspection” issued under the name of the applicant; and stipulated under “Job Reference for Inspection”
carrying out contract management and coordination (4) The scope of work for this contract must fulfill the carrying out contract management and coordination
with building contractor and other building services / following requirements: with building contractor and other building services /
electrical and mechanical contractors; and electrical and mechanical contractors; and
(a) (i) Value of the contract which covers a single
(3) For job experience outside the HKSAR, evidences as station, plant or treatment works of the respective (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application scope under application for confirmation exceeds stipulated in the guidance notes of the application
form must also be produced to the satisfaction of the $8M; or form must also be produced to the satisfaction of the
DEVB; otherwise, it will not be considered as a valid DEVB; otherwise, it will not be considered as a valid
job reference. (ii) If multiple stations, plants or treatment works job reference.
are included in the contract, only the station, plant
Job Reference for Inspection (In addition to the above, or treatment works each with contract value Job Reference for Inspection (In addition to the above,
every job submitted by the applicant shall fulfill all exceeding $8M will be considered; and every job submitted by the applicant shall fulfill all
requirements set out below; otherwise, it will not be requirements set out below; otherwise, it will not be
considered as a valid job reference) (b) The contract shall cover major scope of works as considered as a valid job reference)
described in the “Brief Scope of Category”.
(4) The applicant shall submit at least 2 contracts, which Relevant restrictions, in pursuant to item (i) or/and (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site (ii) of the “Brief Scope of Category” will be were completed within the past 3 years for site
inspection; and applied if applicable; inspection; and
(5) At least one of the above 2 contracts shall be (c) If the contract is a term contract, all of the above (5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage; requirements 4 (a)(i) or (ii) and 4 (b) shall be completed within the past 12 months or at final stage;
and fulfilled in one works order. and
(6) These 2 contracts shall be direct contract, which was (5) Subcontract will not be considered as valid job reference (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the unless it can satisfy all of the following requirements, in signed between the applicant and the employer of the
concerned project; and addition to all the above stated requirements: concerned project; and
(7) All statutory forms such as the Work Completion (a) The subcontract shall include all the relevant work (7) All statutory forms such as the Work Completion
(Part of an Installation) Certificate (i.e. Form WR1 as described under the “Brief Scope of Category” (Part of an Installation) Certificate (i.e. Form WR1
(A)) shall be issued under the name of the applicant; item (i), (ii) or (iii) covered in the main contract; (A)) shall be issued under the name of the applicant;
and and and

(8) The applicant shall be able to arrange joint site (b) The applicant shall have undertaken the full scope (8) The applicant shall be able to arrange joint site
inspections for the government’s examination of the of work covered in the subcontract, solely and inspections for the government’s examination of the
quality and workmanship of the submitted job fully, including contract management; and quality and workmanship of the submitted job
(c) The subcontract shall be signed between the
(9) The scope of work for each of these 2 contracts must applicant and the main contractor which is the (9) The scope of work for each of these 2 contracts must
fulfill all of the following requirements: company awarded with the direct contract by the fulfill all of the following requirements:
employer of the concerned project.
(a) (i) Value of the contract which covers a single (a) (i) Value of the contract which covers a single
station, plant or treatment works of the Apart from the above experience requirement, other criteria station, plant or treatment works of the
category scope under application for inclusion should be the same as that required for “A. Entry on Probation”. respective scope under application for
exceeds $8M; or inclusion exceeds $16M; or
(ii) If multiple stations, plants or treatment (ii) If multiple stations, plants or treatment
works are included in the contract, only the works are included in the contract, only the
station, plant or treatment works each with station, plant or treatment works of the
contract value exceeding $8M will be respective scope each exceeding $16M will be
considered; and considered; and
(b) The contract shall cover major scope of works (b) The contract shall cover major scope of works
as described in the “Brief Scope of Category”. as described in the “Brief Scope of Category”.
For application for inclusion into the category Relevant restrictions, in pursuant to items (i)
with restriction to works for item (i) or/and (ii) or/and (ii) of the “Brief Scope of Category”
in the “Brief Scope of Category”, submitted will be applied if applicable.
contracts shall cover respective major scope of
works accordingly.
Category” item (i), (ii) or (iii) covered in the Category” item (i), (ii) or (iii) covered in the
main contract; and main contract; and
(c) The subcontract shall be signed between the (c) The subcontract shall be signed between the
applicant and the main contractor which is the applicant and the main contractor which is the
company awarded with the direct contract by company awarded with the direct contract by
the employer of the concerned project; and the employer of the concerned project; and


(d) The applicant must present documentary (d) The aforementioned main contractor shall not
evidence to prove the above requirements are be the electrical and mechanical installation
met and such evidence must be substantiated contractor for sewage treatment and screening
by the main contractor including a letter, which plant of the project work; and
must be signed by the main contractor’s
authorized signatory to confirm that the (e) The applicant must present documentary
applicant has met the above requirements in the evidence to prove the above requirements are
subcontract; and met and such evidence must be substantiated
by the main contractor including a letter, which
(e) Notwithstanding the above, the Managing must be signed by the main contractor’s
Department may seek references on the authorized signatory to confirm that the
applicant’s technical and managerial applicant has met the above requirements in the
capabilities from the employer, the relevant subcontract; and
parties of the concerned project and other
sources or confirmation on the authenticity of (f) Notwithstanding the above, the Managing
the proof provided by the applicant from the Department may seek references on the
relevant parties of the concerned project. applicant’s technical and managerial
capabilities from the employer, the relevant
sources or confirmation on the authenticity of
the proof provided by the applicant from the
2. Registration with relevant authorities in Hong Kong relevant parties of the concerned project.
(such as Quality Management System Certification,
Building Authority etc.) 2. Registration with relevant authorities in Hong Kong
Statutory Registration Building Authority etc.)
The applicant shall be a Registered Electrical Contractor Statutory Registration
registered under Electricity Ordinance, Cap. 406; and have
full time technical staff (meeting the relevant statutory The applicant shall be a Registered Electrical Contractor
registration requirement) of number not less than that registered under Electricity Ordinance, Cap. 406; and have
described in the Section “Management and Staff full time technical staff (meeting the relevant statutory
Employment”. registration requirement) of number not less than that
described in the Section “Management and Staff
3. Management and Staff Employment Employment”.
3.1 Top Management (See General Notes (1), Item II) 3. Management and Staff Employment
At least one member of the top management shall have a 3.1 Top Management (See General Notes (1), Item II)
minimum experience of 5 years, out of which 3 years shall
be local experience, in managing an electrical or At least one member of the top management shall have a
mechanical engineering services company obtained in the minimum experience of 5 years, out of which 3 years shall
past eight years. Please refer to General Notes (1), Item II be local experience, in managing an electrical or
in this Appendix in respect of continuous capability mechanical engineering services company obtained in the
building requirement. past eight years. Please refer to General Notes (1), Item II
in this Appendix in respect of continuous capability
building requirement.

3.2.1 Qualified Engineer 3.2.1 Qualified Engineer
Employ at least 1 no. qualified engineer (Mechanical or Employ at least 1 no. qualified engineer (Mechanical or
Electrical discipline) with adequate and relevant project Electrical discipline) with adequate and relevant project
management experience. Please refer to General Notes (1), management experience. Please refer to General Notes (1),
Item III in this Appendix in respect of continuous capability Item III in this Appendix in respect of continuous capability
Technician 2 nos. Technician 2 nos.

Site supervisor 4 nos. Site supervisor 4 nos.
Draftsman 2 nos. Draftsman 2 nos.
Employ adequate nos. of Qualified Workers in the Employ adequate nos. of Qualified Worker in the following
following trades/ trade divisions: trades/ trade divisions:
(A) Mechanical Fitter (A) Mechanical Fitter
Skilled Mechanical Fitter 20 marks Skilled Mechanical Fitter 20 marks
Semi-skilled Mechanical Fitter 15 marks Semi-skilled Mechanical Fitter 15 marks
(B) Electrician (B) Electrician
Skilled Electrician 20 marks Skilled Electrician 20 marks
Semi-skilled Electrician 15 marks Semi-skilled Electrician 15 marks
(C) Welder (C) Welder
Qualified Welder (QW) 1 no. Qualified Welder (QW) 1 no.

(D) Staff meeting the following statutory registration (D) Staff meeting the following statutory registration
– Registered Electrical Worker (REW) registered – Registered Electrical Worker (REW) registered
under Electricity Ordinance, Cap. 406. Grade B0 – under Electricity Ordinance, Cap. 406. Grade B0 – 1
1 no. (minimum) no. (minimum)
– A Competent Person (CP) appointed under the – A Competent Person (CP) appointed under the
Factory & Industrial Undertakings (Confined Factory & Industrial Undertakings (Confined
Spaces) Regulations, Cap. 59 as Personnel for Spaces) Regulations, Cap. 59 as Personnel for
working in confined spaces – 1 no. (minimum) working in confined spaces – 1 no. (minimum)
– Certified Worker (CW) appointed under the Factory – Certified Worker (CW) appointed under the Factory
& Industrial Undertakings (Confined Spaces) & Industrial Undertakings (Confined Spaces)
Regulations, Cap. 59 as Personnel for working in Regulations, Cap. 59 as Personnel for working in
confined spaces – 2 nos. (minimum) confined spaces – 2 nos. (minimum)
The CP, CW, REW and QW can be the Qualified Engineer, The CP, CW, REW and QW can be the Qualified Engineer,
Technical Support Staff or Qualified Worker. Technical Support Staff or Qualified Worker.
4. Plant and Equipment (See General Notes (4)) 4. Plant and Equipment (See General Notes (4))
Adequate modern drafting and computing facilities, Adequate modern drafting and computing facilities,
minimum 1 no. CAD terminal. Adequate nos. of calibrated minimum 1 no. CAD terminal. Adequate nos. of calibrated
testing instruments and equipment/ tools for carrying out testing instruments and equipment/ tools for carrying out
installation, operation, maintenance and testing/ installation, operation, maintenance and testing/
commissioning services; valid calibration certificates for commissioning services; valid calibration certificates for
testing instruments shall be available. Refer Annex 8 for testing instruments shall be available. Refer to Annex 8 for
list of typical equipment/tools and testing instruments list of typical equipment/ tools and testing instruments
required. required.
Local office/ workshop in Hong Kong SAR is required. Local office/ workshop in Hong Kong SAR is required.
Reasonably sized, suitably furnished office and workshop/ Reasonably sized, suitably furnished office and workshop/
storage areas. In general, the minimum office area shall be storage areas. In general, the minimum office area shall be
80 m2 and the minimum workshop + storage area shall be 80 m2 and the minimum workshop + storage area shall be
70 m2. Documentary evidence (e.g. purchase/lease 70 m2. Documentary evidence (e.g. purchase/lease
agreement) to prove right of use shall be produced. agreement) to prove right of use shall be produced.
6. Others 6. Others



support. support.

Works Category : 9. Electrical Installation Specialist Contractor

Group II: Contracts/Subcontracts up to HK$11.4M
Group III: Contracts/Subcontracts of unlimited value
The scope of work in this category covers the supply, installation and maintenance of low voltage electrical installation comprising incoming electricity
supply, main and sub-main distribution system, final circuits, power points, lighting points, lighting fittings, electrical appliances, lightning protection, earthing
system, etc. for building and amenity projects.
Probation to Group I: Not Applicable

@
Probation to Group II: Eligible for the award of any number of Group I contracts/subcontracts; and a maximum of two Group II contracts/subcontracts
Probation to Group III: Eligible for the award of any number of Group I and Group II contracts/subcontracts; and a maximum of two Group III
contracts/subcontracts provided that the total value of Group III work does not exceed $40 million
@
Not applicable for new application for admission. (Only applicable for existing Group II probationary contractor)

Group I Group II Group III

A. Entry on Probation A. Entry on Probation A. Entry on Probation
Not Applicable Not Applicable 1. Job Experience
General
(1) The applicant shall have adequate experience in the
type and size of work of the category, as stipulated
under “Job Reference for Inspection” below, with
satisfactory quality of work compatible with
Government standard on and in relation to electrical
installations; and
(2) The applicant shall have adequate experience in

contract management of work of the category, as
stipulated under “Job Reference for Inspection”
below, including solely and fully, responsible for
carrying out contract management and coordination
with building contractor and other building services /
electrical and mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application
form must also be produced to the satisfaction of the
DEVB; otherwise, it will not be considered as a valid
job reference.
Job Reference for Inspection (In addition to the above,
every job submitted by the applicant shall fulfill all
requirements set out below; otherwise, it will not be
considered as a valid job reference)
(4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site
inspection; and
(5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage;
and
(6) These 2 contracts shall be direct contract, which was

signed between the applicant and the employer of the
(7) All statutory forms such as the Work Completion
Certificate (i.e. Form WR1) shall be issued under the
name of the applicant; and

(8) The applicant shall be able to arrange joint site

inspections for the government’s examination of the
quality and workmanship of the submitted job
reference within normal office hours; and
(9) The scope of work for each of these 2 contracts must
fulfill all of the following requirements:
(a) Contract value of the work related to the
category under application for inclusion
exceeds 180% of Group II tender limit (See General
Notes (2))
; and
(b) The main incoming switchgear shall have

rating of not less than 2500A or 1500 kVA; and
(c) The contract shall cover the entire electrical

installation from the main incoming switchgear
to the final circuits, comprising co-ordination
with building contractor and other building
services/ electrical and mechanical contractors;
and
(d) The contract shall be of a completely new
building construction or a whole building
refurbishment; and
(e) At least one of these 2 contracts shall not be
work for residential development or
engineering plant building.
(10) Subcontract will not be considered as valid job
reference unless it can satisfy all of the following
requirements, in addition to all the above stated
requirements:
(a) The subcontract shall include all the relevant
work as described under the “Brief Scope of
Category” covered in the main contract; and
(b) The applicant shall have undertaken the full
scope of work covered in the subcontract,
solely and fully, including contract
management; and


(c) The subcontract shall be signed between the
applicant and the main contractor which is the
company awarded with the direct contract by
the employer of the concerned project; and
(d) The aforementioned main contractor shall not

be the electrical installation contractor for the
project work; and
(e) The applicant must present documentary
evidence to prove the above requirements are
met and such evidence must be substantiated
by the main contractor including a letter, which
authorized signatory to confirm that the
applicant has met the above requirements in the
subcontract; and
(f) Notwithstanding the above, the Managing
Department may seek references on the
applicant’s technical and managerial
relevant parties of the concerned project.
2. Registration with relevant authorities in Hong Kong
Building Authority etc.)
The applicant shall be a Registered Electrical Contractor
registered under Electricity Ordinance, Cap. 406 and have
full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that
described in the Section “Management and Staff
Employment”.
Quality Management System certificates issued under the
rules of the Hong Kong Certification Body Accreditation
Scheme (HKCAS) operated by the Hong Kong
Accreditation Service (HKAS); i.e. bearing the HKCAS
Accreditation Mark, or Quality Management System


certificates bearing the accreditation mark of other
accreditation bodies which are considered as having an
equivalent standard by the DEVB.
The scope of certification shall be relevant to the contractor
list being applied for, e.g. “supply, installation and
maintenance of electrical installation”.
If the scope of certification does not include

“maintenance”, the manual shall have relevant sections for
maintenance work that shall include not only post contract
service but also service for separate maintenance contract.
At least one member of the top management shall have a

minimum experience of 5 years, out of which 3 years shall
be local experience, in managing an electrical or
mechanical engineering services company obtained in the
past eight years. Please refer to General Notes (1), Item II
in this Appendix in respect of continuous capability
building requirement.
3.2 3. Technical Staff (See Annex 1 for definition of Staff
Qualification)
Employ at least 1 no. qualified engineer (Electrical or
Building Services discipline) with adequate and relevant
project management experience. Please refer to General
Notes (1), Item III in this Appendix in respect of continuous
Employ adequate nos. of technicians, site supervisors and
draftsmen with adequate and relevant academic
qualification and working experience. Please refer to
General Notes (1), Item III in this Appendix in respect of
continuous capability building requirement.
Technician 2 nos.
Draftsman 2 nos.


Employ adequate nos. of Qualified Worker in the following
trades/trade divisions:
(A) Electrician

(B) Staff meeting the following statutory registration
requirements:
– Registered Electrical Worker (REW) registered
under Electricity Ordinance, Cap. 406. Grade C0 – 1
no. (minimum)
under Electricity Ordinance, Cap. 406. Grade C2 – 2
nos. (minimum)
under Electricity Ordinance, Cap. 406. Grade A2 – 5
nos. (minimum)
The REW can be the Qualified Engineer, Technical
Support Staff or Qualified Worker.

Adequate modern drafting and computing facilities;
minimum 2 nos. CAD terminals.
Adequate nos. of calibrated testing instruments and
equipment/ tools for carrying out installation, operation,
maintenance and testing/ commissioning services; valid
calibration certificates for testing instruments shall be
available. Refer Annex 9 for list of typical equipment/
tools and testing instruments required.

Local office/ workshop in Hong Kong SAR is required.
Reasonably sized, suitably furnished office and workshop/
storage areas. In general, the minimum office area shall be
100 m2 and the minimum workshop + storage area shall be
25 m2. Documentary evidence (e.g. purchase/ lease
agreement) to prove right of use shall be produced.
6. Others
6.1 Safety

6.2 Integrity


B. Confirmation B. Confirmation B. Confirmation
Not Applicable The following shall only be applicable to existing Group II 1. Experience
probationary contractor:
(1) The applicant has satisfactorily completed, within the
1. Experience past 12 months, at least one relevant contract executed in
HKSAR that satisfies the criteria stipulated in General
(1) The applicant has satisfactorily completed, within the Notes (3) in this Appendix, awarded after inclusion in the
past 12 months, at least one relevant contract executed in category on probation; and
HKSAR that satisfies the criteria stipulated in General
Notes (3) in this Appendix, awarded after inclusion in the (2) This contract shall be direct contract, which was signed
category on probation; and between the applicant and the employer of the concerned
project; and
(2) This contract shall be direct contract, which was signed
between the applicant and the employer of the concerned (3) All statutory forms such as the Work Completion
project; and Certificate (i.e. Form WR1) shall be issued under the
name of the applicant; and
(3) All statutory forms such as the Work Completion
Certificate (i.e. Form WR1) shall be issued under the (4) The scope of work for this contract must fulfill all the
name of the applicant; and following requirements:
(4) The scope of work for this contract must fulfill all the (a) Contract value of the work related to the category
following requirements: under application for confirmation exceeds Group
II tender limit (See General Notes (2)); and
(a) Contract value of the work related to the category
under application for confirmation exceeds Group (b) The main incoming switchgear shall have rating of
I tender limit (See General Notes (2)); and not less than 2500A or 1500 kVA; and
(b) The main incoming switchgear shall have rating of (c) The contract shall cover the entire electrical
not less than 800A; and installation from the main incoming switchgear to
the final circuits, comprising co-ordination with
(c) The contract shall cover the entire electrical building contractor and other building services /
installation from the main incoming switchgear to electrical and mechanical contractors; and
the final circuits, comprising co-ordination with
building contractor and other building services / (d) The contract shall be of a completely new building
electrical and mechanical contractors; and construction or a whole building refurbishment;
and
(d) The contract shall be of a completely new building
construction or a whole building refurbishment; (e) The contract shall not be work for residential
and development or engineering plant building; and
(e) If the contract is a term contract, all of the above (f) If the contract is a term contract, all of the above
requirements 4 (a) to 4 (d) shall be fulfilled in one requirements 4 (a) to 4 (e) shall be fulfilled in one
works order. works order.

(5) Subcontract will not be considered as valid job reference (5) Subcontract will not be considered as valid job reference
unless it can satisfy all of the following requirements, in unless it can satisfy all of the following requirements, in
addition to all the above stated requirements: addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work (a) The subcontract shall include all the relevant work
as described under the “Brief Scope of Category” as described under the “Brief Scope of Category”
covered in the main contract; and covered in the main contract; and
(b) The applicant shall have undertaken the full scope (b) The applicant shall have undertaken the full scope
of work covered in the subcontract, solely and of work covered in the subcontract, solely and
fully, including contract management; and fully, including contract management; and
(c) The subcontract shall be signed between the (c) The subcontract shall be signed between the
applicant and the main contractor which is the applicant and the main contractor which is the
company awarded with the direct contract by the company awarded with the direct contract by the
employer of the concerned project; and employer of the concerned project; and
(d) The aforementioned main contractor shall not be (d) The aforementioned main contractor shall not be
the electrical installation contractor for the project the electrical installation contractor for the project
work. work.
Apart from the above experience requirement, other criteria Apart from the above experience requirement, other criteria
should be the same as that required for “C. Direct Entry”. should be the same as that required for “A. Entry on Probation”.


C. Direct Entry C. Direct Entry C. Direct Entry
1. Experience 1. Experience Not Applicable

General General
(1) The applicant shall have adequate experience in the (1) The applicant shall have adequate experience in the
type and size of work of the category, as stipulated type and size of work of the category, as stipulated
under “Job Reference for Inspection” below, with under “Job Reference for Inspection” below, with
Government standard on and in relation to electrical Government standard on and in relation to electrical
installations; and installations; and
contract management of work of the category, as contract management of work of the category, as
stipulated under “Job Reference for Inspection” stipulated under “Job Reference for Inspection”
carrying out contract management and coordination carrying out contract management and coordination
with building contractor and other building services / with building contractor and other building services /
(3) For job experience outside the HKSAR, evidences as (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application stipulated in the guidance notes of the application
job reference. job reference.
every job submitted by the applicant shall fulfill all every job submitted by the applicant shall fulfill all
requirements set out below; otherwise, it will not be requirements set out below; otherwise, it will not be
considered as a valid job reference) considered as a valid job reference)
(4) The applicant shall submit at least 2 contracts, which (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site were completed within the past 3 years for site
inspection; and inspection; and
(5) At least one of the above 2 contracts shall be (5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage; completed within the past 12 months or at final stage;
and and
(6) These 2 contracts shall be direct contract, which was (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the signed between the applicant and the employer of the
concerned project; and concerned project; and
(7) All statutory forms such as the Work Completion (7) All statutory forms such as the Work Completion
Certificate (i.e. Form WR1) shall be issued under the Certificate (i.e. Form WR1) shall be issued under the
name of the applicant; and name of the applicant; and


(8) The applicant shall be able to arrange joint site (8) The applicant shall be able to arrange joint site
inspections for the government’s examination of the inspections for the government’s examination of the
quality and workmanship of the submitted job quality and workmanship of the submitted job
(9) The scope of work for each of these 2 contracts must (9) The scope of work for each of these 2 contracts must
fulfill all the following requirements: fulfill all the following requirements:
exceeds 50% Group I tender limit (See General Notes exceeds 50% Group II tender limit (See General
(2))
; and Notes (2))
; and
(b) The main incoming switchgear shall have (b) The main incoming switchgear shall have
rating of not less than 400A. rating of not less than 800A; and
(10) Subcontract will not be considered as valid job (c) The contract shall cover the entire electrical
reference unless it can satisfy all of the following installation from the main incoming switchgear
requirements, in addition to all the above stated to the final circuits, comprising co-ordination
requirements: with building contractor and other building
services/ electrical and mechanical contractors;
(a) The subcontract shall include all the relevant and
Category” covered in the main contract; and (d) The contract shall be of a completely new
building construction or a whole building
(b) The applicant shall have undertaken the full refurbishment.
solely and fully, including contract (10) Subcontract will not be considered as valid job
management; and reference unless it can satisfy all of the following
(c) The subcontract shall be signed between the requirements:
applicant and the main contractor which is the
company awarded with the direct contract by (a) The subcontract shall include all the relevant
the employer of the concerned project; and work as described under the “Brief Scope of
Category” covered in the main contract; and
(d) The aforementioned main contractor shall not
be the electrical installation contractor for the (b) The applicant shall have undertaken the full
project work; and scope of work covered in the subcontract,
(e) The applicant must present documentary management; and
met and such evidence must be substantiated (c) The subcontract shall be signed between the
by the main contractor including a letter, which applicant and the main contractor which is the
must be signed by the main contractor’s company awarded with the direct contract by
authorized signatory to confirm that the the employer of the concerned project; and
subcontract; and


(f) Notwithstanding the above, the Managing (d) The aforementioned main contractor shall not
Department may seek references on the be the electrical installation contractor for the
applicant’s technical and managerial project work; and
parties of the concerned project and other (e) The applicant must present documentary
sources or confirmation on the authenticity of evidence to prove the above requirements are
the proof provided by the applicant from the met and such evidence must be substantiated
relevant parties of the concerned project. by the main contractor including a letter, which
authorized signatory to confirm that the
subcontract; and
(f) Notwithstanding the above, the Managing
applicant’s technical and managerial
2. Registration with relevant authorities in Hong Kong 2. Registration with relevant authorities in Hong Kong
(such as Quality Management System Certification, (such as Quality Management System Certification,
Building Authority etc.) Building Authority etc.)
Statutory Registration Statutory Registration

The applicant shall be a Registered Electrical Contractor The applicant shall be a Registered Electrical Contractor
registered under Electricity Ordinance, Cap. 406 and have registered under Electricity Ordinance, Cap. 406 and have
full time technical staff (meeting the relevant statutory full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that registration requirement) of number not less than that
described in the Section “Management and Staff described in the Section “Management and Staff
Employment”. Employment”.


Technician 1 no. Technician 2 nos.

Site supervisor 1 no. Site supervisor 2 nos.
(A) Electrician (A) Electrician

(B) Staff meeting the following statutory registration (B) Staff meeting the following statutory registration
under Electricity Ordinance, Cap. 406. Grade B0 – under Electricity Ordinance, Cap. 406. Grade B0 – 1
1 no. (minimum) no. (minimum)
The REW can be the Technical Support Staff or Qualified under Electricity Ordinance, Cap. 406. Grade B2 – 1
Worker. no. (minimum)
under Electricity Ordinance, Cap. 406. Grade A2 – 2
nos. (minimum)
The REW can be the Technical Support Staff or Qualified
Worker.


equipment/ tools for carrying out installation, operation, equipment/ tools for carrying out installation, operation,
maintenance and testing/ commissioning services; valid maintenance and testing/ commissioning services; valid
available. Refer to Annex 9 for list of typical equipment/ available. Refer to Annex 9 for list of typical
tools and testing instruments required. equipment/ tools and testing instruments required.

10 m2. Documentary evidence (e.g. purchase/ lease 15 m2. Documentary evidence (e.g. purchase/ lease
6. Others 6. Others

Works Category : 10. Electronic Timing and Display Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of electronic scoreboard, electronic timing system, time and temperature
display system, electronic message system etc. at different venues.


under “Job Reference for Inspection” below, with probation; and under “Job Reference for Inspection” below, with
Government standard on and in relation to electronic (2) This contract shall be direct contract, which was signed Government standard on and in relation to electronic
timing and display installations; and between the applicant and the employer of the concerned timing and display installations; and
project; and
job reference. requirements 3 (a) and 3 (b) shall be fulfilled in one job reference.
works order.
completed within the past 12 months or at final stage; of work covered in the subcontract, solely and completed within the past 12 months or at final stage.
and fully, including contract management; and
(6) These 2 contracts shall be direct contract, which was (c) The party by which the applicant is awarded with signed between the applicant and the employer of the
signed between the applicant and the employer of the the subcontract, and the upstream contracting concerned project; and
concerned project; and parties up to and including the main contractor,
which is the company awarded with the direct (7) The applicant shall be able to arrange joint site
(7) The applicant shall be able to arrange joint site contract by the employer of the concerned project, inspections for the government’s examination of the
inspections for the government’s examination of the all shall not be the electronic timing and display quality and workmanship of the submitted job
quality and workmanship of the submitted job Installation contractor for the project work. reference within normal office hours; and


(8) The scope of work for each of these 2 contracts must Apart from the above experience requirement, other criteria (8) The scope of work for each of these 2 contracts must
fulfill all of the following requirements: should be the same as that required for “A. Entry on Probation”. fulfill all of the following requirements:
contracting parties up to and including the contracting parties up to and including the main
main contractor, which is the company contractor, which is the company awarded with
awarded with the direct contract by the the direct contract by the employer of the
employer of the concerned project, all shall not concerned project, all shall not be the
be the electronic timing and display installation electronic timing and display installation
contractor for the project work; and contractor for the project work; and
met and such evidence must be substantiated met and such evidence must be substantiated
by all the relevant upstream contracting parties by all the relevant upstream contracting parties
as mentioned at (c) above including letters as mentioned at (c) above including letters
from them, which must be signed by their from them, which must be signed by their
authorized signatories to confirm that the authorized signatories to confirm that the
applicant has met the above requirements in the applicant has met the above requirements in the
subcontract; and subcontract; and


following trades/trade divisions: following trades/ trade divisions:
Skilled Electronics Equipment Mechanic 20 marks Skilled Electronics Equipment Mechanic 20 marks
Semi-skilled Electronics Equipment 15 marks Semi-skilled Electronics Equipment 15 marks
Mechanic (Construction Work) Mechanic (Construction Work)

3. Plant and Equipment (See General Notes (4)) 3. Plant and Equipment(See General Notes (4))
equipment/ tools for carrying out installation, operation, equipment/ tools for carrying out installation, operation,
available. Refer Annex 10 for list of typical equipment/ available. Refer Annex 10 for list of typical equipment/
tools and testing instruments required. tools and testing instruments required.
storage areas. In general, the minimum office area shall storage areas. In general, the minimum office area shall be
be 40 m2 and the minimum workshop + storage area shall 40 m2 and the minimum workshop + storage area shall be
be 25 m2. Documentary evidence (e.g. purchase/ lease 25 m2. Documentary evidence (e.g. purchase/ lease
5. Others 5. Others

as design, backup on installation / maintenance etc.) of as design, backup on installation/ maintenance etc.) of
support. support.

Managing Department : Water Supplies Department
Works Category : 11. Fabrication of Unfired Pressure Vessels Specialist Contractor
The scope of work in this category covers design, supply, manufacture, inspection & testing, painting and delivery to the site of steel unfired pressure vessels
and associated fittings.

Direct Entry
1. Experience
Possess at least 5 years experience in the fabrication of unfired pressure vessels for large waterworks projects including provision of their internal and external protection. The
contractor must provide supporting documents to show that unfired pressure vessels meeting WSD’s requirements have been manufactured in his previous projects.
Not Applicable

One of the managers and principal technical staff should possess minimum qualification of Higher Certificate in Mechanical / Production Engineering or equivalent with at least 5
years relevant experience. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff

Minimum of 2 qualified technical persons as well as sufficient skillful workers for carrying out the fabrication work. At least one of the qualified technical persons should possess
minimum qualification of Higher Certificate in Mechanical/Production Engineering or equivalent with at least 5 years relevant experience.

Not Applicable
A workshop equipped with sufficient and well maintained machinery, equipment, tools and lifting facilities for fabricating, testing and handling unfired pressure vessels up to 3500mm
in diameter as detailed in the Annex 12. The contractor should allow inspection of all workshop facilities by Government representatives.
Not Applicable
7. Others
7.2 The contractor should provide full details of his previous fabrication work to demonstrate his experience and capability.

Works Category : 12. Fire Service Installation Specialist Contractor

The scope of work in this category covers the supply, installation and maintenance of fire service installations comprising sprinkler system, FH/HR system,
manual and automatic fire alarm system, etc. for building and amenity projects.
Probation to Group I: Not Applicable
Probation to Group II: Eligible for the award of any number of Group I contracts/subcontracts; and a maximum of two Group II contracts/subcontracts
provided that the total value of Group II works does not exceed $16.4 million

Group I Group II
Not applicable 1. Experience

General
quality of work compatible with Government standard on and in relation to fire
service installations; and
category, as stipulated under “Job Reference for Inspection” below, including solely
and fully responsibility for carrying out contract management and coordination with
building contractor and other building services / electrical and mechanical
contractors; and
reference)
(4) The applicant shall submit at least 2 contracts, which were completed within the past
3 years for site inspection; and
(5) At least one of the above 2 contracts shall be completed within the past 12 months or
at final stage; and
(7) All statutory forms such as Form FSI 314, Form FSI 501, Form FSI 251, etc. shall be
issued under the name of the applicant; and
requirements:
inclusion exceeds 180% of Group I tender limit (See General Notes (2)); and

Group I Group II
(b) The contract shall cover major scope of works as described in the “Brief Scope
of Category”; and
(c) The contract shall be of a completely new building construction project or a
whole building refurbishment project.
(d) The aforementioned main contractor shall not be the fire service installation
– a Registered Fire Service Installation Contractor Class 1 & 2 registered under Fire
Service Ordinance, Cap. 95; and
– a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406;
and

Group I Group II

Management System certificates bearing the accreditation mark of other accreditation
bodies which are considered as having an equivalent standard by the DEVB.
The scope of certification shall be relevant to the contractor list being applied for, e.g.
“supply, installation and maintenance of fire service installation”.
If the scope of certification does not include “maintenance”, the manual shall have relevant
sections for maintenance work that shall include not only post contract service but also
service for separate maintenance contract.


Employ at least 1 no. Qualified Engineer (Mechanical, Building Services, Electrical, or Fire
discipline) with adequate and relevant professional and project management experience.
Please refer to General Notes (1), Item III in this Appendix in respect of continuous
Technician 2 nos.
Draftsman 2 nos.

Group I Group II

(A) Plumber/ Fire Service Mechanic
Skilled Plumber/Fire Service Mechanic 20 marks
Semi-skilled Plumber/Fire Service Mechanic 15 marks
(B) Electrician
– Class 3 Registered Fire Service Installation Contractor (RFSIC) registered under Fire
Service Ordinance, Cap. 95 – 1 no. (minimum)
– Registered Electrical Worker (REW) registered Electrical Worker (REW) registered
under Electricity Ordinance, Cap. 406. Grade A2 – 1 no. (minimum)
– Licensed Plumber (LP) registered under Waterworks Ordinance, Cap. 102. –1 no.
(minimum)
The LP, REW and RFSIC can be the Qualified Engineer, Technical Support Staff or
Qualified Worker.
Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out
installation, operation, maintenance and testing/ commissioning services; valid calibration
certificates for testing instruments shall be available. Refer Annex 13 for list of typical
equipment/ tools and testing instruments required.
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably
furnished office and workshop/ storage areas. In general, the minimum office area shall
be 80 m2 and the minimum workshop + storage area shall be 25 m2. Documentary evidence
(e.g. purchase/lease agreement) to prove right of use shall be produced.

Group I Group II
6. Others
6.1 Safety
6.2 Integrity

Group I Group II
contract executed in HKSAR that satisfies the criteria stipulated in General Notes (3),
awarded after inclusion in the category on probation; and
confirmation exceeds Group I tender limit (See General Notes (2)); and
Category”; and
(c) The contract shall be of a completely new building construction or a whole building
refurbishment; and
(d) If the contract is a term contract, all of the above requirements 4 (a) to 4 (c) shall be
contractor for the project work.

Group I Group II
General
quality of work compatible with Government standard on and in relation to fire
service installations; and
and fully responsibility for carrying out contract management and coordination with
contractors; and
reference)
(4) The applicant shall submit at least 2 contracts, which were completed within the past
3 years for site inspection; and
at final stage; and
requirements:
inclusion exceeds 50% Group I tender limit (See General Notes (2)); and

Group I Group II
(b) The contract shall cover major scope of works as described in the “Brief Scope
of Category”; and
– a Registered Fire Service Installation Contractor Class 1 & 2 registered under Fire
Service Ordinance, Cap. 95; and
– a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406;
and

Group I Group II

Technician 2 nos.
Draftsman 1 no.
Employ adequate nos. of Qualified Workers with adequate relevant experience in the
following trades/trade divisions:
(A) Plumber/ Fire Service Mechanic

Skilled Plumber/Fire Service Mechanic 20 marks
Semi-skilled Plumber/Fire Service Mechanic 15 marks
(B) Electrician
– Class 3 Registered Fire Service Installation Contractor (RFSIC) registered under Fire
Service Ordinance, Cap. 95 – 1 no. (minimum)
– Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap.
406. Grade A2 – 1 no. (minimum)
– Licensed Plumber (LP) registered under Waterworks Ordinance, Cap. 102. – 1 no.
(minimum)

Group I Group II
The LP, REW and RFSIC can be the Qualified Engineer, Technical Support Staff or
Qualified Worker.
certificates where applicable for testing instruments shall be available. Refer to Annex 13
for list of typical equipment /tools and testing instruments required.
Local office/workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished
office and workshop/storage areas. In general, the minimum office area shall be 40 m2 and
the minimum workshop + storage area shall be 15 m2. Documentary evidence (e.g.
6. Others
6.1 Safety
6.2 Integrity

Works Category : 13. Fountain Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of equipment, piping and fittings for water treatment of fountain pool such
as water circulation, filtration, pH control, chemical treatment, fountain lighting installation, etc.

Direct Entry
1. Experience
General
(1) The applicant shall have adequate experience in the type and size of work of the category, as stipulated under “Job Reference for Inspection”, with satisfactory quality of work
compatible with Government standard on and in relation to fountain installations; and
(2) The applicant shall have adequate experience in contract management of work of the category, as stipulated under “Job Reference for Inspection”, including solely and fully,
reference)
and
with the direct contract by the employer of the concerned project, all shall not be the fountain installation contractor for the project work; and

Direct Entry

Technician 2 nos.
Draftsman 1 no.

(A) Plumber
Skilled Plumber 20 marks
Semi-skilled Plumber 15 marks
(B) Electrician

(C) Staff meeting the following statutory registered requirements:
– Licensed Plumber (LP) registered under Waterworks Ordinance, Cap. 102 - 1 no. (minimum)
The LP and REW can be the Technical Support Staff or Qualified Worker.

Direct Entry

Adequate modern drafting and computing facilities; minimum 1 no. CAD terminals.
Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out installation, operation, maintenance and testing/ commissioning services; valid calibration certificates
for testing instruments shall be available. Refer Annex 14 for list of typical equipment/ tools and testing instruments required.
6. Others
6.1 Safety

6.2 Integrity

Managing Department : Civil Engineering and Development Department
Works Category : 14. Ground Investigation Field Work Specialist Contractor

The scope of work in this category covers ground investigation field work for Government projects.

Group I Group II
A. Direct Entry A. Direct Entry
1. Experience 1. Experience
Must be able to provide references to ground investigation works (each of value exceeding Must be able to provide references to ground investigation works (each of value exceeding
HK$0.8M) carried out by the applicant for at least 5 projects in Hong Kong in the 3 years HK$0.8M) carried out by the applicant for at least 5 projects in Hong Kong in the 3 years
preceding the application and receive no adverse reports, on enquiry by CEDD. These preceding the application and receive no adverse reports, on enquiry by CEDD. These
performance reports must be prepared by at least 3 different engineering consultants who performance reports must be prepared by at least 3 different engineering consultants who
have supervised the works. have supervised the works.
2. Registration with relevant authorities in Hong Kong (such as Quality Management 2. Registration with relevant authorities in Hong Kong (such as Quality Management
System Certification, Building Authority etc.) System Certification, Building Authority etc.)
Quality Management System certificates issued under the rules of the Hong Kong Quality Management System certificates issued under the rules of the Hong Kong
Certification Body Accreditation Scheme (HKCAS) operated by the Hong Kong Certification Body Accreditation Scheme (HKCAS) operated by the Hong Kong
Accreditation Service (HKAS); i.e. bearing the HKCAS Accreditation Mark, and Quality Accreditation Service (HKAS); i.e. bearing the HKCAS Accreditation Mark, and Quality
Management System certificates bearing the accreditation mark of other accreditation Management System certificates bearing the accreditation mark of other accreditation
bodies which are considered as having an equivalent standard by the DEVB. bodies which are considered as having an equivalent standard by the DEVB.

3.1 Top Management(See General Notes (1), Item II) 3.1 Top Management(See General Notes (1), Item II)
At least one member of the top management shall have a minimum experience of 5 years, At least one member of the top management shall have a minimum experience of 5 years,
out of which 3 years shall be local experience, in managing a construction firm obtained in out of which 3 years shall be local experience, in managing a construction firm obtained in
the past 8 years. Please refer to General Notes (1), Item II in this Appendix in respect of the past 8 years. Please refer to General Notes (1), Item II in this Appendix in respect of
3.2 Technical Staff 3.2 Technical Staff
Must employ sufficient full-time approved personnel (including Safety Officer / Safety Must employ sufficient full-time approved personnel (including Safety Officer / Safety
Supervisor) who satisfy the minimum requirements as given in Annex 15. Site Agent, Supervisor) who satisfy the minimum requirements as given in Annex 15. Site Agent,
Geotechnical Engineer/ Engineering Geologist and Geotechnical Field Technician shall Geotechnical Engineer/ Engineering Geologist and Geotechnical Field Technician shall
comply with the continuous capability building requirement as detailed in General Notes comply with the continuous capability building requirement as detailed in General Notes
(1), Item III in this Appendix. (1), Item III in this Appendix.
Must own at least four rigs in Hong Kong, and all of them shall be capable of drilling at Must own at least ten rigs in Hong Kong capable of drilling at least 40m through soil or
least 40m through soil or rock. rock, and at least two of them shall be capable of drilling vertical or inclined holes up to
150m through soil or rock.
Must own equipment capable of obtaining soil and rock samples, carrying out insitu tests
(including SPT, GCO probing, rising, falling and constant head permeability, packer (water Must own equipment capable of obtaining soil and rock samples, carrying out insitu tests
adsorption), and vane shear) and installing standpipe piezometers (see the minimum (including SPT, GCO probing, rising, falling and constant head permeability, packer (water
requirements on equipment in Annex 16). All equipment should be calibrated and subject adsorption), and vane shear) and installing standpipe piezometers (see the minimum
to periodic recalibration and maintenance. requirements on equipment in Annex 16). All equipment should be calibrated and subject
to periodic recalibration and maintenance.

Group I Group II

All applicants must possess or set up in Hong Kong a place of business. All applicants must possess or set up in Hong Kong a place of business.
6. Training Facilities 6. Training Facilities

Not Applicable Not Applicable
7. Others 7. Others
7.1 Safety: Must have adequate safety and health provisions and measures in accordance 7.1 Safety: Must have a proper safety management system and an adequate Safety Plan in
with the spirit of Chapter 3 of the Construction Site Safety Manual (CSSM) (DEVB). Proper accordance with the requirements of Chapter 3 of the CSSM. Must employ on a full-time
documentation to illustrate this must be available. Must employ at least on a part-time basis basis at least one safety officer registered in accordance with the FIU(SO&SS)R and one
one safety officer registered in accordance with the Factories and Industrial Undertakings safety supervisor, each with a minimum of 3 years of relevant experience. Please also refer
(Safety Officers and Safety Supervisors) Regulation (FIU(SO&SS)R) with a minimum of 3 to General Notes(1), Item IV(ii) in this Appendix.
years of relevant experience. Please also refer to General Notes (1), Item IV(ii) in this
Appendix. 7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix. 7.3 Must have the managerial, professional, technical and other support staff resources to
carry out large Government contracts on ground investigation.
7.3 Must have the managerial, professional, technical and other support staff resources to
carry out Government contracts on ground investigation. 7.4 Must demonstrate competence in carrying out drilling, excavation, sampling, testing,
recording of information, description of soil and rock and reporting to CEDD standards.
7.4 Must demonstrate competence in carrying out drilling, excavation, sampling, testing,
recording of information, description of soil and rock and reporting to CEDD standards. 7.5 Must maintain HOKLAS (Hong Kong Laboratory Accreditation Scheme) accreditation
for selected tests and procedures of ground investigation when the accreditation for these is
7.5 Must maintain HOKLAS (Hong Kong Laboratory Accreditation Scheme) accreditation available from HOKLAS.
for selected tests and procedures of ground investigation when the accreditation for these is
available from HOKLAS.

Works Category : 15. Industrial Type Electrical Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of electrical installations that are of high voltage or in specialized locations,
typical installations include those in airport, highway, subway, tunnel, workshop, sewage treatment plant, pumping station, mechanical handling system etc.,
and in industrial environment.


under “Job Reference for Inspection” below, probation; and under “Job Reference for Inspection” below,
including high voltage installation, with satisfactory including high voltage installation, with satisfactory
quality of work compatible with Government (2) This contract shall be direct contract, which was signed quality of work compatible with Government
standard on and in relation to industrial electrical between the applicant and the employer of the concerned standard on and in relation to industrial electrical
installations; and project; and installations; and
(2) The applicant shall have adequate experience in (3) All statutory forms such as the Work Completion (2) The applicant shall have adequate experience in
contract management of work of the category, as Certificate (i.e. Form WR1) shall be issued under the contract management of work of the category, as
stipulated under “Job Reference for Inspection” name of the applicant; and stipulated under “Job Reference for Inspection”
below, including solely and fully responsibility for below, including solely and fully responsibility for
carrying out contract management and coordination (4) The scope of work for this contract must fulfill all the carrying out contract management and coordination
with building contractor and other building services / following requirements: with building contractor and other building services /
(a) Contract value of the work related to the category
(3) For job experience outside the HKSAR, evidences as under application for confirmation exceeds $0.8M; (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application and stipulated in the guidance notes of the application
DEVB; otherwise, it will not be considered as a valid (b) The contract shall cover the nature of works as DEVB; otherwise, it will not be considered as a valid
job reference. described in the “Brief Scope of Category”; and job reference.
Job Reference for Inspection (In addition to the above, (c) If the contract is a term contract, all of the above Job Reference for Inspection (In addition to the above,
every job submitted by the applicant shall fulfill all requirements 4 (a) and 4 (b) shall be fulfilled in one every job submitted by the applicant shall fulfill all
requirements set out below; otherwise, it will not be works order. requirements set out below; otherwise, it will not be
considered as a valid job reference) considered as a valid job reference)
(5) Subcontract will not be considered as valid job reference
(4) The applicant shall submit at least 2 contracts, which unless it can satisfy all of the following requirements, in (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site addition to all the above stated requirements: were completed within the past 3 years for site
inspection; and inspection; and
(a) The subcontract shall include all the relevant work
(5) At least one of the above 2 contracts shall be as described under the “Brief Scope of Category” (5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage; covered in the main contract; and completed within the past 12 months or at final stage;
and and
(b) The applicant shall have undertaken the full scope
(6) These 2 contracts shall be direct contract, which was of work covered in the subcontract, solely and (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the fully, including contract management; and signed between the applicant and the employer of the
concerned project; and concerned project; and
(c) The party by which the applicant is awarded with
(7) All statutory forms such as the Work Completion the subcontract, and the upstream contracting (7) All statutory forms such as the Work Completion
Certificate (i.e. Form WR1) shall be issued under the parties up to and including the main contractor, Certificate (i.e. Form WR1) shall be issued under the
name of the applicant; and which is the company awarded with the direct name of the applicant; and


contract by the employer of the concerned project,
(8) The applicant shall be able to arrange joint site all shall not be the industrial type electrical (8) The applicant shall be able to arrange joint site
inspections for the government’s examination of the installation contractor for the project work. inspections for the government’s examination of the
reference within normal office hours; and Apart from the above experience requirement, other criteria reference within normal office hours; and
should be the same as that required for “A. Entry on Probation”.
fulfill all of the following requirements: fulfill all of the following requirements:
described in the “Brief Scope of Category”. described in the “Brief Scope of Category” and
at least one of the 2 contracts shall include high
(10) Subcontract will not be considered as valid job voltage electrical installations.
reference unless it can satisfy all of the following
requirements, in addition to all the above stated (10) Subcontract will not be considered as valid job
requirements: reference unless it can satisfy all of the following
(a) The subcontract shall include all the relevant requirements:
Category” covered in the main contract; and (a) The subcontract shall include all the relevant
(b) The applicant shall have undertaken the full Category” covered in the main contract; and
solely and fully, including contract (b) The applicant shall have undertaken the full
management; and scope of work covered in the subcontract,
(c) The party by which the applicant is awarded management; and
with the subcontract, and the upstream
contracting parties up to and including the (c) The party by which the applicant is awarded
main contractor, which is the company with the subcontract, and the upstream
awarded with the direct contract by the contracting parties up to and including the main
employer of the concerned project, all shall not contractor, which is the company awarded with
be the industrial type electrical installation the direct contract by the employer of the
contractor for the project work; and concerned project, all shall not be the industrial
type electrical installation contractor for the
(d) The applicant must present documentary project work; and
met and such evidence must be substantiated (d) The applicant must present documentary
by all the relevant upstream contracting parties evidence to prove the above requirements are
as mentioned at (c) above including letters met and such evidence must be substantiated
from them, which must be signed by their by all the relevant upstream contracting parties
authorized signatories to confirm that the as mentioned at (c) above including letters
applicant has met the above requirements in the from them, which must be signed by their


subcontract; and authorized signatories to confirm that the
(e) Notwithstanding the above, the Managing subcontract; and
applicant’s technical and managerial (e) Notwithstanding the above, the Managing
capabilities from the employer, the relevant Department may seek references on the
parties of the concerned project and other applicant’s technical and managerial
sources or confirmation on the authenticity of capabilities from the employer, the relevant
the proof provided by the applicant from the parties of the concerned project and other
relevant parties of the concerned project. sources or confirmation on the authenticity of


3.1 Top Management (General Notes (1), Item II) 3.1 Top Management (General Notes (1), Item II)

Employ at least 1 no. qualified engineer (Electrical Employ at least 1 no. qualified engineer (Electrical
discipline) with adequate and relevant professional and discipline) with adequate and relevant professional and
project management experience. Please refer to General project management experience. Please refer to General
Notes (1), Item III in this Appendix in respect of continuous Notes (1), Item III in this Appendix in respect of continuous
capability building requirement. capability building requirement.


(A) Electrician (A) Electrician

under Electricity Ordinance, Cap. 406. Grade C2 – 1 under Electricity Ordinance, Cap. 406. Grade C2 – 1
no. (minimum) no. (minimum)
under Electricity Ordinance, Cap. 406. Grade H2 – 1 under Electricity Ordinance, Cap. 406. Grade H2 – 1
no. (minimum) no. (minimum)
under Electricity Ordinance, Cap. 406. Grade A2 – 3 under Electricity Ordinance, Cap. 406. Grade A2 – 3
nos. (minimum) nos. (minimum)
The REW can be the Qualified Engineer, Technical The REW can be the Qualified Engineer, Technical
Support Staff or Qualified Worker. Support Staff or Qualified Worker.
4. Plant and Equipment (See General Notes (4)) 4. Plant and Equipment (See General Notes (4))
minimum 1 no. CAD terminal. Adequate nos. of calibrated minimum 1 no. CAD terminal. Adequate nos. of calibrated
testing instruments and equipment/ tools for carrying out testing instruments and equipment/ tools for carrying out
installation, operation, maintenance and testing/ installation, operation, maintenance and testing/
commissioning services; valid calibration certificates for commissioning services; valid calibration certificates for


testing instruments shall be available. Refer to Annex 17 testing instruments shall be available. Refer to Annex 17
for list of typical equipment/ tools and testing instruments for list of typical equipment/ tools and testing instruments
required. required.
40 m2. Documentary evidence (e.g. purchase/ lease 40 m2. Documentary evidence (e.g. purchase/ lease
6. Others 6. Others

support. support.

Works Category : 16. Land Piling Specialist Contractor
Group I: Contracts/Subcontracts up to HK$ 5.5 M

The scope of work in this category covers design, supply and installation of registered piling systems on land.

Group I Group II
(a) At least 3 small to medium size local projects (below $4.9M each) for each system. (a) At least 3 medium/large size local projects (over $4.9M each) for each system.
(b) The projects must be completed within the past 5 years. (b) The projects must be completed within the past 5 years.
(c) Experience as main contractor. (c) Experience as main contractor.
The applicant shall be a Registered Specialist Contractor in the Foundation Sub-register The applicant shall be a Registered Specialist Contractor in the Foundation Sub-register
under Buildings Ordinance, Cap. 123. under Buildings Ordinance, Cap. 123.
Accreditation Service (HKAS); i.e. bearing the HKCAS Accreditation Mark, and Quality
The scope of certification shall be relevant to the piling system under application.
At least one member of the resident top management shall have a minimum of three years At least one member of the resident top management shall have a minimum of five years
local experience in managing a construction firm obtained in the past five years. Please also local experience in managing a construction firm obtained in the past eight years. Please
refer to General Notes (1), Item II in this Appendix in respect of continuous capability also refer to General Notes (1), Item II in this Appendix in respect of continuous capability
At least one person with the following qualifications: At least two persons with a relevant degree from a Hong Kong university or equivalent with
at least five years post-graduate local experience in piling works. Please also refer to
(a) Higher Certificate in Structural/Civil Engineering from a Hong Kong polytechnic, a General Notes (1), Item III in this Appendix in respect of continuous capability building
Hong Kong recognized training institution or equivalent and two years local working requirement.
experience in piling works; or
(b) Ordinary Certificate in Structural/Civil Engineering from a Hong Kong polytechnic,
a Hong Kong recognized training institution or equivalent and three years local
working experience in piling works.
Please also refer to General Notes (1), Item III in this Appendix in respect of continuous

Group I Group II
Appropriate equipment for each system. (At least one set for each system). Appropriate equipment for each system. (At least one set for each system).
Local office required. Yard facilities available. Local office required. Yard facilities available.
7. Others 7. Others
7.3 Piling system to be registered 7.3 Piling system to be registered
(a) Method statement. (a) Method statement.
(b) Typical calculations. (b) Typical calculations.
(c) Acceptable references. (c) Acceptable references.
(d) Satisfactory demonstration on site. (d) Satisfactory demonstration on site.
B. Entry by Promotion
When the contractor has completed at least 3 numbers relevant medium/large size local
projects of value above $4.9M each with good references. Other requirements same as that
required for “Direct Entry”.

Managing Department : Lands Department
Works Category : 17. Land, Engineering and Hydrographic Survey Services Specialist Contractor
The scope of work in this category covers the provision of services related to land, engineering and hydrographic survey services and the collection, modelling,
integration and analysis of geospatial data.

Direct Entry
1. Experience
No requirement.
Past experience on government projects is used as reference in tender evaluation and selection, but not as entry requirement.
No requirement.
ISO 9001 Certification, will be used as reference in tender evaluation and selection.
3.1 Top Management(See General Notes (1), Item II)

At least one senior member of the firm’s full time staff should be a professional member of the HKIS (Land Surveying Division) or approved equivalent, with minimum 2 years’ post
qualification local experience. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff

A minimum of two full time survey technicians should possess ordinary certificate or higher qualification in land or engineering surveying or approved equivalent with minimum one
year’s local experience in land, engineering and hydrographic surveying or geospatial data services. Please refer to General Notes (1), Item III in this Appendix in respect of continuous

The firm should possess some basic equipment such as theodolite, total station, level, EDM, computer aid drafting system, geospatial data processing software and transport facilities.
Special equipment such as echo sounder, laser level, laser scanner, satellite positioning system etc. will be an asset in bidding tender for special survey services.
Not Applicable
Not Applicable
7. Others
7.1 Safety: Please refer to General Notes (1), Item IV(ii) in this Appendix.

Works Category : 18. Landscaping Specialist Contractor

Class I: General Landscape Work
Group I: Contracts/Subcontracts of value up to HK$3.8M

Brief Scope of Category/Class:
General Landscape Works includes all three types of:

(a) landscape softworks (except hydroseeding) such as soiling, minor earthworks, turfing, sprigging, seeding and the supply, transplanting or planting of all
types of plant material (including ground covers, tress, palms, shrubs, herbaceous, etc.) and subsequent establishment works;
(b) horticultural and arboricultural maintenance works to vegetation, such as regular inspections of the vegetation and applications of routine maintenance
operations to keep the vegetation in healthy growth; identification of plant disorders and application of appropriate treatments after diagnosis such as soil
water and nutrient management, pest and disease control, thinning and pruning; installation and maintenance of tree support and protection systems such
as cabling, bracing, propping and lightning protection; and tree risk assessment and management; and
(c) landscape hardworks such as tree guards, tree grilles, tree rings, paving, planters, dwarf walls, steps, fencing, outdoor furniture, pergolas and pavilions.
Definition of Probationary Status
Probation to Group I: Eligible for the award of one contract/subcontract at any one time of value up to $3.8 million
Probation to Group II: Eligible for the award of any number of Group I contracts/subcontracts, plus one contract/subcontract of value exceeding $3.8 million

Group I Group II
A. Entry On Probation A. Entry On Probation
Completed satisfactorily at least three relevant contracts/subcontracts of total value of the Completed satisfactorily at least three relevant contracts/1 st tier subcontracts of total value
landscape softworks exceeding $6.4M within the past 5 years. Job experience in all three of the General Landscape Works exceeding $9.7M within the past 5 years, including at least
types of the General Landscape Works within the past five years. two contracts/1st tier subcontracts of total value of landscape softworks exceeding $4.9M.
Job experience in all three types of the General Landscape Works within the past five years.
Not Applicable At least one top management staff with more than five years of relevant working experience
gained in Hong Kong, who can be the same person as the horticulturist or the tree specialist.
3.2 Technical Staff Please refer to General Notes (1), Item II in this Appendix in respect of continuous
See Annex 35. Please refer to General Notes (1), Item III in this Appendix in respect of
continuous capability building requirement. 3.2 Technical Staff
See Annex 35. Please refer to General Notes (1), Item III in this Appendix in respect of
See Annex 35. See Annex 35.
Local office of reasonable amount of space and a local holding nursery in Hong Kong of Local office of reasonable amount of space and a local holding nursery in Hong Kong of
not less than 7,500m2 required. not less than 7,500m2 required.
Have training scheme to internal staff to improve arboricultural, horticultural and workplace Have training scheme to internal staff to improve arboricultural, horticultural and workplace
health and safety practice. health and safety practice.

Group I Group II
7. Others 7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in this Appendix. 7.1 Safety: Please refer to General Notes (1), Item IV in this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix. 7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix.
7.3 Special arboricultural skills such as maintenance, protection and transplanting of mature 7.3 Special arboricultural skills such as maintenance, protection and transplanting of mature
trees, and other horticultural skills such as laying and maintenance of turfs for sports ground. trees, and other horticultural skills such as laying and maintenance of turfs for sports ground.
Completed satisfactorily at least two relevant contracts/ 1st tier relevant subcontracts of total Completed satisfactorily at least two relevant contracts/ 1st tier relevant subcontracts of
value of the General Landscape Works exceeding $3.2M within the past 5 years, after inclusion individual value of the General Landscape Works exceeding $3.2M within the past 5 years,
in Group I on probation, including one relevant contract / 1st tier relevant subcontract of value after inclusion in Group II on probation, including one relevant contract / 1st tier relevant
of landscape softworks exceeding $0.8M. Experience in all three types of the General subcontract of value of landscape softworks exceeding $3.2M. Experience in all three types of
Landscape Works within the past five years. Other requirements same as that required for the General Landscape Works within the past five years. Other requirements same as that
“Entry on Probation”. required for “Entry on Probation”.
D. Entry by Promotion
Same as that required for “Entry on Probation”.

Works Category : 18. Landscaping Specialist Contractor

Class II: Hydroseeding

Hydroseeding is the application by high-pressure spraying of specified mixture of grass seeds, fertilizer, mulch and other additives in aqueous solution,
including the supply of all materials and equipment necessary for the application and subsequent establishment of grass cover by the method described.
Probation to Group I: Eligible for the award of one contract at any one time of value up to $3.8 million
Probation to Group II: Eligible for the award of any number of Group I contracts, plus one contract of value exceeding $3.8 million

Group I Group II
A. Entry On Probation A. Entry On Probation
Completed at least three relevant contracts/subcontracts of total value exceeding $6.4M Completed at least three relevant contracts/subcontracts of total value exceeding $9.7M
within the past 5 years. within the past 5 years.

Min. 1 No. trained operator with 3 years relevant HK working experience. Please refer to Min. 2 Nos. trained operator with 3 years relevant HK working experience. Please refer to
General Notes (1), Item III in this Appendix in respect of continuous capability building General Notes (1), Item III in this Appendix in respect of continuous capability building
requirement. requirement.
All necessary equipment to carry out the required work. All necessary equipment to carry out the required work.
Local office in Hong Kong is required. Local office in Hong Kong is required.
Have training scheme to internal staff to improve hydroseeding and safety practice. Have training scheme to internal staff to improve hydroseeding and safety practice.
8. Others 7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in this Appendix. 7.1 Safety: Please refer to General Notes (1), Item IV in this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix. 7.2 Integrity: Please refer to General Notes (1), Item V in this Appendix.

Group I Group II
Completed satisfactorily at least two relevant contracts/subcontracts within the past 5 years, Completed satisfactorily at least two relevant contracts/subcontracts within the past 5 years,
after inclusion in Group I on probation, of total value exceeding $3.2M. Other requirements after inclusion in Group II on probation, of individual value exceeding $3.2M. Other
same as that required for “Entry on Probation”. requirements same as that required for “Entry on Probation”.
D. Entry by Promotion
Same as that required for “Entry on Probation”

Works Category : 19. Landslip Preventive/Remedial Works to Slopes/Retaining Walls Specialist Contractor
The scope of work in this category covers landslip preventive works, remedial works or formation works of slopes and/or retaining walls in areas immediately
behind occupied structures, adjacent to railway lines or major trunk roads
Definition of Probationary Status:
Contractors included in the Specialist List for “Landslip Preventive/Remedial works to Slopes/Retaining Walls (LPM)” but have not yet achieved confirmation
status. A probationary contractor may take on not more than 2 government contracts tendered under the LPM category with total outstanding value of works
of not greater than $184M.

A. Entry on Probation B. Confirmation

See sections 2.1, 2.2, 2.3 and 2.4 of Annex 18 Satisfactorily completed, as main contractor or 1st tier sub-contractor (See Notes 1 under section 2.1
of Annex 18 to Appendix 3C)
, at least one Government Landslip Preventive Measures contract or its
1st tier sub-contract awarded after gaining the probationary status, containing multiple sites
and of value not less than $65M.
Contractors who wish to apply for inclusion should have obtained: (i) Maintain the relevant Quality Management System Certification.
(i) The relevant Quality Management System Certification or if they do not have (ii) Maintain the Registration on the buildings Department’s list of Registered Specialist
suitable works contracts in hand for certification auditing, a confirmation from a Contractor for Site Formation Works.
certification body accredited by the HKAS to issue the Certification or considered
to be equivalent by the DEVB that a full review of the Quality Manual of their Hong
Kong office has been carried out in Hong Kong by the certification body and such
Quality Manual has been confirmed by the certification body as being in conformity
with the requirements of the relevant standard.
(ii) Registration on the Buildings Department’s list of Registered Specialist Contractor

for Site Formation Works.
See section 2.5.1 of Annex 18. See also General Notes (1), Item II in this Appendix in Employ/retain appropriate management staff. See also General Notes (1), Item II in this
respect of continuous capability building requirement. Appendix in respect of continuous capability building requirement.
3.2 Professional Staff 3.2 Professional Staff

See section 2.5.2 of Annex 18. See also General Notes (1), Item III in this Appendix in Employ/retain appropriate professional staff. See also General Notes (1), Item III in this

See section 2.5.3 of Annex 18. See also General Notes (1), Item III in this Appendix in Employ/retain appropriate technical staff. See also General Notes (1), Item III in this
3.4 Safety Staff 3.4 Safety Staff

See section 2.5.4 of Annex 18. Employ/retain appropriate safety staff.

A. Entry on Probation B. Confirmation

See section 2.6 of Annex 18 Possess appropriate plant and equipment
All applicants must possess or set up in Hong Kong a place of business. Not Applicable
7. Others 7. Others
(i) Performance on Government contracts/sub-contracts (See Notes 1 and 2 under section 2.1 of Annex (i) Safety: Please refer to General Notes (1), Item IV(ii) in this Appendix.
18 to Appendix 3C)
under the R&D and SF categories and in landslip preventive works in
the past 3 years – see sections 2.1, 2.2, 2.3 and 2.4 of Annex 18. (ii) Integrity: Please refer to General Notes (1), Item V in this Appendix.
(ii) Safety: Please refer to General Notes (1), Item IV(ii) in this Appendix. (iii) In all other ways being considered suitable for confirmation.
(iii) Integrity: Please refer to General Notes (1), Item V in this Appendix.

Works Category : 20. Lift, Escalator and Passenger Conveyor Installation Specialist Contractor
The scope of work in this category covers the following:
(i) Supply and installation of passenger lifts, bed/ passenger lifts, service lifts, goods lifts, freight lifts, stairlifts, escalators and passenger conveyor
installations, lifting platform for barrier free access, and associated motor power drives, motor control centres, central and remote control systems,
CCTV inside lifts, etc.
(ii) Maintenance of passenger lifts, bed/ passenger lifts, service lifts, goods lifts, freight lifts, stairlifts, escalators and passenger conveyor installations,
lifting platform for barrier free access, and associated motor power drives, motor control centres, central and remote control systems, CCTV inside
lifts, etc.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to lift, escalator and passenger conveyor installations; and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes of the application form must also be produced to the satisfaction of the DEVB; otherwise, it will not
be considered as a valid job reference.
Job Reference for Inspection (In addition to the above, every job submitted by the applicant shall fulfill all requirements set out below; otherwise, it will not be considered as a valid job reference)
(7) All statutory submissions to EMSD and Buildings Authority shall be issued under the name of the applicant; and
and
(b) The contract shall cover major scope of works as described in the “Brief Scope of Category” item (i) and (ii). Subject to the scope of work of the contracts submitted, restriction for
inclusion into the category may be applied to limit the contractor to carry out only maintenance works with scope of work under “Brief Scope of Category” item (i); and
(c) For submitted contract with scope of work under “Brief Scope of Category” item (ii), the contract shall be of a completely new building construction project or a whole building
refurbishment project with full replacement of the individual relevant installations under this category.
(a) The subcontract shall include all the relevant work as described under the “Brief Scope of Category” item (i) or (ii) covered in the main contract; and
(c) The subcontract shall be signed between the applicant and the main contractor which is the company awarded with the direct contract by the employer of the concerned project; and
(d) The aforementioned main contractor shall not be the lift, escalator and passenger conveyor installation or maintenance contractor for the project work; and

Direct Entry
(e) The applicant must present documentary evidence to prove the above requirements are met and such evidence must be substantiated by the main contractor including a letter, which
must be signed by the main contractor’s authorized signatory to confirm that the applicant has met the above requirements in the subcontract; and
(f) Notwithstanding the above, the Managing Department may seek references on the applicant’s technical and managerial capabilities from the employer, the relevant parties of the
- a Registered Lift and/or Escalator Contractor registered under Lifts and Escalators Ordinance, Cap. 618; and
- a Registered Electrical Contractor registered under Electricity Ordinance, Cap. 406; and
have full time technical staff (meeting the relevant statutory registration requirement) of number not less than that described in the Section “Management and Staff Employment”.
Quality Management System certificates issued under the rules of the Hong Kong Certification Body Accreditation Scheme (HKCAS) operated by the Hong Kong Accreditation Service
(HKAS); i.e. bearing the HKCAS Accreditation Mark, or Quality Management System certificates bearing the accreditation mark of other accreditation bodies which are considered as
having an equivalent standard by the DEVB.
The scope of certification shall be relevant to the contractor list being applied for, e.g. “Supply, installation and maintenance of lift and escalator installation” or “Maintenance of lift and
escalator installation”.


3.2.1 Registered Lift Engineer (RLE)
At least 2 nos. registered under Lifts and Escalators Ordinance, Cap. 618. Please refer to General Notes (1), Item III in this Appendix in respect of continuous capability building requirement.
3.2.2 Registered Escalator Engineer (REE)

At least 2 nos. registered under Lifts and Escalators Ordinance, Cap. 618. Please refer to General Notes (1), Item III in this Appendix in respect of continuous capability building requirement.
The RLE and REE can be the same person

Direct Entry

Employ adequate nos. of site supervisors and draftsmen with adequate and relevant academic qualification and working experience. Please refer to General Notes (1), Item III in this
Appendix in respect of continuous capability building requirement.
Draftsman 1 no.
(A) Lift and Escalator/Mechanic
Skilled Lift and Escalator/Mechanic 20 marks
- Registered Lift /Escalator Engineer (RLEE) registered under Lifts and Escalators Ordinance, Cap. 618 – 2 nos. (minimum)
- Registered Lift/Escalator Worker (RLEW) registered under Lifts and Escalators Ordinance, Cap. 618 – 10 nos. (minimum)
- Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade B2 – 1 no. (minimum)
The RLEE, RLEW and REW can be the Technical Support Staff or Qualified Worker.

for testing instruments shall be available. Refer Annex 19 for list of typical equipment/tools and testing instruments required.
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished office and workshop/ storage areas. In general, the minimum office area shall be 100 m2 and
the minimum workshop + storage area shall be 25 m2. Documentary evidence (e.g. purchase/ lease agreement) to prove right of use shall be produced.
Depot
At least two, preferably more and distributed over Hong Kong SAR.
6. Others
6.1 Safety:

Direct Entry
6.2 Integrity:
Be an authorized agent/distributor in HKSAR for the lifts, escalators, and passenger conveyors. Documentary evidence such as authorized agency/distributorship agreements shall be
available for checking. Contractor with restriction on scope of work under “Brief Scope of Category” item (i) only is exempted from this requirement.
6.4 Type test certificates for escalators
Required for steps, pallets, belts and handrails (handrail breaking strength).
6.5 Type test certificates for lifts
Required for landing door locking devices, landing doors, overspeed governors, safety gears, energy dissipation and/ or energy accumulation type buffers with/ without buffered return
movement, ascending car overspeed protection means, rupture valve/ one way restrictor, and safety circuits containing electronic components.
6.6 Permit to use and operate a new lift or escalator
At least two installations for each model issued by Electrical & Mechanical Services Department. Applicant to submit a list of the models for use in Government projects. Only those
models submitted and approved can be used in Government projects. New models to be offered after admission must be submitted for assessment and prior approval must be
obtained before new models can be offered for use in Government projects.
6.7 Harmonic distortion
Comply with relevant standards; details of harmonic current distortion for each model to be submitted.
6.8 Support from Manufacturer
Sound technical support required, including provision of training (record to be submitted), spare parts and relevant type approval certificates obtained from Electrical and Mechanical
Services Department, etc.
6.9 Maintenance facilities
24-hour emergency service for fault attendance must be available. The 24-hour emergency service for fault attendance shall be effective, e.g. the fault call can be acknowledged immediately
and maintenance personnel can arrive at the fault location within 1 hour for normal call (e.g. no trapping of passenger) and 30 minutes for urgent call (e.g. trapping of passenger). Applicant
to provide evidence that such maintenance facilities are established in strategic locations in Hong Kong SAR with suitable communication network to meet the above requirements.

Works Category : 21. Liquefied Petroleum Gas Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of fixed and piped liquefied petroleum gas (LPG) installations including
bulk LPG storage vessels, LPG cylinders, vaporizers, piping and fittings, valves and accessories, LPG appliances, etc.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to liquefied petroleum gas installations; and
(7) All statutory submissions to Gas Authority shall be issued under the name of the applicant; and
and
(b) The contract shall cover a complete liquefied petroleum gas installation at least with cylinders supply; and
(c) The contract shall be for new building project or new liquefied petroleum gas installation in an existing building. Partial renovation or fitting-out works for an existing installation
are not acceptable.
(c) The party by which the applicant is awarded with the subcontract, and the upstream contracting parties up to and including the main contractor, which is the company awarded with
the direct contract by the employer of the concerned project, all shall not be the liquefied petroleum gas installation contractor for the project work; and
(d) The applicant must present documentary evidence to prove the above requirements are met and such evidence must be substantiated by all the relevant upstream contracting parties
as mentioned at (c) above including letters from them, which must be signed by their authorized signatories to confirm that the applicant has met the above requirements in the
subcontract; and

Direct Entry
The applicant shall be a Registered Gas Contractor registered under Gas Safety Ordinance, Cap. 51 and have full time technical staff (meeting the relevant statutory registration requirement)
of number not less than that described in the Section “Management and Staff Employment”.

Technician 1 no.
Draftsman 1 no.
(A) Mechanical Fitter

- Registered Gas Installer (RGI) registered under Gas Safety Ordinance, Cap. 51 – 2 nos. (minimum) (These RGIs shall hold licences covering gas installation work Class 1 to 7
collectively)
The RGI can be the Technical Support Staff or Qualified Worker.

Direct Entry

for testing instruments shall be available. Refer Annex 20 for list of typical equipment/ tools and testing instruments required.
6. Others
6.1 Safety
6.2 Integrity

Works Category : 22. Low Voltage Cubicle Switchboard Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of low voltage cubicle switchboard comprising main incoming switchgear,
busbars and droppers/risers, outgoing switchgears, instruments and protection devices, etc. all in a type tested assembly.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to low voltage cubicle switchboard installations; and
(7) All statutory forms such as the Work Completion Certificate (i.e. Form WR1) shall be issued under the name of the applicant; and
and
(b) The rating of the main incoming switchgear is not less than 2500A or with power rating not less than 1500kVA; and
(c) The contract shall cover major scope of works as described in the “Brief Scope of Category”.
(c) The party by which the applicant is awarded with the subcontract, and the upstream contracting parties up to and including the main contractor, which is the company awarded with
the direct contract by the employer of the concerned project, all shall not be the low voltage cubicle switchboard installation contractor for the project work; and
(d) The applicant must present documentary evidence to prove the above requirements are met and such evidence must be substantiated by all the relevant upstream contracting parties
as mentioned at (c) above including letters from them, which must be signed by their authorized signatories to confirm that the applicant has met the above requirements in the
subcontract; and

Direct Entry

Employ adequate nos. of technicians, site supervisors and draftsmen with adequate and relevant academic qualification and working experience. Please refer to General Notes (1), Item
III in this Appendix in respect of continuous capability building requirement.
Technician 1 no.
Draftsman 1 no.
3.2.2 Skilled Worker
(A) Electrician/ Mechanical Fitter

Skilled Electrician/Mechanical Fitter 20 marks
Semi-skilled Electrician/Mechanical Fitter 15 marks
﹣ Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade C2 – 1 no. (minimum)
﹣ Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade B2 – 2 nos. (minimum)
The REW can be the Technical Support Staff or Qualified Worker.

Direct Entry

Adequate modern drafting and computing facilities; minimum 1 no. CAD terminal. Adequate nos. of calibrated testing instruments and equipment/ tools for carrying out installation,
operation, maintenance and testing/ commissioning services; valid calibration certificates for testing instruments shall be available. Refer Annex 21 for list of typical equipment/tools
and testing instruments required.
6. Others
6.1 Safety
6.2 Integrity

6.3 Design
IEC 61439
Applicant to prove that switchboard is designed to the relevant IEC or equivalent standard; A motor control centre alone shall not be acceptable.
6.4 Type test certificates for switchboard as required by IEC 61439-1
 temperature-rise limit test
 dielectric properties test
 short-circuit withstand strength test
 effectiveness of protective circuit test
 clearances & creepage distance test
 mechanical operation test
 degree of protection test
Tests shall be on a whole switchboard and NOT simply on the busbar system; and the above type tests shall be certified by an internationally recognized testing organization, e.g. ASTA.
6.5 Air circuit breakers

Applicant to provide proof of compliance of relevant standards IEC 60947-2.
6.6 Switchfuse/ fuseswitch
Applicant to provide proof of compliance of relevant standards IEC 60947-3.

Direct Entry
6.7 H.R.C. fuses

Applicant to provide proof of compliance of relevant standards IEC 60269 or BS 88.
6.8 Busbars
Applicant to provide proof of compliance of relevant standards e.g. BS EN 13601.
6.9 Permit to use in Government projects
Only those configurations with type tests certificates and materials with poof of compliance with the above standards can be offered for Government projects.
Agreement between principals and applicant, including agreements proving applicant’s rights to manufacture, etc. shall be provided.

Works Category : 23. Mechanical Handling and Lifting Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of mechanical handling and lifting installation including crane, hoist,
gondola system, conveyor system, mechanical storage system, movable boarding facility etc.


(1) The applicant shall have adequate experience in the type HKSAR that satisfies the criteria stipulated in General (1) The applicant shall have adequate experience in the type
and size of work of the category, as stipulated under “Job Notes (3), awarded after inclusion in the category on and size of work of the category, as stipulated under “Job
Reference for Inspection” below, with satisfactory probation; and Reference for Inspection” below, with satisfactory
quality of work compatible with Government standard on quality of work compatible with Government standard on
and in relation to mechanical handling and lifting (2) This contract shall be direct contract, which was signed and in relation to mechanical handling and lifting
installations; and between the applicant and the employer of the concerned installations; and
project; and
(2) The applicant shall have adequate experience in contract (2) The applicant shall have adequate experience in contract
management of work of the category, as stipulated under (3) All statutory forms such as the Work Completion (Part of management of work of the category, as stipulated under
“Job Reference for Inspection” below, including solely an Installation) Certificate (i.e. Form WR1 (A)) shall be “Job Reference for Inspection” below, including solely
and fully responsibility for carrying out contract issued under the name of the applicant; and and fully responsibility for carrying out contract
management and coordination with building contractor management and coordination with building contractor
and other building services / electrical and mechanical (4) The scope of work for this contract must fulfill all the and other building services / electrical and mechanical
contractors; and following requirements: contractors; and
(3) For job experience outside the HKSAR, evidences as (a) Contract value of the work related to the category (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application form under application for confirmation exceeds $0.8M; stipulated in the guidance notes of the application form
must also be produced to the satisfaction of the DEVB; and must also be produced to the satisfaction of the DEVB;
otherwise, it will not be considered as a valid job otherwise, it will not be considered as a valid job
reference. (b) The contract shall cover the nature of works as reference.
described in the “Brief Scope of Category”; and
Job Reference for Inspection (In addition to the above, every Job Reference for Inspection (In addition to the above, every
job submitted by the applicant shall fulfill all requirements set (c) If the contract is a term contract, all of the above job submitted by the applicant shall fulfill all requirements set
out below; otherwise, it will not be considered as a valid job requirements 4 (a) and 4 (b) shall be fulfilled in one out below; otherwise, it will not be considered as a valid job
reference) works order. reference)
(4) The applicant shall submit at least 2 contracts, which (5) Subcontract will not be considered as valid job reference (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site unless it can satisfy all of the following requirements, in were completed within the past 3 years for site
inspection; and addition to all the above stated requirements: inspection; and
(5) At least one of the above 2 contracts shall be completed (a) The subcontract shall include all the relevant work (5) At least one of the above 2 contracts shall be completed
within the past 12 months or at final stage; and as described under the “Brief Scope of Category” within the past 12 months or at final stage; and
covered in the main contract; and
(6) These 2 contracts shall be direct contract, which was (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the (b) The applicant shall have undertaken the full scope signed between the applicant and the employer of the
concerned project; and of work covered in the subcontract, solely and concerned project; and
fully, including contract management; and
(7) All statutory forms such as the Work Completion (Part of (7) All statutory forms such as the Work Completion (Part of
an Installation) Certificate (i.e. Form WR1 (A)) shall be (c) The party by which the applicant is awarded with an Installation) Certificate (i.e. Form WR1 (A)) shall be
issued under the name of the applicant; and the subcontract, and the upstream contracting issued under the name of the applicant; and
parties up to and including the main contractor,


(8) The applicant shall be able to arrange joint site all shall not be the mechanical handling and lifting (8) The applicant shall be able to arrange joint site
quality and workmanship of the submitted job reference quality and workmanship of the submitted job reference
within normal office hours; and within normal office hours; and
Apart from the above experience requirement, other criteria
(9) The scope of work for each of these 2 contracts must should be the same as that required for “A. Entry on Probation”. (9) The scope of work for each of these 2 contracts must
(a) Contract value of the work related to the category (a) Contract value of the work related to the category
under application for inclusion exceeds $0.8M; and under application for inclusion exceeds $1.6M; and
(10) Subcontract will not be considered as valid job reference (10) Subcontract will not be considered as valid job reference
unless it can satisfy all of the following requirements, in unless it can satisfy all of the following requirements, in
addition to all the above stated requirements: addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work (a) The subcontract shall include all the relevant work
as described under the “Brief Scope of Category” as described under the “Brief Scope of Category”
covered in the main contract; and covered in the main contract; and
(b) The applicant shall have undertaken the full scope (b) The applicant shall have undertaken the full scope
of work covered in the subcontract, solely and of work covered in the subcontract, solely and
fully, including contract management; and fully, including contract management; and
(c) The party by which the applicant is awarded with (c) The party by which the applicant is awarded with
the subcontract, and the upstream contracting the subcontract, and the upstream contracting
parties up to and including the main contractor, parties up to and including the main contractor,
which is the company awarded with the direct which is the company awarded with the direct
contract by the employer of the concerned project, contract by the employer of the concerned project,
all shall not be the mechanical handling and lifting all shall not be the mechanical handling and lifting
installation contractor for the project work; and installation contractor for the project work; and
(d) The applicant must present documentary evidence (d) The applicant must present documentary evidence
to prove the above requirements are met and such to prove the above requirements are met and such
evidence must be substantiated by all the relevant evidence must be substantiated by all the relevant
upstream contracting parties as mentioned at (c) upstream contracting parties as mentioned at (c)
above including letters from them, which must be above including letters from them, which must be
signed by their authorized signatories to confirm signed by their authorized signatories to confirm
that the applicant has met the above requirements that the applicant has met the above requirements
in the subcontract; and in the subcontract; and


Department may seek references on the applicant’s Department may seek references on the applicant’s
technical and managerial capabilities from the technical and managerial capabilities from the
employer, the relevant parties of the concerned employer, the relevant parties of the concerned
project and other sources or confirmation on the project and other sources or confirmation on the
authenticity of the proof provided by the applicant authenticity of the proof provided by the applicant
from the relevant parties of the concerned project. from the relevant parties of the concerned project.
registered under Electricity Ordinance, Cap. 406 and have registered under Electricity Ordinance, Cap. 406 and
full time technical staff (meeting the relevant statutory have full time technical staff (meeting the relevant
registration requirement) of number not less than that statutory registration requirement) of number not less
described in the Section “Management and Staff than that described in the Section “Management and Staff
minimum experience of 5 years, out of which 3 years shall minimum experience of 5 years, out of which 3 years
be local experience, in managing an electrical or shall be local experience, in managing an electrical or
mechanical engineering services company obtained in the mechanical engineering services company obtained in
past eight years. Please refer to General Notes (1), Item II the past eight years. Please refer to General Notes (1),
in this Appendix in respect of continuous capability Item II in this Appendix in respect of continuous
building requirement. capability building requirement.
Employ at least 1 no. qualified engineer (Mechanical Employ at least 1 no. qualified engineer (Mechanical
discipline) with adequate and relevant project management discipline) with adequate and relevant project
experience. Please refer to General Notes (1), Item III in management experience. Please refer to General Notes
this Appendix in respect of continuous capability building (1), Item III in this Appendix in respect of continuous
requirement. capability building requirement.


following trades/ trade divisions: following trades/trade divisions:

(C) Welder (C) Welder
Qualified Welder (QW) 1 no. Qualified Welder (QW) 1 no.
(D) Staff meeting the following statutory registration (D) Staff meeting the following statutory registration
- Registered Electrical Worker (REW) registered under - Registered Electrical Worker (REW) registered under
Electricity Ordinance, Cap. 406. Grade A0 – 1 no. Electricity Ordinance, Cap. 406. Grade A0 – 1 no.
(minimum) (minimum)
The REW and QW can be the Qualified Engineer, The REW and QW can be the Qualified Engineer,
Technical Support Staff or Qualified Worker. Technical Support Staff or Qualified Worker.

equipment/tools for carrying out installation, operation, equipment/ tools for carrying out installation, operation,
available. Refer Annex 22 for list of typical equipment/ available. Refer Annex 22 for list of typical equipment/
tools and testing instruments required. tools and testing instruments required.
Local office/ workshop in Hong Kong SAR is required.
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished office and
Reasonably sized, suitably furnished office and workshop/ workshop/ storage areas. In general, the minimum office
storage areas. In general, the minimum office area shall be area shall be 40 m2 and the minimum workshop + storage
40 m2 and the minimum workshop + storage area shall be area shall be 40 m2. Documentary evidence (e.g.
40 m2. Documentary evidence (e.g. purchase/ lease purchase/ lease agreement) to prove right of use shall be
agreement) to prove right of use shall be produced. produced.
6. Others
6. Others
6.1 Safety
6.1 Safety
Please refer to General Notes (1), Item IV in this
Appendix.
6.2 Integrity
6.2 Integrity
Please refer to General Notes (1), Item V in this
Please refer to General Notes (1), Item V in this Appendix. Appendix.
Preferably be an authorized agent in HKSAR for essential Preferably be an authorized agent in HKSAR for
equipment. Documentary evidence such as authorized essential equipment. Documentary evidence such as
agency agreements shall be available. authorized agency agreements shall be available.
desirable. Applicant to demonstrate scope and extent (such desirable. Applicant to demonstrate scope and extent
as design, backup on installation/ maintenance etc.) of (such as design, backup on installation / maintenance
support. etc.) of support.

Works Category : 24. Mechanical Plant and Equipment Installation Specialist Contractor
Group I : Contracts/Subcontracts up to HK$1.8M

Group II : Contracts/Subcontracts of unlimited value
The scope of work in this category covers the general mechanical fabrication, supply, installation and maintenance of mechanical plants and equipment.
Typical installations include laundry equipment, waste disposal equipment, vehicle examination facility, garage equipment, bulk fuel storage and dispensing
system, pumping system etc.
Probation to Group I : Not Applicable
Probation to Group II : Eligible for the award of any number of Group I contracts/subcontracts; and a maximum of two Group II contracts/
subcontracts exceeding $1.8 million provided that the total value of Group II works does not exceed $5.5 million

Group I Group II
General
(1) The applicant shall have adequate experience in the type and size of work of the category,
as stipulated under “Job Reference for Inspection” below, with satisfactory quality of work
compatible with Government standard on and in relation to mechanical plant and
equipment installations; and
fully responsibility for carrying out contract management and coordination with building
contractor and other building services / electrical and mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes of
the application form must also be produced to the satisfaction of the DEVB; otherwise, it
will not be considered as a valid job reference.
Job Reference for Inspection (In addition to the above, every job submitted by the applicant shall
fulfill all requirements set out below; otherwise, it will not be considered as a valid job reference)
final stage; and
(6) These 2 contracts shall be direct contract, which was signed between the applicant and the
(7) All statutory forms such as the Work Completion (Part of an Installation) Certificate (i.e.
Form WR1 (A)) shall be issued under the name of the applicant; and
examination of the quality and workmanship of the submitted job reference within normal
office hours; and
requirements:
(b) The contract shall cover the nature of works as described in the “Brief Scope of
Category”.
Group I Group II
(c) The party by which the applicant is awarded with the subcontract, and the upstream
contracting parties up to and including the main contractor, which is the company
awarded with the direct contract by the employer of the concerned project, all shall
not be the mechanical plant and equipment installation contractor for the project
work; and
(d) The applicant must present documentary evidence to prove the above requirements
are met and such evidence must be substantiated by all the relevant upstream
contracting parties as mentioned at (c) above including letters from them, which
must be signed by their authorized signatories to confirm that the applicant has met
the above requirements in the subcontract; and
(e) Notwithstanding the above, the Managing Department may seek references on the
parties of the concerned project and other sources or confirmation on the authenticity
of the proof provided by the applicant from the relevant parties of the concerned
project.

The applicant shall be a Registered Electrical Contactor registered under Electricity

Ordinance, Cap. 406 and have full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that described in the Section “Management
and Staff Employment”.
Group I Group II
Employ at least 1 no. qualified engineer (Mechanical or Building Services) with adequate
and relevant professional and project management experience. Please refer to General Notes
Technician 2 nos.
Draftsman 2 nos.
(A) Electrician
(B) Mechanical Fitter

(C) Welder
(D) Staff meeting the following statutory registration requirements:
- Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406.
Grade A2-1 no. (minimum)
The REW and QW can be the Qualified Engineer, Technical Support Staff or the Qualified
Worker.

Group I Group II
certificates for testing instruments shall be available. Refer to Annex 23 for list of typical
Local office/ workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished
office and workshop/ storage areas. In general, the minimum office area shall be 80 m2 and
the minimum workshop + storage area shall be 70 m2. Documentary evidence (e.g.
6. Others
6.1 Safety
6.2 Integrity
Preferably be an authorized agent in HKSAR for essential equipment. Documentary

evidence such as authorized agency agreement shall be available.
Technical support from principal(s) of relevant agency is desirable. Applicant to

demonstrate scope and extent (such as design, backup on installation/ maintenance etc.) of
support.

Group I Group II
Not Applicable
1. Experience
exceeds Group I tender limit (See General Notes (2)); and
Category”; and
(c) If the contract is a term contract, all of the above requirements 4 (a) to 4 (b) shall be
not be the mechanical plant and equipment installation contractor for the project
work.

Group I Group II
General
compatible with Government standard on and in relation to mechanical plant and
equipment installations; and
fully responsibility for carrying out contract management and coordination with building
final stage; and
office hours; and
requirements:
exceeds 50% Group I tender limit (See General Notes (2)); and
Category”; and

Group I Group II
not be the manufacture plant and equipment installation contractor for the project
work; and
(d) The applicant must present documentary evidence to prove the above requirements
are met and such evidence must be substantiated by all the relevant upstream
contracting parties as mentioned at (c) above including letters from them, which
must be signed by their authorized signatories to confirm that the applicant has met
the above requirements in the subcontract; and
(e) Notwithstanding the above, the Managing Department may seek references on the
project.
The applicant shall be a Registered Electrical Contractor registered under Electricity
Ordinance, Cap. 406 and have full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that described in the Section
“Management and Staff Employment”.
3. Management and Staff Management

requirement.

Group I Group II
Technician 2 nos.
Draftsman 1 no.
Employ adequate nos. of Qualified Workers with adequate relevant experience in the
following trades / trade divisions:
(A) Electrician
(B) Mechanical Fitter
- Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406.
Grade A2 – 1 no. (minimum)

Adequate modern drafting and computing facilities, minimum 1 no. CAD terminal.
certificates where applicable for testing instruments shall be available. Refer to Annex
23 for list of typical equipment /tools and testing instruments required.

Group I Group II
Local office/workshop in Hong Kong SAR is required. Reasonably sized, suitably

furnished office and workshop/storage areas. In general, the minimum office area shall be
40 m2 and the minimum workshop + storage area shall be 40 m2. Documentary evidence
6. Others
6.1 Safety
6.2 Integrity

Preferably be an authorized agent in HKSAR for essential equipment. Documentary
evidence such as authorized agency agreement shall be available.
Support from Principal
Technical support from principal(s) of relevant agency is desirable. Applicant to
demonstrate scope and extent (such as design, backup on installation / maintenance etc.)
of support.

Works Category : 25. Plumbing Installation Specialist Contractor
Group I : Contracts/Subcontracts up to HK$4.6 million

Group II : Contracts/Subcontracts of unlimited value
The scope of work in this category covers the construction, repair and maintenance of plumbing installations. Typical installations include fresh and flush
water pumps and pipework installations (including connection to sanitary fixtures and associated taps and water heaters installed by others); water supply for
fire service installation including up-feed pipework and connection to the roof/transfer tank; cold and hot water supply systems; rain water recycling system;
water supply for feeding/make-up to air-conditioning installation, fountain installation and swimming pool installation; and water supply for irrigation system.
Probation to Group I : Not applicable
Probation to Group II : Eligible for the award of any number of Group I contracts/subcontracts; and a maximum of four Group II contracts/
subcontracts provided that the total value of Group II works does not exceed $30 million

Group I Group II
General
compatible with Government standard on and in relation to plumbing installations; and
fully responsible for carrying out contract management and coordination with building
final stage; and
(7) All statutory forms such as Form WR1 (A) “Electricity Ordinance (Cap. 406) Electricity
(Wiring) Regulations Work Completion Certificate”, Form WWO 46 “Waterworks
Ordinance (Cap. 102) Notification/Application for Constructing, Installing, Altering or
Removing an Inside Service or Fire Service”, etc. shall be issued under the name of the
applicant and/or the Registered Electrical Worker (REW)/ Licensed Plumber (LP)
engaged by the applicant as applicable; and
requirements:

Group I Group II
Category”; and

(d) The aforementioned main contractor shall not be the plumbing installation
(e) The applicant must present documentary evidence to prove that the above
relevant parties of the concerned project and other sources or confirmation on the
authenticity of the proof provided by the applicant from the relevant parties of
the concerned project.


Ordinance, Cap. 406; and have full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that described in the Section
“Management and Staff Employment” below.

Group I Group II
The scope of certification shall be relevant to the “Brief Scope of the Category” being
applied for, e.g. “supply, installation, repair and maintenance of plumbing work”.
If the scope of certification does not include “maintenance”, the relevant quality
management manual shall have relevant sections for maintenance work that shall include
not only post contract service but also service for separate maintenance contract.
requirement.
Employ at least 1 no. Qualified Engineer (Mechanical, Building Services or Electrical

discipline) with adequate and relevant professional and project management experience.
Technician 2 nos.
Draftsman 2 nos.

Group I Group II
Employ adequate nos. of Qualified Workers to meet the minimum scores of both (A) and
(B) below in the following trades/ trades divisions:
(A) Plumber
(B) Electrician
- Licensed Plumber, Grade I, registered under Waterworks Ordinance, Cap. 102. – 1

no. (minimum)
- REW registered under Electricity Ordinance, Cap. 406. Grade A2 – 1 no. (minimum)
The LP and REW can be the Qualified Engineer, Technical Support Staff or Qualified
Worker.
4. Plant and Equipment( See General Notes (4))
Adequate nos. of calibrated testing instruments and equipment / tools for carrying out
installation, operation, maintenance and testing / commissioning services; valid calibration
for a list of typical equipment / tools and testing instruments required.
Local office/workshop in Hong Kong SAR is required. Reasonably sized, suitably
furnished office and workshop/storage areas. In general, the minimum office area shall be
80 m2 and the minimum workshop + storage area shall be 25 m2. Documentary evidence
6. Others
6.1 Safety
6.2 Integrity

Group I Group II
(3) All statutory forms such as Form WR1(A) “Electricity Ordinance (Cap. 406) Electricity
Removing an Inside Service or Fire Service” etc. shall be issued under the name of the
applicant and/or the REW/LP engaged by the applicant as applicable; and
exceeds Group I tender limit(See General Notes (2)); and
Category”; and
(c) The contract shall be of a completely new building construction or a whole building
refurbishment; and
(d) If the contract is a term contract, all of the above requirements 4(a) to 4(c) shall be
following requirements, in addition to the above stated requirements:
(c) The subcontract shall be signed between the applicant and the main contractor which
is the company awarded with the direct contract by the employer of the concerned
project; and
(d) The aforementioned main contractor shall not be the plumbing installation contractor
for the project work.

Group I Group II
General
compatible with Government standard on and in relation to plumbing installations; and
fully responsible for carrying out contract management and coordination with building
final stage; and
(7) All statutory forms such as Form WR1(A) “Electricity Ordinance (Cap. 406) Electricity
Removing an Inside Service or Fire Service” etc. shall be issued under the name of the
applicant and/or the Registered Electrical Worker (REW)/ Licensed Plumber (LP) engaged
by the applicant as applicable; and
office hours; and
requirements:
exceeds 50% Group I tender limit (See General Notes (2)); and

Group I Group II
Category”; and
(c) The contract shall be of a completely new building construction project or a whole
building refurbishment project.
(b) The applicant shall have undertaken the full scope of work covered in the subcontract,
solely and fully, including contract management; and
(c) The subcontract shall be signed between the applicant and the main contractor which
is the company awarded with the direct contract by the employer of the concerned
project; and
(d) The aforementioned main contractor shall not be the plumbing installation contractor
for the project work; and
(e) The applicant must present documentary evidence to prove the above requirements
are met and such evidence must be substantiated by the main contractor including a
letter, which must be signed by the main contractor’s authorized signatory to confirm
that the applicant has met the above requirements in the subcontract; and
project.

Ordinance, Cap. 406; and have full time technical staff (meeting the relevant statutory
registration requirement) of number not less than that described in the Section “Management
and Staff Employment” below.

Group I Group II


Technician 2 nos.
Draftsman 1 no.
Employ adequate nos. of Qualified Workers with adequate relevant experience to meet the
minimum scores of both (A) and (B) below in the following trades:
(A) Plumber
(B) Electrician
- Licensed Plumber, Grade I, registered under Waterworks Ordinance, Cap. 102. – 1 no.
(minimum)
- REW registered under Electricity Ordinance, Cap. 406. Grade A2 – 1 no. (minimum)
The LP and REW can be the Qualified Engineer, Technical Support Staff or Qualified
Worker.

Group I Group II
4. Plant and Equipment ( See General Notes (4))
Adequate nos. of calibrated testing instruments and equipment / tools for carrying out
installation, operation, maintenance and testing / commissioning services; valid calibration
for a list of typical equipment /tools and testing instruments required.
Local office/workshop in the Hong Kong Special Administrative Region (HKSAR) is
required. Reasonably sized, suitably furnished office and workshop/storage areas. In
general, the minimum office area shall be 40 m2 and the minimum workshop + storage area
shall be 15 m2. Documentary evidence (e.g. purchase/lease agreement) to prove right of use
shall be provided.
6. Others
6.1 Safety
6.2 Integrity

Works Category : 26. Prestressed Concrete Works for Highway Structures Supplier / Specialist Contractor
Class _____I _____ : Supply and Installation of Prestressing Systems
Brief Scope of Category/ Class:
The scope of work in this category and class covers the supply and installation of prestressing systems for prestressed concrete works for highway structures.
The applicant will be included in this category and class for the supply and installation of a particular prestressing system proposed in the application. The
prestressing system must be a proprietary product.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in supply and installation of the prestressing system in the past 3 years, each with a value of $1.7M or more. References on these projects from
consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying site visits.
The manufacturer for the prestressing systems shall be operating a quality management system certified by an internationally recognized certifying body.
At least one top management with one year of relevant professional and management experience is required. Documentary proof shall be submitted to demonstrate sufficient commitment
for control of the works. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff
a. At least one professional staff possessing suitable professional qualification (HKIE Corporate Member or equivalent) experienced in the design of prestressed concrete bridges and
the installation of prestressing systems is required.
b. At least two technical staff at supervisory level experienced in the installation of prestressing systems are required.
c. Local workforce capable of installing prestressing systems: At least 3 registered skilled workers of trade division “Prestressing Operative” in the trade “Prestressing Operative” under
the Construction Workers Registration Ordinance are required. Copy of valid construction workers registration cards shall be submitted.
All the named technical staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to General
Notes (1), Item III in this Appendix in respect of continuous capability building requirement.
a. Prestressing jack.
b. Mechanical grout pump.
c. Mechanical grout mixer.
d. Strand feeder.
Local office in Hong Kong is required.

Not Applicable

Direct Entry
7. Others
7.3 Satisfactory technical information and method statements. Works must comply with Section 17 of the General Specification for Civil Engineering Works. Other equivalent national
standards may be considered in lieu of the standards referred to in the Specification. Technical and testing report from an approved independent organisation to confirm compliance
with the above standards must be submitted.
7.4 The manufacturer for the prestressing systems and the applicant must have established acceptable manufacturing and installation procedures and fully documented quality assurance
systems. Visit to the factory may be required for this purpose. If such visits are not practicable, the applicant may be required to arrange for an independent report at his own cost.
7.5 Applicants will be required to complete a standard questionnaire entitled “Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Questionnaire) and submit/
supplement all the necessary supporting documents in the application for inclusion into the category. In completing the questionnaire, reference can be made to the “Guidelines for
Applicants in Completing the Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Guidelines). The Questionnaire and the Guidelines can be obtained
from the website, http://www.hyd.gov.hk/en/public_forms/index.html. The “pre-application vetting mechanism” stated in paragraph 3.3.4 in this Handbook is applicable to this category
with details stated in the Guidelines.

Works Category : 26. Prestressed Concrete Works for Highway Structures Supplier / Specialist Contractor
Class _____II_____: Supply of Prestressed Concrete Units
Brief Scope of Category/ Class:
The scope of work in this category and class covers the supply of prestressed concrete units for highway structures. The applicant will be included in this
category and class for a particular prestressing system proposed in the application. The prestressing system must be a proprietary product.

Direct Entry
1. Job Experience
Satisfactory completion of at least 3 projects in the fabrication of prestressed concrete units in the past 3 years, each with a value of $3.4M or more. References on these projects from
The manufacturer for the prestressing systems shall be operating a quality management system certified by an internationally recognized certifying body.
3.2 Technical Staff
a. At least one professional staff possessing suitable professional qualifications (HKIE Corporate Member or equivalent) experienced in the design of prestressed concrete bridges and the
installation of prestressing systems is required.
b. At least two technical staff at supervisory level experienced in the installation of prestressing systems are required.
c. Workforce experienced in precast and prestressed concrete works. At least 3 registered skilled workers of trade division “Prestressing Operative” in the trade “Prestressing Operative”
under the Construction Workers Registration Ordinance are required. Copy of valid construction workers registration cards shall be submitted.
All the named Technical Staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to General
Notes (1), Item III in this Appendix in respect of continuous capability building requirement.
a. Lifting crane.
b. Prestressing jacks.
c. Mechanical grout pumps.
d. Mechanical grout mixer.
e. Concrete mixer.
f. Concrete vibrator.
g. Necessary equipment to fabricate casting moulds complete with tendon/strand anchor fittings.
h. Concrete batching plant.
i. Equipment for testing concrete.
j. Curing facilities.

Direct Entry
Local office in Hong Kong is required. The applicant must possess a permanent casting yard with the equipment listed above and adequate storage space.
Not Applicable
7. Others
7.2 Satisfactory technical information and method statements. Works must comply with Sections 14, 15, 16 & 17 of the General Specification for Civil Engineering Works. Other
equivalent national standards may be considered in lieu of the standards referred to in the Specification. Technical and testing report from an approved independent organisation to
confirm compliance with the above standards must be submitted.
7.3 The manufacturer for the prestressing systems and the applicant must have established acceptable manufacturing procedures and fully documented quality assurance systems. Visit
to the permanent casting yard may be required for this purpose. If such visits are not practicable, the applicant may be required to arrange for an independent report at his own cost.
from the website, http://www.hyd.gov.hk/en/public_forms/index.html. The “pre-application vetting mechanism” stated in paragraph 3.3.4 in this Handbook is applicable to this
category with details stated in the Guidelines.

Works Category : 27. Radio Electronics Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of VHF/UHF radio transceiver, basestation, repeater, microwave radio
system and related ancillary equipment at hilltop site and different venues.


Government standard on and in relation to radio (2) This contract shall be direct contract, which was signed Government standard on and in relation to radio
project; and
with building contractor and other building services under application for confirmation exceeds $0.3M; with building contractor and other building services
/ electrical and mechanical contractors; and and / electrical and mechanical contractors; and
works order.
job submitted by the applicant shall fulfill all requirements set (4) Subcontract will not be considered as valid job reference job submitted by the applicant shall fulfill all requirements set
out below; otherwise, it will not be considered as a valid job unless it can satisfy all of the following requirements, in out below; otherwise, it will not be considered as a valid job
reference) addition to all the above stated requirements: reference)
completed within the past 12 months or at final stage; of work covered in the subcontract, solely and completed within the past 12 months or at final
and fully, including contract management; and stage; and
(6) These 2 contracts shall be direct contract, which was (c) The party by which the applicant is awarded with (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the the subcontract, and the upstream contracting signed between the applicant and the employer of the
concerned project; and parties up to and including the main contractor, concerned project; and
(7) The applicant shall be able to arrange joint site contract by the employer of the concerned project, (7) The applicant shall be able to arrange joint site
inspections for the government’s examination of the all shall not be the radio electronics installation inspections for the government’s examination of the
quality and workmanship of the submitted job contractor for the project work. quality and workmanship of the submitted job


(8) The scope of work for each of these 2 contracts must should be the same as that required for “A. Entry on Probation”. (8) The scope of work for each of these 2 contracts must
contracting parties up to and including the main contracting parties up to and including the
contractor, which is the company awarded with main contractor, which is the company
the direct contract by the employer of the awarded with the direct contract by the
concerned project, all shall not be the radio employer of the concerned project, all shall
electronics installation contractor for the not be the radio electronics installation
project work; and contractor for the project work; and
met and such evidence must be substantiated by met and such evidence must be substantiated
all the relevant upstream contracting parties as by all the relevant upstream contracting
mentioned at (c) above including letters from parties as mentioned at (c) above including
them, which must be signed by their authorized letters from them, which must be signed by
signatories to confirm that the applicant has met their authorized signatories to confirm that the
the above requirements in the subcontract; and applicant has met the above requirements in
the subcontract; and



following trades/trade divisions: following trades/trade divisions:

minimum 1 no. CAD terminal. Adequate nos. of minimum 1 no. CAD terminal. Adequate nos. of
calibrated testing instruments and equipment/tools for calibrated testing instruments and equipment/tools for
carrying out installation, operation, maintenance and carrying out installation, operation, maintenance and
testing/commissioning services; valid calibration testing/commissioning services; valid calibration
certificates for testing instruments shall be available. Refer certificates for testing instruments shall be available. Refer
Annex 25 for list of typical equipment/tools and testing Annex 25 for list of typical equipment/tools and testing
instruments required. instruments required.
produced. produced.
5. Others 5. Others
Please refer to General Notes (1), Item IV in this Appendix. Please refer to General Notes (1), Item IV in this
Appendix.
5.2 Integrity
5.2 Integrity
Preferably be an authorized agent in HKSAR for essential
equipment. Documentary evidence such as authorized Preferably be an authorized agent in HKSAR for essential
agency agreements shall be available. equipment. Documentary evidence such as authorized
agency agreements shall be available.
Technical support from principal(s) of relevant agency is
desirable. Applicant to demonstrate scope and extent (such Technical support from principal(s) of relevant agency is
as design, backup on installation / maintenance etc.) of desirable. Applicant to demonstrate scope and extent (such
support. as design, backup on installation / maintenance etc.) of
support.

Works Category : 28. Repair and Restoration of Historic Buildings Specialist Contractor
The scope of work in this category covers the repair and restoration of historic buildings and structures.

Direct Entry
1. Experience
(i) At least 3 examples of relevant works carried out in Hong Kong within the past 5 years
(ii) Subcontract will not be considered as valid job reference unless it can satisfy all of the following requirements, in addition to all the above stated requirements:
(c) The subcontract shall be signed between the applicant and the main contractor which is the company awarded with the direct contract by the employer of the concerned project;
and
(d) The aforementioned main contractor shall not be the Repair and Restoration of Historic Buildings contractor for the project work; and
(e) The applicant must present documentary evidence to prove the above requirements are met and such evidence must be substantiated by the main contractor including a letter,
which must be signed by the main contractor’s authorized signatory to confirm that the applicant has met the above requirements in the subcontract; and
(f) Notwithstanding the above, the Managing Department may seek references on the applicant’s technical and managerial capabilities from the employer, the relevant parties of
the concerned project and other sources or confirmation on the authenticity of the proof provided by the applicant from the relevant parties of the concerned project.
Not Applicable
Adequate standard of administration and 1 no. of full time site foreman with more than 3 years of relevant conservation working experience and training. Please refer to General Notes (1),
Item II in this Appendix in respect of continuous capability building requirements.
3.2 Technical Staff
Specialist skilled workers with adequate qualification and skill in timber carvings, decorative plasterworks, decorative painting and artworks.

Adequate source of traditional material including fair face green bricks, Chinese roof-tile and ceramics etc.
Adequate office, workshop and store. Local office and local workshop in Hong Kong are required.
Not Applicable
7. Others

Works Category : 29. Road Marking Specialist Contractor
The scope of work in this category covers the laying of the various road markings.

Contractors included in the “Road Marking Category” but have not yet achieved confirmation status. The probationary contractor shall only be allowed to work
as a subcontractor in government contracts and shall be working on not more than 2 government contracts at any one time.


1. Experience The requirements are the same as those required for “Direct 1. Experience
Entry” except that item 7.4 is not required.
Satisfactory completion of less than 3 projects in road Satisfactory completion of at least 3 projects in road
marking works in the past 3 years, each with a value of marking works in the past 3 years, each with a value of
HK$ 1 million or more. HK$ 1 million or more.
References on these projects from consulting engineers References on these projects from consulting engineers
(architects or clients if there is no consulting engineer) (architects or clients if there is no consulting engineer)
must be submitted which may be verified by paying site must be submitted which may be verified by paying site
visits. visits.
At least one member of the top management shall have a At least one member of top management shall have a
minimum experience with five years, out of which three minimum experience with five years, out of which three
years shall be local experience, in managing a construction years shall be local experience, in managing a construction
firm obtained in the past eight years. firm obtained in the past eight years.
Please refer to General Notes (1), Item II in this Appendix Please refer to General Notes (1), Item II in this Appendix
in respect of continuous capability building requirement. in respect of continuous capability building requirement.
Technical staff and work force experienced in road Technical staff and work force experienced in road
marking works. marking works.
Please refer to General Notes (1), Item II in this Appendix Please refer to General Notes (1), Item II in this Appendix
in respect of continuous capability building requirement in respect of continuous capability building requirement for
for supervisory grade technical staff. supervisory grade technical staff.
Adequate equipment required for thermoplastic road Adequate equipment required for thermoplastic road
markings : markings :
a. Screeding machine. a. Screeding machine.
b. Grinding machine. b. Grinding machine.
c. Twin preheater. c. Twin preheater.


7. Others 7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in 7.1 Safety: Please refer to General Notes (1), Item IV in
this Appendix. this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in 7.2 Integrity: Please refer to General Notes (1), Item V in
7.3 Satisfactory technical information and method 7.3 Satisfactory technical information and method
statements. Works must comply with Section 12 of statements. Works must comply with Section 12 of General
General Specification for Civil Engineering Works. Other Specification for Civil Engineering Works. Other
equivalent national standards may be considered in lieu of equivalent national standards may be considered in lieu of
the standards referred to in the Specification. the standards referred to in the Specification.
7.4 Satisfactory site demonstration on laying various types 7.4 Satisfactory site demonstration on laying various types
of road marking materials to demonstrate that the laying of road marking materials to demonstrate that the laying
techniques and workmanship comply with the specified techniques and workmanship comply with the specified
requirements. For detailed requirements of the site requirements. For detailed requirements of the site
demonstration, please refer to the “Guidelines for demonstration, please refer to the “Guidelines for
Applicants in Completing the Questionnaire for Pre- Applicants in Completing the Questionnaire for Pre-
application Vetting” (Guidelines) for application for application Vetting” (Guidelines) for application for
inclusion in the “Road Marking” Category of the inclusion in the “Road Marking” Category of the Specialist
Specialist List. List.
7.5 Applicants are required to complete a standard 7.5 Applicants are required to complete a standard
questionnaire “Application for Inclusion in the List – questionnaire “Application for Inclusion in the List –
Questionnaire for Pre-application Vetting” Questionnaire for Pre-application Vetting” (Questionnaire)
(Questionnaire) and submit/ supplement all the necessary and submit/ supplement all the necessary supporting
supporting documents in the application for inclusion into documents in the application for inclusion into the
the category. The Questionnaire and the Guidelines can category. The Questionnaire and the Guidelines can be
be obtained from the website of Highways Department, obtained from the website of Highways Department,
http://www.hyd.gov.hk/en/public_forms/index.html. http://www.hyd.gov.hk/en/public_forms/index.html.
The “pre-application vetting mechanism” stated in The “pre-application vetting mechanism” stated in
paragraph 3.3.4 in this Handbook is applicable to this paragraph 3.3.4 in this Handbook is applicable to this
category with details stated in the Guidelines. category with details stated in the Guidelines.
7.6 Other additional requirements shall be referred to the 7.6 Other additional requirements shall be referred to the
Guidelines and the Questionnaire. Guidelines and the Questionnaire.

Works Category : 30. Soil and Rock Testing Specialist Contractor
Contractors (or Laboratories) under this category shall provide services for testing of soil and rock samples which originate from ground investigation carried
out in Hong Kong.

Direct Entry
1. Experience
The Laboratory shall be able to provide at least the following services:
(a) All soil tests included in Geospec 3 except the determination of particle size distribution by the pipette method (Test Methods 8.3 and 8.4), the determination of in-situ bulk density and
in-situ dry density of soils by nuclear densometer method (Test Method 11.3), the determination of relative compaction of fill material (Test Method 11.4) and the direct shear test using
large shear box apparatus (Test Method 16.2).
(b) Preparation of soils from tube and block samples for examination, description and determination of bulk and dry densities, void ratio and degree of saturation.
(c) Point load test on rock and the determination of water content, porosity and dry density of rock.
(d) Determination of the direct shear strength of rock discontinuities.
(e) Description of soil and rock to Geoguide 3.
The Laboratory must have a quality system which meets the requirements of the Hong Kong Laboratory Accreditation Scheme (HOKLAS) appropriate to the testing services being provided,
and be accredited by Hong Kong Accreditation Service (HKAS) under the HOKLAS for the prescribed soil tests. The full scope of accreditation shall be maintained at all times. If any
amendments to Geospec 3 are promulgated in whatsoever form, the Laboratory shall seek and obtain accreditation for the relevant tests incorporating the amendments.

All management staff below shall satisfy the minimum qualifications and experience requirements prescribed below. Staff competence will be assessed.
(a) Quality Manager (1 no.) – responsible for the quality system
(b) Laboratory Manager (1 no.) – responsible for the technical and administrative matters
(c) Signatories (minimum 2 nos.) – responsible for signing all test certificates and reports
Qualifications, Training and Experience Requirements:
(a) Quality Manager
The Quality Manager shall satisfy the minimum qualification requirements in Option A or B for Signatories as set out in 3(c) below. In addition, he/she shall be fully conversant with
the quality system of the Laboratory and shall have adequate knowledge and experience on laboratory quality management and internal quality audits.
(b) Laboratory Manager
The Laboratory Manager shall satisfy the minimum qualification and experience requirements in Option A, B or C for Signatories as set out in 3(c) below. In addition, he/she shall
have at least one year of experience in the management of a Laboratory, including the technical and administrative matters associated with the Laboratory’s operation.
(c) Signatories
The main and reserve Signatories shall possess a sufficient standard of English to understand the requirements of soil and rock testing standards and HOKLAS documents.
They shall satisfy the minimum qualification and experience requirements given in either Option A, B or C below and shall also be a HOKLAS Approved Signatory for the prescribed
soil tests included in Geospec 3:
Option A
Satisfied in full the academic requirements for Corporate Membership of the Hong Kong Institution of Engineers (HKIE) (Civil or Geotechnical Discipline), and have a minimum of
five years of post-qualification civil or geotechnical engineering experience, with at least one year of experience in supervising the relevant types of soil and rock tests.

Direct Entry
Option B
Obtained an Ordinary Certificate in Civil Engineering from a Hong Kong Polytechnic/Polytechnic University or Hong Kong Institute of Vocational Education/technical college/technical
institute, or Diploma in Civil Engineering or Testing & Certification at Hong Kong Qualifications Framework (HKQF) Level 3 or above, or equivalent approved by the Government,
and have a minimum of seven years of post-qualification experience in construction materials testing, with at least two years in the relevant types of soil and rock tests, one year of
which shall be in a supervisory role.
Option C
Have Level 2 or above in five New Senior Secondary (NSS) subjects including Physics, Compulsory Part in Mathematics and English Language in the Hong Kong Diploma of Secondary
Education Examination (HKDSEE)[Note (1)], or equivalent approved by the Government[Notes (2) & (3)], and have a minimum of ten years of post-qualification experience in construction
materials testing, with at least two years in the relevant types of soil and rock tests, one year of which shall be in a supervisory role.
Notes:
(1) “Attained” in Applied Learning subjects (subject to a maximum of two Applied Learning subjects), and Grade E in Other Language subjects in the HKDSEE are accepted as equivalent to Level 2 in the New Senior
Secondary subjects in the HKDSEE.
(2) Grade E or Level 2 in subjects other than English Language (see Note (3)) in HKCEE are accepted administratively comparable to Level 2 in NSS subjects in HKDSEE.
(3) Results/qualifications deemed to be equivalent to Level 2 in English Language in HKDSEE may include:
(i) Level 2 in English Language in the 2007 HKCEE and henceforth;
(ii) Grade E in English Language (Syllabus B) or Grade C in English Language (Syllabus A) in the HKCEE before 2007;
(iii) Grade D in English Language in International General Certificate of Secondary Education [IGCSE] or UK General Certificate of Secondary Education [GCSE] or General Certificate of Education ‘Ordinary’ Level
[GCE O Level];
(iv) Grade E in English Language in Hong Kong Higher Level Examination or General Certificate of Education ‘Advanced Subsidiary’ Level [GCE AS Level];
(v) Foundation Diploma or Foundation Diploma (Level 3) commencing 2013 awarded by Vocational Training Council; and
(vi) Full Project Springboard/Project Yi Jin certificate or Yi Jin Diploma commencing 2013.
Quality Manager, Laboratory Manager and the Signatories shall comply with the continuous capability building requirement as detailed in General Notes (1), Item II in this Appendix.
Apart from the minimum hours required for safety and integrity related events, the remaining event(s) shall be related to soil and rock laboratory testing.
3.2 Technical Staff
All technical staff below shall satisfy the minimum qualifications, training and experience requirements prescribed below. Staff competence will be assessed.
(a) Senior Laboratory Technician (minimum 1 no.) – responsible for organizing the testing operations
(b) Laboratory Technicians (minimum 2 nos.) – responsible for carrying out testing and reporting
(c) Laboratory Assistants (minimum 2 nos.) – responsible for simple tests under supervision
(d) Semi-skilled Staff (adequate no.) – responsible for assisting in all tests under supervision
Qualifications, Training and Experience Requirements:
(a) Senior Laboratory Technician
The person shall satisfy the minimum qualification, training and experience requirements given in either Option 1, 2, 3 or 4 below:
Option 1
Be a qualified Laboratory Technician satisfying the minimum qualification and training requirements in Option 1 for Laboratory Technicians as defined in 4(b) below, and have a
minimum of three years of experience in construction materials testing, with at least two years in the relevant types of soil and rock tests. Records of such experience shall be
certified as accurate by the Signatory.

Direct Entry
Option 2
minimum of six years of experience in construction materials testing, with at least two years in the relevant types of soil and rock tests. Records of such experience shall be
Option 3
Be a qualified Laboratory Technician satisfying the minimum qualification and training requirements in Option 3 for Laboratory Technicians as defined in 4(b) below with attainment
of additional relevant Units of Competency (UoC) 105767L5, 105894L4, 105960L5 and 105969L4, and have a minimum of six years of experience in construction materials testing,
with at least two years in the relevant types of soil and rock tests. Records of such experience shall be certified as accurate by the Signatory.
Option 4
minimum of eight years of experience in construction materials testing, with at least two years in the relevant types of soil and rock tests. Records of such experience shall be
Senior Laboratory Technician shall comply with the continuous capability building requirement as detailed in General Notes (1), Item III in this Appendix. Apart from the minimum
hours required for safety and integrity related events, the remaining event(s) shall be related to soil and rock laboratory testing.
(b) Laboratory Technicians
The persons shall satisfy the minimum qualification, training and experience requirements given under Option 1, 2, 3 or 4 below:
Option 1
Obtained an Ordinary Certificate in Civil Engineering from a Hong Kong Polytechnic/Polytechnic University or Hong Kong Institute of Vocational Education/technical college/technical
institute, or Diploma in Civil Engineering or Testing & Certification at Hong Kong Qualifications Framework (HKQF) Level 3 or above, or equivalent approved by the Government,
and have adequate on-the-job training on the practical and technical aspects of testing covering each of the tests to be carried out
Option 2
Have Level 2 or above in five New Senior Secondary (NSS) subjects including Physics, Compulsory Part in Mathematics and English Language in the Hong Kong Diploma of Secondary
Education Examination (HKDSEE)[Note (1)], or equivalent approved by the Government[Notes (2) & (3)], and have adequate on-the-job training on the practical and technical aspects of testing
covering each of the tests to be carried out
Option 3
Be a qualified Laboratory Assistant as defined in 4(c) below, have Level 2 or above in English Language in the Hong Kong Diploma of Secondary Education Examination (HKDSEE),
or equivalent approved by the Government[Note (3)] and attainment of Hong Kong Qualifications Framework (HKQF) Level 3 competency or above in relevant areas including relevant
Units of Competency (UoC) 105834L5, 105835L4, 105845L3, 105873L3, 105961L4 and 105973L3, and have adequate on-the-job training on the practical and technical aspects of
testing covering each of the tests to be carried out.
Option 4
Be a qualified Laboratory Assistant as defined in 4(c) below, have Level 2 or above in English Language in the Hong Kong Diploma of Secondary Education Examination (HKDSEE),
or equivalent approved by the Government [Note (3)], and have a minimum of two years of post-qualification experience in the relevant types of tests and adequate on-the-job training on
the practical and technical aspects of testing covering each of the tests to be carried out. Records of such experience shall be certified as accurate by the supervising Senior Laboratory
Technician or Signatory.

Direct Entry
(c) Laboratory Assistants
The persons shall be able to read and understand the work instructions of the Laboratory and have adequate on-the-job training on the practical and technical aspects of testing covering
each of the tests to be carried out.
(d) Semi-skilled Staff
The persons shall have adequate training in the operations required to be performed in the Laboratory.
Notes:
(1) “Attained” in Applied Learning subjects (subject to a maximum of two Applied Learning subjects), and Grade E in Other Language subjects in the HKDSEE are accepted as equivalent to Level 2 in the New Senior
Secondary subjects in the HKDSEE.
(2) Grade E or Level 2 in subjects other than English Language (see Note (3)) in HKCEE are accepted administratively comparable to Level 2 in NSS subjects in HKDSEE.
(3) Results/qualifications deemed to be equivalent to Level 2 in English Language in HKDSEE may include:
(i) Level 2 in English Language in the 2007 HKCEE and henceforth;
(ii) Grade E in English Language (Syllabus B) or Grade C in English Language (Syllabus A) in the HKCEE before 2007;
(iii) Grade D in English Language in International General Certificate of Secondary Education [IGCSE] or UK General Certificate of Secondary Education [GCSE] or General Certificate of Education ‘Ordinary’
Level [GCE O Level];
(iv) Grade E in English Language in Hong Kong Higher Level Examination or General Certificate of Education ‘Advanced Subsidiary’ Level [GCE AS Level];
(v) Foundation Diploma or Foundation Diploma (Level 3) commencing 2013 awarded by Vocational Training Council; and
(vi) Full Project Springboard/Project Yi Jin certificate or Yi Jin Diploma commencing 2013.

The laboratory shall possess the following minimum numbers of major items of equipment:
Triaxial compression machines (6 nos.), triaxial cells and all accessories (12 nos.), oedometer cells (6 nos.), and direct shear machine (1 no.)
All applicants must possess or set up a place of business in Hong Kong. Laboratory set-up, equipment and accommodation will be audited and assessed.
Training records/competence log on technical staff are required.
7. Others
7.2 The prescribed minimum numbers of management and technical staff shall be working full-time for the Laboratory. The Laboratory must have satisfactory accommodation and equipment
to carry out the prescribed soil and rock tests to relevant testing standards. It must demonstrate that it continues to satisfy all the criteria through submission of documentary evidence and
records, and during audit visits by Government representatives. It must also demonstrate satisfactory performance in proficiency testing arranged from time to time.

Direct Entry
7.3 When applying to enter the Specialist List, the Laboratory shall provide copies of the following to the Government for assessment:
(a) quality manuals (including test method manuals);
(b) a test directory listing all soil and rock tests which the Laboratory can perform and the test methods (including the version of amendments to relevant test standards) adopted;
(c) organization chart of the Laboratory;
(d) a list of the names of the proposed main and reserve Signatories, Quality Manager and Laboratory Manager, and of the Laboratory’s Technical Personnel, as well as curriculum vitae
giving their qualifications and experience, together with self-declaration letters on their full-time employment status with the Laboratory;
(e) a competence log sheet giving the tests/operations which each of the Technical Personnel is competent to perform/supervise;
(f) a plan showing the layout and dimensions of the testing areas and sample storage and preparation areas of the Laboratory, with environment controls stated on it; and
(g) a schedule giving the name of the manufacturer, model, identification marking, specification details of major equipment (including triaxial, direct shear, oedometer, CBR and point
load tests equipment) and their calibration records required for carrying out the tests.
7.4 On acceptance on the Specialist List, whenever changes to any of the above items (including changes of staff) have taken place, the Laboratory shall provide updated copies of the item
to the Government within one week of the change taking place. Also, in January and July each year, the Laboratory shall submit to the Government the latest organization chart of the
Laboratory and a summary of the total number of tests carried out for each type of standard and non-standard tests in the preceding six months for both Government and other clients.
7.5 Government representatives may carry out quality or technical audits of the Laboratory at any time. The Laboratory shall provide every assistance to enable the audits to be carried out.
During the audits, the Laboratory’s records related to the tests carried out (including records of calibration and checking of equipment), as well as training records, internal audit records and
proof of qualifications and experience of personnel may be examined. Laboratory Personnel may be interviewed and required to perform specific tests and calibrations in part or in full.

Works Category : 31. Specialized Operations for Highway Structures Specialist Contractor
Class I : Guniting
The scope of work in this category and class covers the guniting works for construction and/or repair of concrete highway structures.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in guniting works for the construction and/or repair of concrete structures in the past 3 years, each with a value of $0.17 M or more. References
on these projects from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying site visits.
Not Applicable
3.2 Technical Staff
Local skilled workforce in guniting - At least 2 registered skilled workers of trade division “Shotcretor” in the trade “Concrete and Grouting Worker” under the Construction Workers
Registration Ordinance are required. Copy of valid construction workers registration cards shall be submitted.
The named technical staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted.
a. Air compressor.
b. Gunite machine with necessary accessories.
c. Concrete breaking hammer (pneumatic/electric).
d. Scabbling hammer.
e. Spray machine with spray gun.
f. Water jet pump.
Not Applicable

Direct Entry
7. Others
7.3 Satisfactory technical information and method statements.
7.4 Satisfactory site demonstrations. The applicant is also required to demonstrate procedures for the treatment of corroded reinforcement prior to guniting.

Class II : Waterproofing of Concrete Surfaces
The scope of work in this category and class covers the waterproofing of surfaces of concrete highway structures, e.g. footbridge roofs or the like.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in waterproofing of surfaces of concrete highway structures in the past 3 years, each with a value of $0.34 M or more. References on these
projects from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying site visits.
Not Applicable
3.2 Technical Staff
Local skilled workforce in waterproofing works. At least 2 registered skilled workers of trade division “Waterproofing Worker (Master)” in the trade “Waterproofing Worker” under the
Construction Workers Registration Ordinance are required. Copy of valid construction workers registration cards shall be submitted.
The named technical staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted.
Equipment specified by the manufacturer of the proprietary waterproofing material.
Not Applicable
7. Others

Direct Entry
7.4 Satisfactory site demonstrations.
7.5 Works must comply with Section 20: Part 1 of the General Specification for Civil Engineering Works.

Class III : Repair of Cracked Concrete by Resin Injection
The scope of work in this category and class covers the resin injection for repair of cracks in structural concrete for highway structures.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects involving resin injection for repair of cracks in structural concrete in the past 3 years, each with a value of $25,000 or more. References on
these projects from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying site visits.
Not Applicable
3.2 Technical Staff
Local workforce skilled in repair of concrete structures by resin injection.
The named registered skilled workers shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted.
a. Resin injection pump with pressure control.

b. Mechanical mixer for resin.
c. Air compressor.
Not Applicable
7. Others

Direct Entry

Class IV : Non-destructive Testing of Welds
The scope of work in this category and class covers the non-destructive weld-testing of structural steelworks for highway structures.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in non-destructive weld-testing on structural steel works in the past 3 years, each with a value of $ 0.17 M or more. References on these projects
from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying site visits.
Not Applicable
At least one top management with one year of relevant professional and management experience is required. Documentary proof shall be submitted to demonstrate sufficient commitment for
control of the works. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff
At least two professional and technical staff possessing relevant qualifications in non-destructive testing of welds are required.
Notes (1), Item III in this Appendix in respect of continuous capability building requirement for supervisory grade technical staff.
a. Penetrant (dye and fluorescent) flaw detection.

b. Magnetic particle flaw detection.
c. Radiological flaw detection, including dark room facilities.
d. Ultrasonic flaw detection.
Not Applicable
7. Others

Direct Entry
7.3 Satisfactory technical information, method statements and fully documented quality assurance system.
7.5 Works must comply with Clause 18.97(4) of the General Specification for Civil Engineering Works.
Applicants in Completing the Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Guidelines). The Questionnaire and the Guidelines can be obtained from
the website, http://www.hyd.gov.hk/en/public_forms/index.html. The “pre-application vetting mechanism” stated in paragraph 3.3.4 in this Handbook is applicable to this category

Class V : Hot Dip Galvanising
The scope of work in this category and class covers the hot dip galvanising of structural steelworks for highway structures.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in hot dip galvanising of structural steelworks in the past 3 years, each with a value of $0.34 M or more. References on these projects from
Not Applicable
3.2 Technical Staff
At least two technical staff at supervisory level possessing relevant qualifications and experience in hot dip galvanizing of structural steelworks are required.
a. Alkaline degreasing tank.

b. Acid pickling tank.
c. Rinsing tank.
d. Fluxing tank.
e. Drying tank.
f. Zinc bath with temperature control.
g. Water quenching/air cooling tank.
h. Coating thickness gauge.
i. Lifting cranes.
j. Laboratory facilities for testing chemicals used in galvanising.
Local office in Hong Kong is required. The applicant must possess a galvanising facility with the equipment listed above.
Not Applicable

Direct Entry
7. Others
7.3 Satisfactory technical information, method statements and fully documented quality assurance system.
7.4 Satisfactory demonstrations.
7.5 Works must comply with Clauses 18.54 to 18.61 and 18.62(2) of the General Specification for Civil Engineering Works.
Applicants in Completing the Questionnaire for Application for Inclusion in the List / Pre-application vetting” (Guidelines). The Questionnaire and the Guidelines can be obtained from
the website, http://www.hyd.gov.hk/en/public_forms/index.html. The “pre-application vetting mechanism” stated in paragraph 3.3.4 in this Handbook is applicable to this category

Works Category : 32. Steam and Compressed Air Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of steam and compressed air installation including laundry equipment,
boiler, steam distribution system, compressed air plant etc.


Government standard on and in relation to steam and (2) This contract shall be direct contract, which was signed Government standard on and in relation to steam and
compressed air installations; and between the applicant and the employer of the concerned compressed air installations; and
project; and
contract management of work of the category, as (3) All statutory forms such as the Work Completion (Part of contract management of work of the category, as
stipulated under “Job Reference for Inspection” an Installation) Certificate (i.e. Form WR1 (A)) shall be stipulated under “Job Reference for Inspection”
below, including solely and fully responsibility for issued under the name of the applicant; and below, including solely and fully responsibility for
carrying out contract management and coordination carrying out contract management and coordination
with building contractor and other building services (4) The scope of work for this contract must fulfill all the with building contractor and other building services
/ electrical and mechanical contractors; and following requirements: / electrical and mechanical contractors; and
(3) For job experience outside the HKSAR, evidences as (a) Contract value of the work related to the category (3) For job experience outside the HKSAR, evidences as
stipulated in the guidance notes of the application under application for confirmation exceeds $0.8M; stipulated in the guidance notes of the application
must also be produced to the satisfaction of the and form must also be produced to the satisfaction of the
job reference. (b) The contract shall cover the nature of works as job reference.
job submitted by the applicant shall fulfill all requirements set (c) If the contract is a term contract, all of the above job submitted by the applicant shall fulfill all requirements set
out below; otherwise, it will not be considered as a valid job requirements 4 (a) and 4 (b) shall be fulfilled in one out below; otherwise, it will not be considered as a valid job
reference) works order. reference)
(4) The applicant shall submit at least 2 contracts, which (5) Subcontract will not be considered as valid job reference (4) The applicant shall submit at least 2 contracts, which
were completed within the past 3 years for site unless it can satisfy all of the following requirements, in were completed within the past 3 years for site
inspection; and addition to all the above stated requirements: inspection; and
(5) At least one of the above 2 contracts shall be (a) The subcontract shall include all the relevant work (5) At least one of the above 2 contracts shall be
completed within the past 12 months or at final stage; as described under the “Brief Scope of Category” completed within the past 12 months or at final stage;
and covered in the main contract; and and
(6) These 2 contracts shall be direct contract, which was (b) The applicant shall have undertaken the full scope (6) These 2 contracts shall be direct contract, which was
signed between the applicant and the employer of the of work covered in the subcontract, solely and signed between the applicant and the employer of the
concerned project; and fully, including contract management; and concerned project; and
(7) All statutory forms such as the Work Completion (c) The party by which the applicant is awarded with (7) All statutory forms such as the Work Completion
(Part of an Installation) Certificate (i.e. Form WR1 the subcontract, and the upstream contracting (Part of an Installation) Certificate (i.e. Form WR1
(A)) shall be issued under the name of the applicant; parties up to and including the main contractor, (A)) shall be issued under the name of the applicant;
and which is the company awarded with the direct and


(8) The applicant shall be able to arrange joint site all shall not be the steam and compressed air (8) The applicant shall be able to arrange joint site
reference within normal office hours; and Apart from the above experience requirement, other criteria reference within normal office hours; and
contracting parties up to and including the main contracting parties up to and including the main
contractor, which is the company awarded with contractor, which is the company awarded with
the direct contract by the employer of the the direct contract by the employer of the
concerned project, all shall not be the steam and concerned project, all shall not be the steam and
compressed air installation contractor for the compressed air installation contractor for the
project work; and project work; and
met and such evidence must be substantiated by met and such evidence must be substantiated by
all the relevant upstream contracting parties as all the relevant upstream contracting parties as
mentioned at (c) above including letters from mentioned at (c) above including letters from
them, which must be signed by their authorized them, which must be signed by their authorized
signatories to confirm that the applicant has met signatories to confirm that the applicant has met
the above requirements in the subcontract; and the above requirements in the subcontract; and


3. Management and Staff Employment 3. Top Management and Staff Employment
Employ at least 1 no. qualified engineer (Mechanical or Employ at least 1 no. qualified engineer (Mechanical or
Building Services discipline) with adequate and relevant Building Services discipline) with adequate and relevant
project management experience. Please refer to General project management experience. Please refer to General
Notes (1), Item III in this Appendix in respect of Notes (1), Item III in this Appendix in respect of


following trades/trade divisions: following trades/trade divisions:


(C) Staff meeting the following statutory registration (C) Staff meeting the following statutory registration
- Registered Electrical Worker (REW) registered under - Registered Electrical Worker (REW) registered under
Electricity Ordinance, Cap. 406. Grade A2 - 1 no. Electricity Ordinance, Cap. 406. Grade A2 – 1 no.
(minimum) (minimum)
The REW can be the Qualified Engineer, Technical The REW can be the Qualified Engineer, Technical
Support Staff or Qualified Worker. Support Staff or Qualified Worker.

minimum 1 no. CAD terminal. Adequate nos. of minimum 1 no. CAD terminal. Adequate nos. of
calibrated testing instruments and equipment/tools for calibrated testing instruments and equipment/tools for
carrying out installation, operation, maintenance and carrying out installation, operation, maintenance and
testing/commissioning services; valid calibration testing/commissioning services; valid calibration
certificates for testing instruments shall be available. Refer certificates for testing instruments shall be available. Refer
Annex 28 for list of typical equipment/tools and testing Annex 28 for list of typical equipment/tools and testing
instruments required. instruments required.
produced. produced.
6. Others 6. Others
Please refer to General Notes (1), Item IV in this Appendix. Please refer to Item I of General Notes (1), Item IV in this
Appendix.
6.2 Integrity
6.2 Integrity
Preferably be an authorized agent in HKSAR for essential
equipment. Documentary evidence such as authorized Preferably be an authorized agent in HKSAR for essential
agency agreements shall be available. equipment. Documentary evidence such as authorized
Technical support from principal(s) of relevant agency is
desirable. Applicant to demonstrate scope and extent (such Technical support from principal(s) of relevant agency is
as design, backup on installation / maintenance etc.) of desirable. Applicant to demonstrate scope and extent (such
support. as design, backup on installation / maintenance etc.) of
support.

Works Category : 33. Structural Steelwork Specialist Contractor
The scope of work in this category and class covers the fabrication and erection of structural steelwork for highway structures.

Direct Entry
1. Experience
Satisfactory completion of at least 3 projects in the fabrication and erection of structural steelworks for permanent civil engineering or building structures in the past 3 years, each with a
value of $0.8 M or more. References on these projects from consulting engineers (architects or clients if there is no consulting engineer) must be submitted which may be verified by paying
site visits.
Not Applicable

At least one member of the top management shall have a minimum experience of 5 years, out of which 3 years shall be local experience, in managing a construction firm obtained in the past
eight years. Documentary proof shall be submitted to demonstrate sufficient commitment for control of the works. Please refer to General Notes (1), Item II in this Appendix in respect of
3.2 Technical Staff

a. At least one professional staff experienced in the design, fabrication and erection of structural steelworks.
b. At least two technical staff at supervisory level experienced in the fabrication and erection of structural steelworks.
c. Local workforce for erection of steelwork. The following skilled workers are required –
– at least 3 registered skilled workers of trade division “Metal-steel Worker (Master)” or “Structural Steel Erector” in the trade “Metal-steel Worker” under the Construction Workers
Registration Ordinance; and
– at least 3 qualified welders to BS 4570, BS EN 287-1 or BS 4872:Part 1 as appropriate
Copy of valid construction workers registration cards and/or welder certificates shall be submitted. All the named technical staff shall be under full time employment. Proof of valid
employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to General Notes (1), Item III in this Appendix in respect of continuous capability building
requirement for supervisory grade technical staff.
a. Welding plant.
b. Lifting crane.
c. Drilling machine.
d. Bending machine.
e. Lathe.
f. Shearing machine.
g. Flame cutting machine.
h. Plate rolling machine.
i. Grit blasting equipment.
j. Grinder.
k. Planing, shaping and slotting machine.
l. Milling machine.
m. Boring and surfacing machines.
Direct Entry
n. Oven/cabinet with drying facilities for storing electrodes.
5. Office/ Workshop Facilities
Local office in Hong Kong is required. The applicant must possess a fabrication yard with the equipment listed above. The applicant may be required to arrange for a visit to the fabrication
yard.
Not Applicable
7. Others
7.3 Satisfactory technical information, method statements and fully documented quality assurance and control system for fabrication and erection of steelwork. Works must comply with
Section 18 of the General Specification for Civil Engineering Works.

Works Category : 34. Supply and Installation of Bearings for Highway Structures Specialist Contractor
Class I : Mechanical Bearings
The scope of work in this category and class covers the supply and installation of mechanical bridge bearings for highway structures. The applicant will be
included in this category and class for the supply and installation of a particular bearing proposed in the application. The bearing must be a proprietary
product.

Direct Entry
1. Experience
Satisfactory performance of the bearing in service. A list of job references where the bearing has been installed, together with at least 3 references from the clients or maintenance
authorities for projects completed in the past 3 years, must be submitted. The number of bearings installed in each project must not be less than 6. The applicant may be required to arrange
site visits to verify the references.
The manufacturer for the bearing shall be operating a quality management system certified by an internationally recognized certifying body.

3.2 Technical Staff
a. At least one professional staff experienced in bridge design and installation of bearings is required.
b. At least two technical staff at supervisory level experienced in installation of bearings are required.
c. Local workforce capable of installing the bearing. A mock-up installation may be required.
a. Equipment required for the installation of the bearing as specified by the manufacturer.
b. Mechanical grout mixer.
c. Mechanical grout pump.

Not Applicable

Direct Entry
7. Others
7.3 Satisfactory technical information and method statements. The design, manufacture and installation must comply with Section 20: Part 2 of the General Specification for Civil
Engineering Works and Chapter 8 of the Structures Design Manual for Highways and Railways. Other equivalent national standards may be considered in lieu of the standards referred
to in the Specification. Technical and testing report from an approved independent organisation to confirm compliance with the above standards must be submitted.
7.4 The manufacturer for the bearing and the applicant must have established acceptable manufacturing and installation procedures and fully documented quality assurance systems. Visit
to the factory may be required for this purpose. If such visits are not practicable, the applicant may be required to arrange for an independent report at his own cost.

Works Category : 34. Supply and Installation of Bearings for Highway Structures Specialist Contractor
Class II : Elastomeric Bearings
The scope of work in this category and class covers the supply and installation of elastomeric bridge bearings for highway structures. The applicant will be
included in this category and class for the supply and installation of a particular bearing proposed in the application. The bearing must be a proprietary
product.

Direct Entry
1. Experience
Satisfactory performance of the bearing in service. A list of job references where the bearing has been installed, together with at least 3 references from the clients or maintenance authorities
for projects completed in the past 3 years, must be submitted. The number of bearings installed in each project must not be less than 6. The applicant may be required to arrange site visits
to verify the references.
The manufacturer for the bearing shall be operating a quality management system certified by an internationally recognized certifying body.

3.2 Technical Staff
a. At least one professional staff experienced in bridge design and installation of bearings is required.
b. At least two technical staff at supervisory level experienced in installation of bearings are required.
c. Local workforce capable of installing the bearing. A mock-up installation may be required.
All the named technical staff shall be under full time employment. Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to General Notes
(1), Item III in this Appendix in respect of continuous capability building requirement for supervisory grade technical staff.
a. Equipment required for the installation of the bearing as specified by the manufacturer.
b. Mechanical grout mixer.
c. Mechanical grout pump.

Not Applicable

Direct Entry
7. Others
7.4 The manufacturer for the bearing and the applicant must have established acceptable manufacturing and installation procedures and fully documented quality assurance systems. Visit
to the factory may be required for this purpose. If such visits are not practicable, the applicant may be required to arrange for an independent report at his own cost.

Works Category : 35. Supply and Installation of Expansion Joints for Highway Structures Specialist Contractor
The scope of work in this category covers the supply and installation of expansion joints for vehicular bridges. The applicant will be included in this category
for the supply and installation of a particular expansion joint proposed in the application. The expansion joint must be a proprietary product.

Direct Entry
1. Experience
Satisfactory performance of the expansion joint in service. A list of job references where the expansion joint has been installed, together with at least 3 references from the clients or
maintenance authorities for projects completed in the past 3 years, must be submitted. The number of expansion joints installed in each project must not be less than 3. The applicant may
be required to arrange site visits to verify the references.
The manufacturer for the expansion joint shall be operating a quality management system certified by an internationally recognized certifying body.

3.2 Technical Staff
a. At least one professional staff experienced in bridge design and installation of expansion joints is required.
b. At least two technical staff at supervisory level experienced in installation of expansion joints are required.
c. Local workforce capable of installing the expansion joint. A mock-up installation may be required.

a. Equipment required for the installation of the expansion joint as specified by the manufacturer.
b. Pneumatic breaker with compressor.
c. Oven for melting binder.
d. Welding equipment.
e. Concrete vibrator.
f. Mechanical mortar mixer.
g. Generator.
h. Concrete cutter.
i. Gas burner.
j. Air blower.

Direct Entry
Not Applicable
7. Others
7.4 The manufacturer for the expansion joint and the applicant must have established acceptable manufacturing and installation procedures and fully documented quality assurance systems.
Visit to the factory may be required for this purpose. If such visits are not practicable, the applicant may be required to arrange for an independent report at his own cost. Trial
installation on a private/Government work site may be required. For the latter case, the trial will be subject to the applicant accepting the liability for replacing the joint with an
approved joint should the joint be found unsatisfactory. The assessment period of the trial is 12 months.

Works Category : 36. Supply and Installation of Pumpsets and Associated Pipework Specialist Contractor
The scope of work in this category covers the supply, fabrication, installation, testing, and delivery to site of pumpsets, pipework, fittings, valves and the
associated equipment.

Direct Entry
1. Experience
Possess at least five years experience in the supply and installation of large pumping plant (with an input power requirement of 500kW and over for each pumpset), either in the capacity
of a contractor or sub-contractor in private sector or Government contracts.
Not Applicable
At least one of the managers and professional staff should possess minimum qualification of corporate membership of a recognized professional institution in mechanical engineering
discipline i.e. MIMechE, MHKIE or equivalent with relevant experience. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building requirement.
3.2 Technical Staff
Supervisory Grade
Minimum of three qualified technical and supervisory persons who possess minimum qualification of Higher Certificate in Mechanical Engineering or equivalent with at least five years
relevant experience. Please refer to General Notes (1), Item III in this Appendix in respect of continuous capability building requirement for supervisory grade technical staff.
Worker Grade
At least ten workers shall be registered in accordance with Construction Workers Registration Ordinance:
(a) Minimum three workers shall register under “Plant and Equipment Mechanic” Trade, with at least one Registered Skilled Worker; and
(b) Minimum three workers shall register under “Electrician” Trade, with at least one Registered Skilled Worker.
Not Applicable
5. Office/Workshop facilities
A workshop in Hong Kong furnished with the necessary tools, specialised equipment and other supporting facilities.
Not Applicable

Direct Entry
7. Others
7.3 The Contractor should provide full details of the equipment supplied and installed under previous contracts to demonstrate his capability of complying with WSD’s standard technical
specification.

Works Category : 37. Supply and Installation of Water Treatment Plant Specialist Contractor
The scope of work in this category covers the design, manufacture and installation of water treatment plant in public supply systems for treating raw water to
potable standard acceptable to the Water Supplies Department and for processing water treating effluent to a quality acceptable for disposal.

A. Entry On Probation B. Confirmation C. Direct Entry

Not Applicable The following shall only be applicable to existing probationary 1. Experience
contractors:
The applicant should possess a minimum of 10 years
The probationary contractor has satisfactorily completed one experience in the design, manufacture and installation of
contract and he has not received any adverse report for the water treatment plant in public supply systems for
duration (including the maintenance period) of the contract. treating raw water to potable standard acceptable to the
Water Supplies Department and for processing water
Apart from the above experience requirement, other criteria treatment effluent to a quality acceptable for disposal.
should be the same as that required for “C. Direct Entry”. Also, they should have completed successfully 2 water
treatment works each of capacity at least 150 Mld in the
past 10 years.

Not Applicable
Top Management(See General Notes (1), Item II)

minimum experience of 5 years, out of which 3 years
shall be local experience, in managing a construction
firm. Please refer to General Notes (1), Item II in this
Appendix in respect of continuous capability building
requirement.
Technical Staff
The applicant should have an established organization

comprising qualified professional and technical staff
from Civil, Electrical, Mechanical and Chemical
Engineering fields with at least 5 years relevant
experience.

A. Entry On Probation B. Confirmation C. Direct Entry
Not Applicable
The applicant should have local supporting workshop

facilities and allow inspection of such facilities by
Government representatives.
Not Applicable
7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in

this Appendix.
7.2 Integrity: Please refer to General Notes (1), Item V in

this Appendix.
7.3 The applicant should have at least 3 years trading

record with manufacturers who are able to supply
specialized materials and equipment for the work and
provide him with technical support when required.

Works Category : 38. Supply of Bituminous Pavement Materials and Construction of Supplier / Specialist Contractor
Special Bituminous Surfacing
The scope of work in this category covers the supply of the bituminous pavement materials and the laying of the special bituminous surfacing.
Contractors included in this category but have not yet achieved confirmation status. When the probationary contractor has satisfactorily completed the relevant
works as prescribed in details under the confirmation criteria, the probationary contractor can apply for the confirmation status. The probationary contractor
will be assessed on the basis of capability and its performance in executing projects to determine whether the contractor is eligible to be confirmed or remains
as a probationary contractor to be recommended in the assessment.


1. Experience Requirements are the same as those required for “Direct Entry” 1. Experience
except that item 7.5 is not required.
Satisfactory completion of 1 to 3 projects in supply of Satisfactory completion of at least 3 projects in supply of
bituminous pavement materials and construction of bituminous pavement materials and construction of
special bituminous surfacing in the past 3 years or in lieu special bituminous surfacing in the past 3 years,
of which, satisfactory completion of trial production and demonstrating adequate management and technical
laying of bituminous pavement materials and/or special support for a general supply of bituminous pavement
bituminous surfacing. References on these projects from materials to the local market. References on these
consulting engineers (architects or clients if there is no projects from consulting engineers (architects or clients
consulting engineer) shall be submitted which may be if there is no consulting engineer) shall be submitted
verified by paying site visits. which may be verified by paying site visits.

(such as Quality Management System Certification, 2. Registration with relevant authorities in Hong Kong
Building Authority etc.) (such as Quality Management System Certification,
Not Applicable
Not Applicable
minimum experience with five years, out of which three At least one member of the top management shall have a
years shall be local experience, in managing a minimum experience with five years, out of which three
construction firm obtained in the past eight years. years shall be local experience, in managing a
construction firm obtained in the past eight years.
Please refer to General Notes (1), Item II in this
Appendix in respect of continuous capability building Please refer to General Notes (1), Item II in this
requirement. Appendix in respect of continuous capability building
requirement.
3.2 Technical Staff
3.2 Technical Staff
Professional, technical staff and work force experienced
in the supply of bituminous pavement materials and Professional, technical staff and work force experienced
construction of special bituminous surfacing. in the supply of bituminous pavement materials and
construction of special bituminous surfacing.
Work force shall include 2 to 3 nos. of skilled workers or
semi-skilled workers in the following trade under the Work force shall include 2 to 3 nos. of skilled workers or
Construction Workers Registration Ordinance: semi-skilled workers in the following trade under the
Construction Workers Registration Ordinance:
Asphalter (Road Construction)
Asphalter (Road Construction)
Please refer to General Notes (1), Item III in this
Appendix in respect of continuous capability building Please refer to General Notes (1), Item III in this
requirement for supervisory grade technical staff. Appendix in respect of continuous capability building
requirement for supervisory grade technical staff.

Adequate equipment required : Adequate equipment required :
(a) Mixing plant having at least four separate cold feed (a) Mixing plant having at least four separate cold feed
bins, four hot storage bins, a rotary drum dryer, bins, four hot storage bins, a rotary drum dryer,
temperature monitoring devices, and sampling temperature monitoring devices, and
devices for taking samples of hot aggregates, sampling devices for taking samples of hot
fillers and bitumen before mixing. aggregates, fillers and bitumen before mixing.
(b) Heating and storage tank fitted with circulating (b) Heating and storage tank fitted with circulating
pumps and thermostatically controlled heaters for pumps and thermostatically controlled heaters for
bitumen. bitumen.
(c) Heating and storage tank fitted with high shear (c) Heating and storage tank fitted with high shear
mixer for pre-blended type of modified binder. mixer for pre-blended type of modified binder.
(d) Insulated surge bin fitted with heating devices to (d) Insulated surge bin fitted with heating devices to
maintain temperature of the hot-mix. maintain temperature of the hot-mix.
(e) Measuring and weighing equipment for batching. (e) Measuring and weighing equipment for batching.
(f) Vehicles for transportation of bituminous (f) Vehicles for transportation of bituminous
materials. materials.
(g) Self-propelled paving machine with a screw auger (g) Self-propelled paving machine with a screw auger
and attached screed. and attached screed.
(h) Smooth three-wheeled steel-wheeled roller with a (h) Smooth three-wheeled steel-wheeled roller with a
mass of between 6 tonnes and 12 tonnes or mass of between 6 tonnes and 12 tonnes or
vibratory tandem steel-wheeled roller with an vibratory tandem steel-wheeled roller with an
effective mass of between 6 tonnes and 12 tonnes. effective mass of between 6 tonnes and 12 tonnes.
(i) Smooth pneumatic tyred-roller with a mass of (i) Smooth pneumatic tyred-roller with a mass of
between 12 tonnes and 25 tonnes, and with not less between 12 tonnes and 25 tonnes, and with not less
than seven overlapping wheels. than seven overlapping wheels.
(j) Tack coat spraying machine. (j) Tack coat spraying machine.
(k) Mechanical rammers, vibrating plates and hand- (k) Mechanical rammers, vibrating plates and hand-
tools for compaction work. tools for compaction work.
(l) Equipment for testing related to the production and (l) Equipment for testing related to the production and
laying of bituminous materials. laying of bituminous materials.


7. Others 7. Others
7.1 Safety: Please refer to General Notes (1), Item IV in 7.1 Safety: Please refer to General Notes (1), Item IV in
7.2 Integrity: Please refer to General Notes (1), Item V 7.2 Integrity: Please refer to General Notes (1), Item V
in this Appendix. in this Appendix.
7.3 Satisfactory technical information and method 7.3 Satisfactory technical information and method
statements. Works including the design mix and details statements. Works including the design mix and details
of composition of the materials shall comply with of composition of the materials shall comply with
Section 9 of General Specification for Civil Engineering Section 9 of General Specification for Civil Engineering
Works and/or other specified requirements. Other Works and/or other specified requirements. Other
equivalent national standards may be considered in lieu equivalent national standards may be considered in lieu
of the standards referred to in the Specifications. of the standards referred to in the Specifications
7.4 Acceptable manufacturing details of the bituminous 7.4 Acceptable manufacturing details of the bituminous
pavement material and quality control procedure during pavement material and quality control procedure during
manufacture. The applicant is also required to arrange manufacture. The applicant is also required to arrange
visits to inspect the facilities where the bituminous visits to inspect the facilities where the bituminous
pavement material is manufactured. Where such pavement material is manufactured. Where such
facilities are overseas or outside Hong Kong or where it facilities are overseas or outside Hong Kong or where it
is not practical to carry out an inspection, the applicant is not practical to carry out an inspection, the applicant
may be required to arrange for and provide an may be required to arrange for and provide an
independent report to Managing Department on these independent report to Managing Department on these
aspects at his own cost. aspects at his own cost.
7.5 Satisfactory site demonstration in construction of 7.5 Satisfactory site demonstration in construction of
special bituminous surfacing to demonstrate that the special bituminous surfacing to demonstrate that the
techniques and workmanship comply with the specified techniques and workmanship comply with the specified
requirements. requirements.
7.6 Proof of meeting building requirements and showing 7.6 Proof of meeting building requirements and showing
the proper land use of the bituminous material mixing the proper land use of the bituminous material mixing
plant from Buildings Department, Lands Department plant from Buildings Department, Lands Department and
and Planning Department are required. Planning Department are required.
7.7 The applicant shall also meet the environmental 7.7 The applicant shall also meet the environmental
requirements of Environmental Protection Department requirements of Environmental Protection Department


for the production of bituminous materials. for the production of bituminous materials.
7.8 Applicants are required to complete a standard 7.8 Applicants are required to complete a standard
questionnaire “Application for Inclusion in the List – questionnaire “Application for Inclusion in the List –
Questionnaire for Pre-application Vetting” Questionnaire for Pre-application Vetting”
(Questionnaire) and submit/ supplement all the necessary (Questionnaire) and submit/ supplement all the necessary
supporting documents in the application for inclusion supporting documents in the application for inclusion
into the category. The Questionnaire and “Guidelines into the category. The Questionnaire and “Guidelines
for Applicants in Completing the Questionnaire for Pre- for Applicants in Completing the Questionnaire for Pre-
application Vetting” (Guidelines) can be obtained from application Vetting” (Guidelines) can be obtained from
the website of Highways Department, the website of Highways Department,
http://www.hyd.gov.hk/en/public_forms/index.html. http://www.hyd.gov.hk/en/public_forms/index.html.
The “pre-application vetting mechanism” stated in The “pre-application vetting mechanism” stated in
paragraph 3.3.4 in this Handbook is applicable to this paragraph 3.3.4 in this Handbook is applicable to this
category with details stated in the Guidelines. category with details stated in the Guidelines.
7.9 Other additional requirements shall be referred to the 7.9 Other additional requirements shall be referred to
Guidelines and the Questionnaire. the Guidelines and the Questionnaire.

Works Category : 39. Survey of Government Land Pressure Receivers subject to Steam and Specialist Contractor
Air Pressure (but excluding Steam Boilers)
The scope of work in this category covers the carrying out of examination and test to ensure that the pressure vessels are in safe working order and comply
with the Boiler and Pressure Vessels Ordinance, Cap. 56.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to survey of land pressure receivers subject to steam and air pressure; and the surveys should preferably be of various types
and classes as mentioned in the Boilers and Pressure Vessels (Forms) Order; and
(2) The applicant shall provide documentary evidence to substantiate experience, such as copies of the Certificate of Fitness of the inspected vessels signed by a Qualified Boiler Inspector
or Qualified Air Receiver Inspector of the applicant, contract agreement, correspondence etc.; and
not be considered as a valid job reference; and
reference)
(4) The applicant shall submit at least 5 surveys, which were completed within the past 3 years for site inspection; and
(5) At least 2 of the above 5 surveys shall be completed within the past 12 months or at final stage; and
(6) The applicant shall be able to arrange joint site inspections for the government’s examination of the quality of the submitted job reference within normal office hours; and
(7) The scope of work for each of these 5 surveys shall cover the nature of works as described in the “Brief Scope of Category”.

(A) Employ adequate nos. of inspectors with adequate and relevant academic qualification and working experience.
- Qualified Boiler Inspector (QBI) appointed as Boiler Inspector under the Boilers and Pressure Vessels Ordinance Cap. 56 and holding the Certificate of Competency in respect of all
classes and types of boilers mentioned in the Boilers and Pressure Vessel (Forms) Order, with appointment not having been suspended - 1 no. (minimum); OR
- Qualified Air Receiver Inspector (QARI) appointed as Air Receiver Inspector under the Boilers and Pressure Vessels Ordinance Cap. 56 and holding the Certificate of Competency in
respect of all classes and types of air receiver mentioned in the Boilers and Pressure Vessels (Forms) Order, with appointment not having been suspended – 1 no. (minimum).
Documentary proof of the registration issued by the Boiler and Pressure Vessel Authority should be provided.

Direct Entry

Adequate nos. of calibrated testing instruments and equipment/tools for carrying out examination and test; valid calibration certificates for testing instruments/equipment shall be available.
Refer to Annex 29 for list of typical equipment, tools and testing instruments required.
Local office/workshop in Hong Kong SAR is required. Reasonably sized, suitably furnished office and workshop/storage areas. In general, the minimum office area shall be 20 m2 and the
5. Others
5.1 Integrity

Works Category : 40. Survey of Government Land Steam Boilers Specialist Contractor
The scope of work in this category covers the carrying out of examination and test to ensure that steam boilers are in safe working order and comply with the
Boiler and Pressure Vessels Ordinance.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to survey of land steam boilers; and the surveys should preferably be of various types and classes as mentioned in the Boilers
and Pressure Vessels (Forms) Order; and
(2) The applicant shall provide documentary evidence to substantiate experience, such as copies of the Certificate of Fitness of the inspected vessels signed by a Qualified Boiler Inspector
of the applicant, contract agreement, correspondence etc.; and
reference)
(4) The applicant shall submit at least 5 surveys, which were completed within the past 3 years for site inspection; and
(6) The applicant shall be able to arrange joint site inspections for the government’s examination of the quality and workmanship of the submitted job reference within normal office
hours.



- Qualified Boiler Inspector (QBI) appointed as Boiler Inspector under the Boilers and Pressure Vessels Ordinance Cap. 56 and holding the Certificate of Competency in respect of all
classes and types of boilers mentioned in the Boilers and Pressure Vessel (Forms) Order, with appointment not having been suspended – 1 no. (minimum)
Documentary proof of the registration issued by the Boiler and Pressure Vessel Authority should be provided.

Direct Entry

Refer Annex 30 for list of typical equipment, tools and testing instruments required.
5. Others
5.1 Integrity

Works Category : 41. Survey of Lifting Appliances and Lifting Gear Specialist Contractor
The scope of work in this category covers the carrying out of examination and test to ensure that lifting appliances and lifting gears are in safe working order
and comply with the Factories and Industrial Undertakings (Lifting Appliances and Lifting Gear) Regulations.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to survey of lifting appliances and lifting gear; and the surveys must be relevant and should preferably for various types of
lifting appliances and lifting gear. Both thorough examination and proof load test should be included in the job records. Also at least one survey should be for crane with automatic
safe load indicator.
(2) The applicant shall provide documentary evidence to substantiate experience, such as copies of the certificate of test and thorough examination issued after the survey in the approved
format under the Regulations signed by the Qualified Competent Examiner should be produced for inspection; and
(3) For job experience outside the HKSAR, evidences as stipulated in the guidance notes of the application form must also be produced to the satisfaction of the DEVB; otherwise, it
(4) The applicant shall have at least 5 surveys, which were completed within past 3 years for site inspection; and
(6) The applicant shall be able to arrange joint site inspections for the government’s examination of the quality of the submitted job reference within normal office hours; and

- Qualified Competent Examiner (QCE) for lifting appliances and lifting gear in accordance with the Factory and Industrial Undertakings (Lifting Appliances and Lifting Gear)
Regulations Cap 59J (hereinafter referred to as the Regulations). The Competent Examiner should be a Registered Professional Engineer registered under the Engineers Registration
Ordinance within the Mechanical or Marine discipline – 1 no. (minimum).
Documentary proof of the registration issued by the Engineers Registration Board should be provided.

Direct Entry

Refer Annex 31 for list of typical equipment, tools and testing instruments required.
Reasonably sized, suitably furnished office and workshop/storage areas. In general, the minimum office area shall be 20 m2 and the minimum workshop + storage area shall be 20 m2.
Documentary evidence (e.g. purchase/lease agreement) to prove right of use shall be produced.
5. Others
5.1 Integrity

Works Category : 42. Swimming Pool Water Treatment Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of equipment, piping and fittings for water treatment and distribution of
swimming pool such as water circulation, filtration, pH control, chemical treatment, sterilization, disinfection, leisure pool, hydrotherapy pool, pool lighting
installation, etc.
Eligible for the award of a maximum of two contracts/subcontracts provided that the total value of works in this category does not exceed $55 million


Not Applicable.
General (1) The applicant has satisfactorily completed, within the
(1) The applicant shall have adequate experience in the type HKSAR that satisfies the criteria stipulated in General
and size of work of the category, as stipulated under “Job Notes (3), awarded after inclusion in the category on
Reference for Inspection” below, with satisfactory probation; and
quality of work compatible with Government standard on
and in relation to swimming pool water treatment (2) This contract shall be direct contract, which was signed
installations; and between the applicant and the employer of the concerned
project; and
(2) The applicant shall have adequate experience in contract
management of work of the category, as stipulated under (3) All statutory forms such as the Work Completion (Part of
“Job Reference for Inspection” below, including solely an Installation) Certificate (i.e. Form WR1 (A)) shall be
and fully responsibility for carrying out contract issued under the name of the applicant; and
management and coordination with building contractor
and other building services / electrical and mechanical (4) The scope of work for this contract must fulfill all the
contractors; and following requirements:
(3) For job experience outside the HKSAR, evidences as (a) Contract value of the work related to the category
stipulated in the guidance notes of the application form under application for confirmation exceeds $8M;
must also be produced to the satisfaction of the DEVB; and
otherwise, it will not be considered as a valid job
reference. (b) The contract shall cover major scope of works as
Job Reference for Inspection (In addition to the above, every
job submitted by the applicant shall fulfill all requirements set (c) If the contract is a term contract, all of the above
out below; otherwise, it will not be considered as a valid job requirements 4 (a) to 4 (b) shall be fulfilled in one
reference) works order.
(4) The applicant shall submit at least 2 contracts, which (5) Subcontract will not be considered as valid job reference
were completed within the past 3 years for site unless it can satisfy all of the following requirements, in
inspection; and addition to all the above stated requirements:
(5) At least one of the above 2 contracts shall be completed (a) The subcontract shall include all the relevant work
within the past 12 months or at final stage; and as described under the “Brief Scope of Category”
signed between the applicant and the employer of the (b) The applicant shall have undertaken the full scope
concerned project; and of work covered in the subcontract, solely and
(7) All statutory forms such as the Work Completion (Part of
an Installation) Certificate (i.e. Form WR1 (A)) shall be


(8) The applicant shall be able to arrange joint site (c) The party by which the applicant is awarded with
inspections for the government’s examination of the the subcontract, and the upstream contracting
quality and workmanship of the submitted job reference parties up to and including the main contractor,
within normal office hours; and which is the company awarded with the direct
(9) The scope of work for each of these 2 contracts must all shall not be the swimming pool water treatment
fulfill all of the following requirements: installation contractor for the project work.
(a) Contract value of the work related to the category Apart from the above experience requirement, other criteria
under application for inclusion exceeds $16M; should be the same as that required for “A. Entry on Probation”.
and
(b) The contract shall cover major scope of works as

described in the “Brief Scope of Category”.
(10) Subcontract will not be considered as valid job reference
unless it can satisfy all of the following requirements, in
addition to all the above stated requirements:
(a) The subcontract shall include all the relevant work
as described under the “Brief Scope of Category”
(b) The applicant shall have undertaken the full scope
of work covered in the subcontract, solely and
(c) The party by which the applicant is awarded with
the subcontract, and the upstream contracting
parties up to and including the main contractor,
all shall not be the swimming pool water treatment
installation contractor for the project work; and
(d) The applicant must present documentary evidence
to prove the above requirements are met and such
evidence must be substantiated by all the relevant
upstream contracting parties as mentioned at (c)
above including letters from them, which must be
signed by their authorized signatories to confirm
that the applicant has met the above requirements
(e) Notwithstanding the above, the Managing
Department may seek references on the applicant’s
technical and managerial capabilities from the
employer, the relevant parties of the concerned
project and other sources or confirmation on the
authenticity of the proof provided by the applicant
from the relevant parties of the concerned project.

The applicant shall be a Registered Electrical Contractor
registered under Electricity Ordinance, Cap. 406 and
have full time technical staff (meeting the relevant
statutory registration requirement) of number not less
than that described in the Section “Management and
Staff Employment”.
minimum experience of 5 years, out of which 3 years
shall be local experience, in managing an electrical or
mechanical engineering services company obtained in
the past eight years. Please refer to General Notes (1),
Item II in this Appendix in respect of continuous
3.2 Technical Staff (See Annex 1 for definition of Staff
Qualification)
Employ at least 1 no. qualified engineer (Mechanical and
Building Services discipline) with adequate and relevant
professional and project management experience. Please
refer to General Notes (1), Item III in this Appendix in
respect of continuous capability building requirement.
Employ adequate nos. of technicians, site supervisors
and draftsmen with adequate and relevant academic
qualification and working experience. Please refer to
General Notes (1), Item III in this Appendix in respect of
Technician 2 nos.
Draftsman 1 no.


Employ adequate nos. of Qualified Workers in the

following trades/ trade divisions:
(A) Plumber
(B) Electrician
(C) Welder
(D) Staff meeting the following statutory registration

requirements:
- Registered Electrical Worker (REW) registered

under Electricity Ordinance, Cap. 406. Grade B2
– 1 no. (minimum)
- Licensed Plumber (LP) registered under
Waterworks Ordinance, Cap. 102 – 1 no.
(minimum)
The LP, REW and QW can be the Qualified Engineer,
Technical Support Staff or Qualified Worker.
Adequate modern drafting and computing facilities;
minimum 1 no. CAD terminal.
Adequate nos. of calibrated testing instruments and
equipment/tools for carrying out installation, operation,
maintenance and testing/commissioning services; valid
calibration certificates for testing instruments shall be
available. Refer to Annex 32 for list of typical


Local office/workshop in Hong Kong SAR is required.
Reasonably sized, suitably furnished office and
workshop/storage areas. In general, the minimum office
area shall be 40 m2 and the minimum workshop + storage
area shall be 30 m2. Documentary evidence (e.g.
purchase/lease agreement) to prove right of use shall be
produced.
6. Others
6.1 Safety
Please refer to General Notes (1), Item IV in this
Appendix.
6.2 Integrity
Please refer to General Notes (1), Item V in this
Appendix.

Works Category : 43. Transparent Panels for Noise Barriers on Highways Supplier
The scope of work in this category covers the supply of transparent panels for noise barriers on highways. The materials shall be of suitable mechanical and
acoustic properties, and proven performance and durability. They shall functionally and aesthetically fit with the structural system of the noise barriers, and
shall also perform safely in fire and traffic accidents and satisfactorily in glare reduction.

Direct Entry
1. Experience
The transparent panels shall have successfully performed in at least 1 project for noise barriers on highways or similar works in the past 3 years, each with a value of $0.8M or more.
References on these projects from consulting engineer (architects or clients if there is no consulting engineer) must be submitted, which may be verified by site visits.
2. Registration with relevant authorities in Hong Kong (such as ISO9000 Certification, Building Authority etc.)
The transparent panels shall be manufactured under a quality management system certified by an internationally recognized certifying body.

At least one top management with one year of relevant technical and managerial experience in the design and construction of noise barriers on highways is required. Documentary proof
shall be submitted to demonstrate sufficient commitment for control of the works. Please refer to General Notes (1), Item II in this Appendix in respect of continuous capability building
requirement.
3.2 Technical Staff
Professional and technical staff experienced in the design and construction of noise barriers on highways are required. All the named technical staff shall be under full time employment.
Proof of valid employment, e.g., employment contracts, MPF records, etc. shall be submitted. Please refer to General Notes (1), Item III in this Appendix in respect of continuous
Not Applicable
Not Applicable
7. Others
7.2 Satisfactory technical information, including testing reports from independent organizations, shall be submitted, to demonstrate that the transparent panels and their any accessories shall
meet the principles and considerations given in the Bridges & Structures Division Practice Note No. BSTR/PN/003 – Noise Barriers with Transparent Panels, issued by the Highways
Department or equivalent international standards.

Direct Entry
7.3 The materials to be approved shall possess acceptable application history of at least 5 years in weather conditions similar to Hong Kong climate, and be subject to a 10-year performance
warranty.
from the website, http://www.hyd.gov.hk/en/public_forms/index.html.
Note: The Bridges & Structures Division Practice Note No. BSTR/PN/003 referred to in item 7.2 above is available on Highways Department’s website at http://www.hyd.gov.hk.

Works Category : 44. Turn-key Interior Design and Fitting-out Works Specialist Contractor
Group I : Eligible to be awarded one contract at any one time as a Trade Test.
Group II : Eligible to be awarded more than one contract at any one time.
The scope of work in this category covers the design and fitting-out works for Government department/bureaux.

Group I Group II
General
quality of work compatible with Government standard on and in relation to Turn-key
Interior Design & Fitting-out Works; and
and fully responsible for carrying out contract management and, coordination with
contractors; and
Job Reference for Inspection (In addition to the above, every job submitted by the
applicant shall fulfill all requirements set out below; otherwise, it will not be considered
as a valid job reference)
(4) The applicant shall submit at least 3 contracts with contract value of the works related
to Turn-key Interior Design & Fitting-out Works in each contract exceeded $8M and
were completed within the past 5 years for site inspection. Besides, one of the
contract in the submission shall have a contract value of the works related to the Turn-
key Interior Design & Fitting-out Works exceeded $24M; and
at final stage; and
(8) The scope of works for the submitted contracts shall cover major scope of works in
the Turn-key Interior Design & Fitting-out Works; and

Group I Group II
(d) The aforementioned main contractor shall not be the Turn-key Interior Design &
Fitting-out Works contractor for the project work; and
relevant parties of the concerned project and other sources or confirmation on the
authenticity of the proof provided by the applicant from the relevant parties of
the concerned project.

The applicant must be an approved contractor under Buildings category in the List of
Approved Contractors for Public Works.
Not Applicable

Group I Group II
3.2 Technical Staff
At least one qualified Architectural and Interior Designer (AP - List of Architects); one
qualified Structural Engineer (RSE); one qualified Building Services Engineer (CIBSE or
HKIE (BS)); one qualified contract manager with at least ten years’ management
experience in construction industry (Ordinary Certificate in Building Studies); four full
time site supervisory staffs in both building and building services/ electrical and
mechanical discipline each with at least five years’ experience in construction industry.
Not Applicable
A design office and workshop suitable for the nature of work. Local office and local
workshop in Hong Kong are required.
Not Applicable
7. Others
7.3 Supporting facilities from suppliers/manufacturers/agents
7.4 Regular subcontractors

Group I Group II
1. Experience
(1) Satisfactory completion of the Trade Test (satisfactory completion of at least one
relevant contract executed in HKSAR or 1st tier sub-contract under this Works Category
within the past 5 years, after inclusion in Group I, and of value above $16M) and have
good result in the full Performance Assessment
(2) Sub-contract will not be considered as valid job reference unless it can satisfy all of the
(a) The sub-contract shall include all the relevant work as described under the “Brief
(b) The applicant shall have undertaken the full scope of work covered in the sub-
contract, solely and fully, including contract management; and
(c) The sub-contract shall be signed between the applicant and the main contractor
(d) The aforementioned main contractor shall not be the Turn-key Interior Design &
Fitting-out Works contractor for the project work; and
contractor including a letter which must be signed by the main contractor’s
authorized signatories to confirm that the applicant has met the above
requirements in the sub-contract; and
parties of the concerned project and other sources or confirmation on the
authenticity of the proof provided by the applicant from the relevant parties of the
concerned project.

The applicant must be an approved contractor under Buildings category in the List of
Approved Contractors for Public Works.

Group I Group II
Not Applicable
3.2 Technical Staff
At least one qualified Architectural and Interior Designer (AP - List of Architects); one
qualified Structural Engineer (RSE); one qualified Building Services Engineer (CIBSE
or HKIE (BS)); one qualified contract manager with at least ten years’ management
experience in construction industry (Ordinary Certificate in Building Studies); four full
time site supervisory staffs in both building and building services / electrical and
mechanical discipline each with at least five years’ experience in construction industry.
Not Applicable
A design office and workshop suitable for the nature of work. Local office and local
workshop in Hong Kong are required.
Not Applicable
7. Others
7.3 Supporting facilities from suppliers/ manufacturers/agents
7.4 Regular subcontractors

Works Category : 45. Uninterruptible Power Supply Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of static-type, uninterruptible power supply (UPS) systems together with
the associated batteries, control and monitoring accessories, which are mainly deployed to support computer operations.

Direct Entry
1. Experience
General
compatible with Government standard on and in relation to uninterruptible power supply installations; and
reference)
and
(b) The UPS rating in at least one of the above 2 contracts should be of 80kVA or above; and
(c) The contract shall cover the nature of works as described in the “Brief Scope of Category”.
with the direct contract by the employer of the concerned project, all shall not be the uninterruptible power supply system contractor for the project work; and

Direct Entry

Technician 1 no.
Draftsman 1 no.

(A) Electronic Equipment Mechanic (Construction Work)
Skilled Electronic Equipment Mechanic (Construction Work) 20 marks
Semi-skilled Electronic Equipment Mechanic (Construction Work) 15 marks
- Registered Electrical Worker (REW) registered under Electricity Ordinance, Cap. 406. Grade C2 – 1 no. (minimum)

Direct Entry

Adequate nos. of calibrated testing instruments and equipment/tools for carrying out installation, operation, maintenance and testing/commissioning services; valid calibration certificates for
testing instruments shall be available. Refer Annex 33 for list of typical equipment/tools and testing instruments required.
6. Others
6.1 Safety

6.2 Integrity
Preferably be an authorized agent in HKSAR for essential equipment. Documentary evidence such as authorized agency agreements shall be available.
Technical support from principal(s) of relevant agency is desirable. Applicant to demonstrate scope and extent (such as design, backup on installation / maintenance etc.) of support.

Works Category : 46. Video Electronics Installation Specialist Contractor
The scope of work in this category covers the supply, installation and maintenance of video cassette recorder, video camera, monitor etc. commonly used for
closed circuit TV system, video recording/display system and visual system at different venues.


past 12 months, at least relevant contract executed in
Government standard on and in relation to video (2) This contract shall be direct contract, which was signed Government standard on and in relation to video
project; and
works order.
completed within the past 12 months or at final stage. of work covered in the subcontract, solely and completed within the past 12 months or at final stage;
fully, including contract management; and and
signed between the applicant and the employer of the (c) The party by which the applicant is awarded with (6) These 2 contracts shall be direct contract, which was
concerned project; and the subcontract, and the upstream contracting signed between the applicant and the employer of the
parties up to and including the main contractor, concerned project; and
(7) The applicant shall be able to arrange joint site which is the company awarded with the direct
inspections for the government’s examination of the contract by the employer of the concerned project, (7) The applicant shall be able to arrange joint site
quality and workmanship of the submitted job all shall not be the video electronics installation inspections for the government’s examination of the
reference within normal office hours; and contractor for the project work. quality and workmanship of the submitted job

contracting parties up to and including the contracting parties up to and including the
main contractor, which is the company main contractor, which is the company
awarded with the direct contract by the awarded with the direct contract by the
employer of the concerned project, all shall not employer of the concerned project, all shall not
be the video electronics installation contractor be the video electronics installation contractor
for the project work; and for the project work; and
met and such evidence must be substantiated by met and such evidence must be substantiated by
all the relevant upstream contracting parties as all the relevant upstream contracting parties as
mentioned at (c) above including letters from mentioned at (c) above including letters from
them, which must be signed by their authorized them, which must be signed by their authorized
signatories to confirm that the applicant has signatories to confirm that the applicant has
met the above requirements in the subcontract; met the above requirements in the subcontract;
and and


The applicant shall be a Licensed Security Company The applicant shall be a Licensed Security Company
engaged in Type III Security Work under Security and engaged in Type III Security Work under Security and
Guarding Services Ordinance, Cap. 460 and have full time Guarding Services Ordinance, Cap. 460 and have full time
technical staff (meeting the relevant statutory registration technical staff (meeting the relevant statutory registration
requirement) of number not less than that described in the requirement) of number not less than that described in the
Section “Management and Staff Employment”. Section “Management and Staff Employment”.


Employ adequate nos. Qualified Workers in the following Employ adequate nos. of Qualified Workers in the
trades/ trade divisions: following trades/ trade divisions:
(A) Electronic Equipment Mechanic (Construction Work) (A) Electronics Equipment Mechanic (Construction Work)
- Security Personnel (SP) holding Security Personnel - Security Personnel (SP) holding Security Personnel
Permit (Cat. D) issued under Security and Guarding Permit (Cat. D) issued under Security and Guarding
Services Ordinance, Cap 460 – 1 no. (minimum) Services Ordinance, Cap 460 – 1 no. (minimum)
The SP can be the Technical Support Staff or Qualified The SP can be the Technical Support Staff or Qualified
Worker. Worker.
4. Plant and Equipment(See General Notes (4)) 4. Plant and Equipment (See General Notes (4))
equipment/tools for carrying out installation, operation, equipment/tools for carrying out installation, operation,
maintenance and testing/commissioning services; valid maintenance and testing/commissioning services; valid
available. Refer to Annex 34 for list of typical available. Refer Annex 34 for list of typical
equipment/tools and testing instruments required. equipment/tools and testing instruments required.
produced. produced.


6. Others 6. Others
Please refer to General Notes (1), Item V of General Note Please refer to General Notes (1), Item V in this Appendix.
in this Appendix.
6.3 Authorized Agency Preferably be an authorized agent in HKSAR for essential
Preferably be an authorized agent in HKSAR for essential equipment. Documentary evidence such as authorized
equipment. Documentary evidence such as authorized agency agreements shall be available.
6.4 Support from Principal Technical support from principal(s) of relevant agency is
Technical support from principal(s) of relevant agency is desirable. Applicant to demonstrate scope and extent (such
desirable. Applicant to demonstrate scope and extent (such as design, backup on installation / maintenance etc.) of
as design, backup on installation / maintenance etc.) of support.
support.

ANNEX 1 Staff Qualification for Specific Categories
Works Categories: Air-conditioning Installation

Audio Electronics Installation
Broadcast Reception Installation
Burglar Alarm and Security Installation
Catering Equipment Installation
Diesel Generator Installation
Electrical and Mechanical Installation for Sewage Treatment &
Screening Plant
Electrical Installation
Electronic Timing and Display Installation
Fire Service Installation
Fountain Installation
Industrial Type Electrical Installation
Lift, Escalator and Passenger Conveyor Installation
Liquefied Petroleum Gas Installation
Low Voltage Cubicle Switchboard Installation
Mechanical Handling and Lifting Installation
Mechanical Plant and Equipment Installation
Plumbing Installation
Radio Electronics Installation
Steam and Compressed Air Installation
Survey of Government Land Pressure Receivers subject to
Steam and Air Pressure (but excluding Steam Boilers)
Survey of Government Land Steam Boilers
Survey of Lifting Appliances and Lifting Gear
Swimming Pool Water Treatment Installation
Uninterruptible Power Supply Installation
Video Electronics Installation
Annex 1 to Appendix 3C Page 1 of 3

Staff Qualification for Specific Categories Annex 1 to Appendix 3C
1. To count as staff, individuals must be full time 1 employees of the applicant and must be resident
Hong Kong ID Card holders or Works Visa holders, and the practice must constitute their principal
source of employment. Documentary evidence such as self-declaration letter specifying full-time
employment with the company, bank payroll statement, Mandatory Provident Fund (MPF)
contribution record, Employer’s Return of Remuneration and Pensions to Inland Revenue
Department, etc. shall be produced.
2. The Qualified Engineer shall be

• a corporate member of the Hong Kong Institution of Engineers elected after 5 December 1975
with discipline relevant to category under application and with a minimum 2 years post-
qualification experience in HKSAR, or
• a Registered Professional Engineer (Engineer Registration Ordinance, Cap. 409) with
discipline relevant to category under application.
3. The Technician shall have

• an ordinary diploma or ordinary certificate of discipline relevant to the category under
application from a Hong Kong polytechnic, technical college or technical institute, or
equivalent, with 5 years’ relevant experience in HKSAR, or
• a higher diploma or higher certificate of discipline relevant to the category under application
from a Hong Kong polytechnic, technical college or technical institute, or equivalent, with 3
years’ relevant experience in HKSAR, or
• a degree of discipline relevant to the category under application from a Hong Kong university,
or equivalent, with 2 years’ relevant experience in HKSAR.
The Site Supervisor shall have a minimum of 2 years’ relevant experience in site supervision in
HKSAR.
The Draftsman shall have relevant experience in drawing preparation and use of CAD terminal.
4. The Draftsman can be the Qualified Engineer, Technician or Site supervisor, but in that case, the
manpower resource for the respective rank of staff shall be increased accordingly, i.e. the total nos.
of technical support staff required shall remain the same.
5. Contractors should note that after enactment of the Construction Workers Registration Ordinance
(Cap. 583) (CWRO), only registered construction workers (including registered general workers) are
allowed to carry out construction works on construction sites. Moreover, under the “designated
workers for designated skills” requirement, skilled works on construction sites must be carried out
by registered skilled workers or registered semi-skilled workers. Unless otherwise indicated,
registered skilled workers or registered semi-skilled workers in the appropriate trades/trade divisions
enlisted under Schedule 1 of CWRO are acceptable as equivalent to the previous requirements of
Qualified Workers for assessment of contractor's application for admission and retention in the
Specialist List. The workers as submitted in the contractor’s application for admission should have
passed the relevant trade tests with certificates issued by VTC 2, CITA/CIC 3, and registered under
CWRO before carrying out construction works on construction sites.
1
“Full-time” employment means employment under a “continuous contract” as defined by the EO. According to the Ordinance,
an employee is regarded as being employed under a continuous contract if he or she works continuously for the same
employer for four weeks or more, with at least 18 hours in each week.
2
VTC means Vocational Training Council.
3
CIC means Construction Industry Council. The former CITA (Construction Industry Training Authority) was already
amalgamated into the CIC in January 2008, after which the former functions of CITA on training and trade testing have been
taken over by the Construction Industry Training Board (CITB) under CIC, operating with the new name of ‘Construction
Staff Qualification for Specific Categories Annex 1 to Appendix 3C
6. The policy on the employment of registered skilled workers and registered semi-skilled workers in
public works contracts has been set out in DEVB TC(W) No. 4/2017 – Employment of Skilled
Workers in Public Works Contracts and its subsequent revisions which shall prevail in case of
deviations.
7. Qualified welder means a welder who has certificate issued by a testing laboratory within the past 6
months conforming to the following standards for pipe weld:
• BS EN 287 or other equivalent international standards for the approval testing of welders for
fusion welding, or
• BS EN 288 or other equivalent international standards for welding procedures of metallic
materials.
Industry Council Training Academy’ (CICTA). All existing training and trade test certificates issued by CITA would remain
valid.
ANNEX 2 List of Tools / Equipment and Testing Instruments for Air-

conditioning Installation Category
Item of Assessment Minimum Requirements Remarks

Group I Group II
Flow meters & pressure gauges 1 2
Sound level meter 1 1 Sound level meter to BSEN
61672 (2013)
Hydraulic pump with pressure 1 2
gauges
Hot wire anemometer 1 2
Vane type anemometer 1 2
Flow measuring hood 1 2
Welding machine equipment 1 2
Portable threading machine 1 2
Drilling machine 1 2
Manometers 1 2 Inclined manometer
1 2 Combined inclined and vertical
manometer 0-2000 Pa
1 2 Electronic direct reading
manometer
1 2 Pitot tubes 450mm and
1200mm long
Tachometer 1 2
Smoke generator 1 2
Dial gauges 1 2 With appropriate scales
Refrigerant leakage tester 1 1
Digital thermometer # 1 2
Digital humidity meter # 1 2
Multi-tester (AVO) 1 2
Insulation tester 1 2
Clamp-on ammeter 1 2

List of Tools / Equipment and Testing Instruments for Air-conditioning Installation Category Annex 2 to Appendix 3C

Group I Group II
Proof of regular calibration (for Required Required At least yearly and as requested
instrument only), e.g. calibration when the testing instrument is
certificates issued by HOKLAS in doubt
accredited laboratory or equivalent
institutions
# Subject to having the suitable testing functions, one multi-function tester/meter may be provided in
place of one or more of the testing instruments specified.
Note : All equipment should be verified that they are all at sight or with other form of proof of ownership.

ANNEX 3 List of Tools / Equipment and Testing Instruments for Audio
Electronics Installation Category

Digital voltage meter (DVM) 1
Oscilloscope 1
Signal generator 1
Sound level meter 1
Audio signal level meter 1
Distortion analyzer 1
Test / Maintenance workbench 1 Suitably equipped with test

equipment, power sockets,
inspection lamp, etc. for ready
set-up, testing, fine-tuning and
maintenance of equipment
Proof of regular calibration (for Required At least yearly and as

instrument only), e.g. calibration requested when the instrument
certificates issued by HOKLAS is in doubt
accredited laboratory or
equivalent institutions

ANNEX 4 List of Tools / Equipment and Testing Instruments for
Broadcast Reception Installation Category
Multi-tester (AVO) 1
Insulation tester 1
Electric drill 1
Basic workshop tools (electronics) 1 lot
Basic testing instruments 1 lot

(electronics)

instrument only) , e.g. calibration requested when the testing
certificates issued by HOKLAS instrument is in doubt

Burglar Alarm and Security Installation Category
Insulation tester 1
Electric drill 1
Basic workshop tools (electronics) 1 lot

(electronics)

instrument only), e.g. calibration requested when the testing

ANNEX 6 List of Tools / Equipment and Testing Instruments for Catering

Equipment Installation Category
Welding equipment 1
Insulation tester 1
Temperature gauge 1
Hydraulic pump with pressure 1

gauge
Detect gas leakage gauge 1
Proof of regular calibration (for Required At least yearly and as requested

instrument only), e.g. calibration when the instrument is in doubt
certificates issued by the Hong
Kong Laboratory Accreditation
Scheme (HOKLAS) accredited
laboratory or equivalent institutions


Diesel Generator Installation Category

Continuity tester # 2
Earth loop impedance tester # 2
Earth resistance tester # 2
Insulation tester # 2
Clamp-on ammeter 2
Sound level meter 2
Tachometer 2
Phase sequence tester 2
Resistor bank 1
Hydraulic tester 2

# Subject to having the suitable testing functions, one multi-function tester/meter may be provided in place
of one or more of the testing instruments specified.

ANNEX 8 List of Tools / Equipment and Testing Instruments for Electrical

& Mechanical Installation for Sewage Treatment and Screening
Plant Category
Welding equipment 2
Drilling machine 1
Metal cutting machine 1
Lathe 1
Milling machine 1
Shaping machine 1
Abrasive wheels 1
Portable threading machine 1
Bending machine 1
Portable generator 1
Sewage/sludge pump 1
Gas detectors 2 Capable of measuring oxygen
deficiency, explosive gas,
hydrogen sulphide and carbon
monoxide
Non-spark hand tools 1 set The tools should be safe for
working in gas risk areas
Portable air blower 1 Complete with portable air
duct and the transformation
piece
Metal scaffolding 1 set The assembly should include
the platforms, accessing
ladders and guard railings
Non-contact thermometer 1
Sound level meter 1

List of Tools / Equipment and Testing Instruments for Electrical & Mechanical Installation Annex 8 to Appendix 3C
for Sewage Treatment and Screening Plant Category
Paint thickness gauge 1
Portable air flow meter 1

Insulation tester # 1 500 V D.C. injection voltage
Clamp-on ammeter 2
Voltmeter # 2
Conduit bender 1
Conduit cutter 1
RCD tester # 1
Lux meter 1
D.C. voltage and current injection 1 For the calibration of
set instruments (0 - 1 A D.C. and 0
- 10 V D.C.)
Hydraulic compression tool 1 set Capable of jointing power
supply cable to the cable lugs


Electrical Installation Category
Conduit bender 1 2 3
Conduit cutter 1 2 3
Manual conduit threading tool 1 2 3
Continuity tester # 1 2 3
Earth loop impedance tester # 1 2 3
Earth resistance tester # 1 2 3
Insulation tester # 1 2 3
Multi-tester (AVO) 1 2 3
Clamp-on ammeter 1 2 3
RCD tester # 1 1 2
Ductor tester - - 1
Electric hammer drill 1 2 3
Lux meter 1 1 1
Cable jointer May be 1 1

exempted
Metal cutter May be 1 1

exempted
Proof of regular calibration (for Required Required Required At least yearly and as
instrument only), e.g. calibration requested when the

ANNEX 10 List of Tools / Equipment and Testing Instruments for Electronic
Timing and Display Installation Category
Digital Voltage Meter (DVM) 1

Oscilloscope 1
Computer set or suitable test set for 1
programming of display patterns
Light meter 1
Test/Maintenance workbench 1 Suitably equipped with test
certificates issued by HOKLAS

ANNEX 12 Standard Requirements for Waterworks Installations
for Fabrication of Unfired Pressure Vessels Category
Contractors must be capable of fabricating manufacturing unfired pressure vessels (both vertical and
horizontal) to BS 5500 and the requirements as detailed below:
Category of construction : 1& 2
Diameter of vessels: up to 3500mm
Materials of construction : steel
Working pressure of vessel : 1600 kPa
Hydraulic test pressure : 2400 kPa
Applications: salt water or potable water
Construction shall also provide accessories associated with the vessel, including:
Pressure relief valve
Anti-vacuum valve
Water level gauges, pressure gauges & isolating valves
Level electrodes and controller

ANNEX 13 List of Tools / Equipment and Testing Instruments for Fire

Service Installation Category
Group I Group II
Hydrant flow & pressure gauges 1 1 Calibration is permanent,

components to be replaced if
damaged
Level measure meter (Gas system) 1 1
Hydraulic pump with pressure 1 2

gauge
Smoke detector tester 1 2
Welding equipment 1 2
Portable threading machine 1 2
Bending machine 1 2
Proof of regular calibration (for Required Required At least yearly and as requested
institutions


Fountain Installation Category
Flow meters & pressure gauges 1

gauges
Welding equipment 1
Portable threading machine 1
Bending machine 1
Drilling machine 1
Conduit bender 1
Conduit cutter 1
Tachometer 1
Clamp-on ammeter 1
Earth fault loop impedance tester # 1

institutions

ANNEX 15 Minimum Personnel Requirements for Ground Investigation

Field Work Category
Position(a) & (b) Academic Qualification Experience No.

GP I GP II
Site Agent None 10 years in civil or geotechnical 1 1
engineering, of which at least 5 must
be in ground investigation
Ordinary Certificate in civil 7 years in civil or geotechnical
engineering or equivalent engineering, of which at least 5 must
be in ground investigation
Geotechnical Degree(c) in civil engineering, 5 years of post-qualification 1 2
Engineer/ geotechnical engineering or a experience in civil or geotechnical
Engineering geology-related subject engineering, of which at least 3 must
Geologist be in ground investigation
Logging Geologist Degree(c) in geology(d) or a 3 years of post-qualification 1 2

cognate subject(e) in which at experience in ground investigation
least 50% of the course content which must include logging of
comprises geological based samples(f)
subjects(g)
Degree(c) in geology(d) or a 5 years of post-qualification
cognate subject(e) in which at experience in ground investigation
least 25% of the course content which must include logging of
comprises geological based samples(f)
subjects(g)
Geotechnical Field Ordinary Certificate in civil 2 years in ground investigation 1 2
Technician engineering or equivalent
Relevant Degree(c) 1 year in ground investigation
Ground Trade Test Certificate for Ground Investigation Operator issued by the 4 10
Investigation Construction Industry Council or the former Construction Industry
Driller (Registered Training Authority
skilled worker)
Safety Officer Registered in accordance with 3 years in ground investigation 1(h) 1
the FIU(SO&SS)R
Safety Supervisor - 0 1
Notes: (a) All except Ground Investigation Drillers must be able to speak English and understand instructions
written in English.
(b) An individual may fill only one of the positions at any one time.
(c) The degree shall be up to degree level as assessed by the Hong Kong Council for Academic Accreditation
(HKCAA).
(d) Examples of degree in geology: Applied Geology, Earth Science, Engineering Geology, Geological
Sciences, Geology, Mining Geology and Petroleum Geology.
(e) Examples of cognate subjects: Environmental Science, Geography, Geomorphology, Geotechnical
Engineering, Mining and Soil Science.
(f) Applicants will be required to submit documentary evidence in support of their core logging experience
(e.g. submission of logs that the applicant has produced, including a brief statement of 2-3 pages
explaining the reasons for submitting those particular logs).

Minimum Personnel Requirements for Ground Investigation Field Work Category Annex 15 to Appendix 3C
(g) Examples of geological based subjects: Applied Geology, Earth Dynamics, Earth Systems,
Economic/Mining Geology, Engineering Geology, Environmental Geology, Field Camp/Field
School/Field Mapping, Geochemistry, Geomorphology, Earth/Surficial Processes,
Landform/Quaternary Geology, Geophysics, Historical Geology, Hydrogeology, Mineralogy,
Palaeontology, Petroleum Geology, Petrology (Igneous, Metamorphic & Sedimentary), Physical
Geology, Physics of the Earth, Plate Tectonics, Regional Geology, Rock Mechanics,
Sedimentology/Principles of Sedimentation, Stratigraphy, Soil Mechanics and Structural Geology. An
applicant who holds a degree in geology or a cognate subject in which at least 25% but less than 50% of
the course content comprises geological based subjects is considered to have topped up the geological
based subjects in his or her degree to at least 50% if he or she has obtained a recognized relevant post-
degree qualification (e.g. Post-graduate Diploma in Earth Sciences at the University of Hong Kong or
equivalent).
(h) The Safety Officer may be working part-time only for a Group I contractor.

ANNEX 16 Minimum Equipment Requirements for Ground Investigation

Field Work Category
Number/Length/Set
Equipment Group I Group II
Water Pumps 4 10
Set of equipment for air-foam drilling 0 2
NW & HW 160m for each size 600m for each size
Casings
PW and SW 40m for each size 100m for each size

NW 160m 600m
Drilling
rods
HW 40m 100m
U100/U76 4 10
samplers
Piston 2 2
Soil
Mazier 4 10
Double tube (TNW & T2-101) 4 each 10 each
samplers
Rock
Triple tube (NMLC, HMLC & 1 each 2 each

4C-MLC)
SPT 4 10
Equipment for insitu tests
Rising, falling and constant head 1 each 2 each

permeability, packer (water
absorption) and vane shear
Dipmeters 4 10
GCO probe 2 4


Industrial Type Electrical Installation Category

Conduit bender 2
Conduit cutter 2
RCD tester # 1
Ductor tester 1
Applied voltage tester 1
Cable jointer 1
HV insulator tester 1
Injection tester 1
Clamp-on ammeter 2

institutions

ANNEX 18 Technical Requirement for Landslip Preventive/Remedial

Works to Slopes/Retaining Wall Category
1. Qualification Criteria
1.1. The applicant must be registered in the list of Registered Specialist Contractor for Site Formation
Works of the Buildings Department.
1.2. The applicant must have obtained either ISO Certification or if they do not have suitable
works contracts in hand for certification auditing, a confirmation from a certification body
accredited by the HKAS to issue the Certification or considered to be equivalent by the DEVB that
a full review of the Quality Manual of their Hong Kong office has been carried out in Hong Kong
by the certification body and such Quality Manual has been confirmed by the certification body
as being in conformity with the requirements of the relevant ISO standard. The scope of
certification should include landslip preventive/remedial works to slopes/retaining walls.
1.3. The applicant must achieve the minimum passing scores for the aggregate mark of the assessment
and for individual or combined sections of the assessment as detailed in Section 2 below in the
following attributes:
1.3.1. Experience and performance on Government contracts (see Notes 1 and 2 of section 2.1 below) on Roads
& Drainage and/or Site Formation categories (Group B or above) in the past 3 years.
1.3.2. Experience and performance on landslip preventive, remedial or formation works of slopes
and/or retaining walls in areas immediately behind occupied structures, adjacent to railway
lines or public roads in the past 3 years.
1.3.3. Experience, availability and organization of managerial, professional, technical and site
safety staff with particular emphasis on Landslip Preventive Measures (LPM) type works.
1.3.4. Availability of plant and equipment for LPM type works.

Technical Requirement for Landslip Preventive/Remedial Works to Slopes/Retaining Wall Category Annex 18 to Appendix 3C
2. Method of Assessment
2.1. Experience on Government contracts(see Note 1) under the Roads & Drainage and/or Site Formation
categories in the past 3 years
Criteria Marks
Applicant is not on the Approved List under R&D or SF categories 0
Applicant is on the Approved List under R&D or SF categories at Group B 2
Applicant is on the Approved List under R&D or SF categories at Group C 5
(see Note 2)
Between 1 and 5 no. performance reports in either or both
Add 2
categories
Between 6 and 8 no. performance reports(see Note 2) in either or both
Add 4
categories
Between 9 and 12 no. performance reports(see Note 2) in either of both
categories Add 6
More than 12 performance reports in either or both categories Add 10
Maximum score 15
marks
Notes:
(1) Government contracts that have been completed by the applicant as main contractor or first-tier subcontractor
of the main contract.
(2) For the applicant as main contractor for Government contract, performance reports shall refer to the reports
stipulated in Section 4 of Contractor Management Handbook. For the applicant as subcontractor for
Government contract, performance reports shall refer to the above quarterly reports covering the applicant’s
work period of the subcontract.
2.2. Performance on Government Contracts(see Note 1 of section 2.1 above) under Road & Drainage and/or Site
Formation categories in the past 3 years
Criteria Marks
10% or more of performance reports adverse or no performance reports 0
More than 5% but less than 10% performance reports adverse 4
Up to 5% performance reports adverse 8
No adverse reports 12
No adverse and some very good reports 15
Maximum score 15
marks
Note:
(1) Notwithstanding Note 2 in section 2.1 above for counting the number of performance reports on Government
contract to assess the applicant’s experience, only performance reports of the applicant as main contractor for
Government contract will be counted for assessing his performance under section 2.2. Therefore, this section
2.2 will not apply when the applicant has undertaken only subcontracts in the period.

2.3. Experience and performance on landslip preventive, remedial or formation works of slopes and/or
retaining walls in areas immediately behind occupied structures, adjacent railway lines or public
roads in the past 3 years
Criteria Marks
No. of sites on which LPM Less than 3 0
works were completed by the 3 to 6 5
applicant satisfactorily More than 6 10
No. of sites each with value of 2 to 3 Add 5
LPM works higher than $2M
completed by the applicant 4 or more Add 10
satisfactorily
The applicant completed LPM works
satisfactorily on at least 6
Add 5
simultaneously active sites with total
value of works higher than $7M
Multiple-site experience
The applicant completed LPM works
satisfactorily on at least 8
Add 10
simultaneously active sites with total
value of works higher than $10M
Maximum score 30
marks
Note:
(1) For avoidance of doubt, for entry into probation, relevant subcontracts of any tier for Government LPM works
will be counted for assessment in section 2.3.
2.4. Overall experience and performance in works of Roads & Drainage, Site Formation and Landslip
Preventive Works in the past 3 years
Criteria Marks
Assessments in Sections 2.1, 2.2 and Aggregate of marks scored in Sections 2.1,
2.3 above 2.2 and 2.3 above
Maximum score 60 marks
(or 45 marks when section 2.2 does not
apply, vide Note 1 of section 2.2 above)
Minimum passing score (1) 50% of

maximum score
Note:
(1) The application will be rejected if the mark achieved is below the minimum passing score in this section
irrespective of whether the aggregate total of marks achieved in this assessment is higher than the overall
minimum passing score.

2.5. Experience, availability and organization of managerial, professional, technical and safety staff
with particular emphasis on experience for LPM type works
2.5.1. Management level staff
Criteria Marks
No full-time member of management level staff has 5 years or more
relevant local experience (gained within the past 10 years) in 0
managing a construction firm
At least one full-time member(1) of management level staff has a
minimum of 5 years relevant local experience (gained within the 5
past 10 years ) in managing a construction firm
At least one full-time member(1) of management level staff has a
minimum of 5 years relevant local experience (gained within the
past 10 years) in managing a construction firm
Plus 10
A minimum 2 years experience in managing multiple site contracts
and LPM type works over the past 5 years
Maximum score 10
marks
Minimum passing
score(2) 5 marks
Notes:
(1) The member of staff must have worked full-time for the applicant for at least one year.
(2) The application will be rejected if the marks achieved are below the minimum passing score in this
section irrespective of whether the aggregate total of marks achieved in this assessment is higher than
the overall minimum passing score.
2.5.2. Professional staff (excluding staff assessed in 2.5.1)
Criteria Marks
No staff employed full-time who holds a relevant degree from a HK
university or equivalent and with a minimum of 5 years local 0
experience in site formation or LPM-type works
At least one full-time member of staff(1) with a relevant degree from
a HK university or equivalent and with a minimum of 5 years local 5
At least one full-time member of staff(1) with a relevant professional
qualification (RPE (G or C), MHKIE (G or C), etc.) and with a
minimum of 5 years local experience in site formation or 10
LPM-type works
Maximum score 10
marks
Minimum passing
score(2) 5 marks
Notes:
the overall minimum passing score.

2.5.3. Technical staff (excluding staff assessed in 2.5.1 and 2.5.2)
Criteria Marks
No full time member of technical staff has the academic qualification
and minimum local experience in site formation or LPM-type works 0
of the 3 combinations below
At least one full-time member of staff(1) with an Ordinary Certificate
in Civil Engineering and with a minimum of 5 years local experience 2
in site formation or LPM-type works
At least one full-time member of staff(1) with a Higher Certificate in
Civil Engineering and with a minimum of 3 years local experience in 3
site formation or LPM-type works
At least one full-time member of staff(1) with a relevant degree from a
HK university or equivalent and with a minimum of 3 years local 5
Maximum score 5
marks
Minimum passing
score(2) 2 marks
Notes:
section irrespective of whether the aggregate total of marks achieved is higher than the overall
2.5.4. Safety Staff (excluding staff assessed in 2.5.1, 2.5.2 and 2.5.3)
Criteria Marks
No Registered Safety Officer employed full time 0
One Registered Safety Officer(1) employed full time 3
Two or more Registered Safety Officers(1) employed
full time 5
Maximum score 5 marks
Minimum passing score(2) 3
marks
Notes:
the overall minimum passing score

2.6. Availability of plant and equipment for LPM type works
Criteria Marks
The applicant owns less than 7 types of the following 10 types of plant:
Drilling rig for soil nails, grout pump, shotcrete machine, excavator,
0
hydraulic breaker, pneumatic drill, roller, crane truck, air
compressor, generator.
The applicant owns at least 7 types of the above plant. 5
The applicant owns all 10 types of the above plant and more than one
unit each of the following:
10
Drilling rig for soil nails, grout pump, shotcrete machine, air
compressor and generator.
Maximum score 10
marks
Minimum passing
score(1) 5 marks
Note:
(1) The application will be rejected if the marks achieved are below the minimum passing score in this section
irrespective of whether the aggregate total of marks achieved in this assessment is higher than the overall
3. Acceptance Criteria
3.1. The applicant will be recommended for acceptance if the aggregate total of marks achieved in
Sections 2.4, 2.5.1, 2.5.2, 2.5.3, 2.5.4 and 2.6 is equal to or higher than 65% of the maximum marks,
and the marks achieved in these sections are all higher than the minimum passing scores of the
respective sections subject to compliance with the criteria stated in Sections 1.1 and 1.2.
3.2. Successful applicants will normally be accepted into the List on probation. The maximum number
of contracts and total value of works that a probationary contractor is eligible to tender and for
award of the contracts are stipulated in Appendix 3C.
4. Criteria for Confirmation
4.1. A probationary contractor may apply for confirmation to the Secretary for Development in
writing when they have satisfactorily completed, as main contractor or first-tier subcontractor (see
Note 1 in section 2.1 above)
, at least one Government Landslip Preventive Measures contract or its first tier
subcontract awarded after gaining the probationary status, containing multiple sites and of the
specified value. Confirmation will also be subject to the contractor being able to meet the
financial criteria applicable to confirmed status, having the appropriate technical and management
capabilities and in all other ways being considered suitable for confirmation.

ANNEX 19 List of Tools / Equipment and Testing Instruments for Lift,

Escalator and Passenger Conveyor Installation Category
Equipment & instruments for 2 sets

examinations and tests under the
Lifts & Escalators Ordinance, such
as tachometer, dead weight,
walkie-talkie etc.
Tools & equipment recommended

by the lift/escalator manufacturer
for:
(a) the installation of lifts & 1 set

escalators
(b) the servicing, maintenance and 2 sets

repair of lifts & escalators.
Basic workshop tools such as 1 lot

conduit bender, conduit cutter,
electric drill/hammer, grinder etc.
Basic testing instruments such as 1 lot

multi-tester (AVO), insulation
tester, clamp on ammeter, light
meter, sound meter etc.

institutions


Liquefied Petroleum Gas Installation Category
Detect gas leaking gauge 1
Welding equipment 1
Vacuum pump, compressor 1
Chain block 1

gauge
Insulation tester 1
Holiday detector 1
Non-spark hand tools (e.g. spanner, 1 set The tools should be safe for
screwdriver, hammer, etc.) working in gas risk areas

institutions

ANNEX 21 List of Tools / Equipment and Testing Instruments for Low

Voltage Cubicle Switchboard Installation Category
Ductor tester 1
Primary injection test set 1
Secondary injection test set 1
Dielectric strength test set, 2kV 1
Temperature-rise limit test set 1
Busbar bending machine 1
Busbar cutter 1
Sheet metal cutter 1
Sheet metal press 1
Drilling machine 1
Basic workshop tools 1 lot

institutions

Mechanical Handling and Lifting Installation Category
Welding equipment 1
Drilling machine 1
Metal cutting machine 1

Mechanical Plant and Equipment Installation Category
Item of Assessment Minimum Requirements
Group I Group II
Lathe 1 1
Metal cutting machine 1 1
Abrasive wheels 1 1
Milling machine - 1
Shaping machine - 1
Pipe threading and bending machines 1 2

ANNEX 25 List of Tools / Equipment and Testing Instruments for Radio
Digital Voltage Meter (DVM) 1

Oscilloscope 1
Radio frequency signal generator 1
Signal level meter 1
Spectrum analyzer 1
Field test antennae 1
Frequency counter 1
institutions

ANNEX 28 List of Tools / Equipment and Testing Instruments for Steam
and Compressed Air Installation Category
Welding equipment 2
Hydraulic tester 2
Workbench with vice 1
Drilling machine 2
Pipe threading and bending
2
machine
Pressure gauge 2
Temperature Gauge 2

institutions

ANNEX 29 List of Tools / Equipment and Testing Instruments for Survey of

Government Land Pressure Receivers subject to Steam and Air
Pressure (but excluding Steam Boilers) Category

Hydraulic test pump &
1
accessories
Ultrasonic thickness tester 1
Dye penetrant tester 1
Magnetic particle tester 1
Megger tester 1
Personnel safety devices (e.g. 3 sets
helmet, eye goggles, safety belt &
shoes, heat resistant gloves &
overall)
Miscellaneous tools (e.g. screw 2 sets
driver, spanner, drill, hammer,
inspection mirror, sealing chipper,
lead chip & wire)


Survey of Government Land Steam Boilers Category

Hydraulic test pump & 1
accessories
1
Ultrasonic thickness tester
1
Dye penetrant tester
1
Magnetic particle tester
1
Megger tester
1
Multi-tester (AVO)
Miscellaneous tools (e.g. screw 2 sets
driver, spanner, drill, hammer,
inspection mirror, sealing
chipper, lead chip & wire)
Personnel safety devices (e.g. 3 sets

helmet, eye goggles, safety belt
& shoes, heat resistant gloves &
overall)


ANNEX 31 List of Tools / Equipment and Testing Instruments for Survey of

Lifting Appliances and Lifting Gear Category

Weighing scale, measuring tape, 1 set
level gauge, calipers, deflection
scale, etc.
1 set
Dead weight
(10,000 kg minimum)
Lifting appliance and gear 1 set
Crane Lorry 1
Hand tools (e.g. screw driver, 2 sets
spanners, electric drill, hammer,
etc.)
Megger tester 1
Personnel safety device (e.g. 3 sets
helmet, eye goggles, safety belt,
shoes and overall, etc.)
institutions


Swimming Pool Water Treatment Installation Category
Flow meters & pressure gauges 1
Hydraulic pump with pressure gauges 1
Welding equipment 1
Bending machine 1
Drilling machine 1
Conduit bender 1
Conduit cutter 1
Tachometer 1
Clamp-on ammeter 1
Earth fault loop impedance tester # 1
Combination inclined and vertical 1

manometer 0-2000 Pa
Pitot tubes (450mm and 1200mm long 1

tube)
Digital thermometer 1
Water PH value colour testing kit 1
Chlorine detector 1

certificates issued by HOKLAS accredited in doubt
laboratory or equivalent institutions


Uninterruptible Power Supply Installation Category

Oscilloscope 1
Clamp-on ammeter 1
Distortion analyzer 1
Dummy load 1
institutions

ANNEX 34 List of Tools / Equipment and Testing Instruments for Video

Oscilloscope 1
Video signal/pattern generator 1
Video waveform monitor 1
Light meter 1
Test charts 1
institutions

ANNEX 35 Minimum Personnel and Equipment Requirements for

Landscaping Category, Class I : General Landscape Work
Minimum Requirements for Technical Staff

Academic / Professional No.
Position(a), (b) Experience(c)
Qualifications Group I Group II
horticulturalist Obtained a university degree in Three years working 1(d) 1(d)
horticulture or related discipline(e) experience in
horticulture
OR
Satisfactorily completed(f) a Four years working
recognized diploma programme in experience in
horticulture or related field(g) horticulture
equivalent to the standards of Level
3 or above in the Hong Kong
Qualification Framework
OR
Obtained a qualification or Five years working
certification from a professional experience in
institute or organization of horticulture
horticulture(h) with standards
equivalent to those of the Certified
Horticulturist from the American
Society for Horticultural Science or
above

Minimum Personnel and Equipment Requirements for Landscaping Category Annex 35 to Appendix 3C
Class I : General Landscape Work
Minimum Requirements for Technical Staff (Cont’d)

tree specialist Obtained a university degree in Three years working 1(d) 1(d)
arboriculture or related discipline(i) experience in
arboriculture
OR
Satisfactorily completed(f) a Four years working
recognized diploma programme in experience in
arboriculture or related field(j) arboriculture
equivalent to the standards of Level
3 or above in the Hong Kong
Qualification Framework
OR
Obtained a qualification or Five years working
certification from the professional experience in
institutes or organizations of arboriculture
arboriculture(h) with standards
equivalent to the following:-
- Certified Arborist, Certified
Arborist Utility Specialist,
Certified Arborist Municipal
Specialist or Board Certified
Master Arborist of the
International Society of
Arboriculture; or
- Technician Member,
Professional Member, Fellow
or above qualifications of the
Arboricultural Association of
the United Kingdom; or
- European Tree Worker or
European Tree Technician of
the European Arboricultural
Council; or
- General Member of the
National Arborists Association
of Australia (issued on or
before 31 Dec 2010); or
- Registered Qualified Arborist,
Registered Practicing Arborist,
Registered Consulting
Arborist, Registered
Consulting & Practicing
Arborist of the Arboriculture
Australia; or
- Accredited Arborist of the
Hong Kong Institute of
Landscape Architects.

Minimum Personnel and Equipment Requirements for Landscaping Category Annex 35 to Appendix 3C
Class I : General Landscape Work
Minimum Requirements for Technical Staff (Cont’d)

skilled worker Satisfactorily completed(f) a total of Three years site 2 4
not less than 60 hours of training working experience
courses in the past five years in the in arboriculture and
arboricultural and horticultural fields horticulture
offered by the relevant organizations
with standards equivalent to those of
the Construction Industry Council
Training Academy (CICTA) and the
Vocational Training Council
(including the courses offered under
the Horticulture Skills Upgrading
Scheme) or above, in which the
Supervision of Tree Works Course
offered by CICTA and course(s) on
training of pruning techniques and
use of basic arboricultural and
horticultural tools and equipment
such as chainsaws should be
included.
Notes :
(a) All individuals must be full time employees of the applicant and must be resident Hong Kong Identity
Card Holders or Work Visa Holders, and the practice must constitute their principal source of
employment. Documentary evidence such as self-declaration letter specifying full-time employment
with the company, bank payroll statement, Mandatory Provident Fund contribution record, Employer’s
Return of Remuneration and Pensions to Inland Revenue Department, etc. shall be produced.
(b) All individuals may fill only one of the positions at any one time, unless stated otherwise.
(c) The experience of all individuals must be full time experience gained in Hong Kong.
(d) The horticulturalist and the tree specialist can be the same person for Group I contractors but cannot
be the same person for Group II contractors.
(e) Related disciplines of horticulture include agriculture, arboriculture, botany, landscape architecture,
landscape management, landscape science, plant science, or equivalent.
(f) ‘Satisfactorily completed’ means achievement of satisfactory level of competency assessment through
examination, assignment and/or class performance.
(g) Programme in related field of horticulture shall comprise core course module in subjects including
botany, soil science and fertility, diagnosis, treatment and control of plant pests and diseases, nursery
management, and landscape management, or equivalent.
(h) The qualification or certification shall be obtained through satisfactory passing of examination or
assessment process within the institute or organization.
(i) Related disciplines of arboriculture include botany, forestry, horticulture, landscape architecture,
landscape management, landscape science, plant science, or equivalent.
(j) Programme in related field of arboriculture shall comprise core course module in subjects including
tree identification and biology, tree planting, protection and establishment, pruning, plant health care,
diagnosis and disorder, tree risk assessment and management, and tree works safety, or equivalent.

Minimum Personnel and Equipment Requirements for Landscaping Category, Class I : Annex 35 to Appendix 3C
General Landscape Work
Minimum Plant and Equipment Requirements for Group I and Group II Contractors
Plant and Equipment Remarks
Advanced tree diagnostic equipment such as Documentary proof of ownership of the equipment
resistograph and tomograph, and auxiliary plant and or ability to source the equipment from third party
tools for ready set-up, testing, fine-tuning and when required, should be produced.
maintenance of the equipment.
Basic tools and equipment that are necessary to Documentary proof of ownership of the tools and
enable the contractor to perform effectively the equipment should be produced.
works as defined in the Brief Scope of
Category/Class, such as hoe, saw, shears, spade,
mattock, shoulder sprayers, power chainsaw, tree
climbing saddles, braided climbing ropes, carabiner,
bow saw, pole saw, long-arm pruner
Personal protective equipment that are necessary to Documentary proof of ownership of the equipment
enable the contractor to perform safely the works as should be produced.
defined in the Brief Scope of Category/Class, such
as safety steel toe cap boots, chainsaw gloves,
chainsaw pants, safety helmet with face guard,
safety glasses or goggles and ear defenders

ANNEX 36 List of Tools / Equipment and Testing Instruments for the

Plumbing Installation Category
Minimum Requirement
Item of Assessment Remark
Group I Group II
Flow meters & pressure gauges Calibration is permanent,

1 1 components to be replaced if
damaged
Hydraulic pump with pressure
1 2
gauge
Pipe cutter 1 2
Bending machine 1 2
Proof of regular calibration (for At least yearly and as requested
certificates issued by the Hong
Kong Laboratory Accreditation Required Required
Scheme (HOKLAS) accredited
laboratory or equivalent
institutions
Note: All equipment should be verified that they are all at sight or with other form of proof of ownership.

Standard Proforma of the Report on Contractor’s Performance Appendix 4A
RESTRICTED
REPORT ON CONTRACTOR'S PERFORMANCE

PART I - SUMMARY OF PERFORMANCE
DEPARTMENT/OFFICE : REPORTING PERIOD :
REPORT FOR QUARTER : ( ) Quarter/Period/Maint./Final * From : To:
A Contractor's Details
Contractor's Ref. :
Contractor's Name :
Contract No. : PWP No. :
Contract Title :
Type of Contract : Civil / Building / Term / Specialist / Maintenance *

Predominant Category of Work :
Tenders invited from
List/Group/Class : Cat Code : Prequalified : Y/N *
Contractor's Classification
List : AC/SPEC* Cat Code : Group/Class :
B Contract Stage and Duration
Commencement Date :
Contract Stage *
Original Contract Completion Date :
Original Contract Period : months 1. Design & Submission of Drawings

2. Under Manufacture
Completion Dates+ 3. Under Construction/Site Work Under Progress
Section Original Extended Anticipated/Certified 4. Substantial Completion (excluding Establishment Period)
5. Maintenance/Defects Liability Period
6. Defects Liability Certificate Issued
7. Maintenance Certificate Issued
8. Final Payment Certificate Issued
WHOLE
C Contract Value
Original contract sum $M
Estimated value of work done for this quarter $M
Estimated value of work done to date $M
Estimated value of work outstanding $M
Other matters allowed for in final contract sum $M
Estimated final contract sum $M
D Performance
VG G S P VP NA VG : Very Good
1 Workmanship G : Good Performance Score
2 Progress S : Satisfactory of this report:
3 Site safety P : Poor
4 Environmental pollution control VP : Very Poor
5 Organisation NA: Not Applicable
6 General obligations Note :
7 Industry awareness 1. A "Very Poor" in any one of sections 1,2,3,4 or Item
6.10 will be a mandatory "Very Poor" in the "Overall
8 Resources performance" and the report will be rated as "Adverse"
9 Design 2. If the performance score is less than 40, the "Overall
10 Attendance to emergency performance" will be a mandatory" Very Poor" and the
Overall performance report will be rated as "Adverse".
Standard Proforma of the Report on Contractor's Performance Appendix 4A

RESTRICTED
E Claims #
No. Claimed Assessed Awarded Awarded/Assessed Unresolved
EOT claims
Up to last period days days days % days
Total to-date days days days % days
Monetary claims
Up to last period $M $M $M % $M
Total to-date $M $M $M % $M
Attitude to claims : reasonable/unreasonable/no claims submitted * (If unreasonable, comment)
F Remarks by Reporting Officer
(Include an assessment of the contractor's overall progress compared to his original programme, see Section 2 of GN. The Chief Engineer/Architect/Head of
Office (for Consultants Administered Projects) should entirely satisfy himself/herself that there is adequate documented evidence to prove that an Adverse
report is warranted before endorsement.)
Report NOT ADVERSE / ADVERSE *
Reported by Agreed by Endorsed by
( ) ( ) ( )
Engineer/ Senior Engineer/ Chief Engineer/Architect/
Engineer's/Supervising Officer’s/ Engineer/Supervising Officer/ Head of Office (for Consultants
Maintenance Surveyor's Representative/ Maintenance Surveyor/Others* Administered Projects)/Others *
Others* for the Contract for the Contract
Date .......................... Date .............................. Date ............................
G Remarks by Reporting Review Committee
(The Chairman of the Reporting Review Committee should entirely satisfy himself/herself that there is adequate documented evidence to prove that an Adverse
report is warranted before endorsement/amendment.)
This report is endorsed/has been amended * by the Reporting Review Committee
Remarks (only if Engineer/Supervising Officer/Maintenance Surveyor/others report amended) :
Appeal received: Yes/No*

Result of appeal : Unfounded/Justified/NA*
Complaint against Appeal Mechanism : Yes/No*
(..........................................…)
Chairman, Reporting Review Committee
Report NOT ADVERSE / ADVERSE * Date ........................................
Number of site instructions issued to-date :

(*) 1. Delete as appropriate
2. For the purposes of completing reports on contractors’ performance, the terminologies of “Project Manager/Supervisor/Service Manager” and
their delegates in NEC are equivalent to “Supervising Officer/ Engineer/ Maintenance Surveyor” and “Supervising Officer’s/ Engineer’s/
Maintenance Surveyor’s Representative” in GCC respectively. The Project Manager, Supervisor and their delegates should coordinate to
complete the reports.
(+) 1. All dates to be shown as dd/mm/yyyy e.g. 31/10/1993 (add suffix (A) or (C) after "Anticipated/Certified")
(#) 1. Claims for monies for measured or varied work, star rates, omitted items etc. should not be treated as a claim.
2. The number of claims entered should not be the number of notices of claims received but should be the number of claims quantified.
RESTRICTED
REPORT ON CONTRACTOR'S PERFORMANCE
PART II - INDIVIDUAL ASPECTS OF PERFORMANCE
ITEM ASPECTS OF PERFORMANCE Very Good Good Satisfactory Poor Very Poor Not Applicable
Section 1 Workmanship
1.1 Standard of temporary works
1.2 Standard of materials/equipment supplied
1.3 Standard of workmanship, earthworks
1.4 Standard of workmanship, structural
1.5 Standard of workmanship, finishes
1.6 Standard of workmanship, conduit/pipe/duct works
1.7 Standard of workmanship, equipment and plant
1.8 Standard of workmanship, testing and commissioning
1.9 Standard of workmanship, landscape softworks/tree works
1.10 Standard of workmanship, others
Overall rating
Section 2 Progress
2.1 Adequacy of programme
2.2 Adherence to programme
2.3 Updating of programme
2.4 Suitability of method and sequence of working
2.5 Achievement in period
2.6 Action taken to mitigate delay/catch up with programme
Overall rating
Section 3 Site safety

3.1 Provision and maintenance of plant
3.2 Provision and maintenance of working environment
3.3 Provision of information, instruction and training
3.4 Provision and implementation of safe systems of work
3.5 Employment of safety officer/supervisor
3.6 Site accident record
Overall rating
Section 4 Environmental pollution control

4.1 Adequacy of water pollution mitigation measures
4.2 Adequacy of noise pollution mitigation measures
4.3 Adequacy of air pollution mitigation measures
4.4 Adequacy of waste pollution avoidance measures
4.5 Compliance with environmental enactments
4.6 Action taken to remedy non-compliance
4.7 Implementation of waste management plan
4.8 Implementation of Trip-ticket System to control disposal of
construction & demolition materials
Overall rating
Section 5 Organisation
5.1 Adequacy of organisation structure
5.2 Support by head office
5.3 Adequacy of planning of work
5.4 Adequacy of delegation of authority
5.5 Control of supervisory staff by Site Agent
5.6 Management of sub-contractors by Site Agent
5.7 Adequacy of site supervisory staff
5.8 Identification of and responsiveness to problems
5.9 Compliance with provisions in SCC on sub-contracting and
submission of the SMP
Overall rating
RESTRICTED
ITEM ASPECTS OF PERFORMANCE Very Good Good Satisfactory Poor Very Poor Not Applicable
Section 6 General obligations

6.1 Cleanliness of site
6.2 Care of works
6.3 Compliance with insurance requirements
6.4 Coordination of utilities and other authorised contractors
6.5 Compliance with conditions on road openings
6.6 Care of utilities
6.7 Compliance with enactments other than environmental
6.8 Adequacy/submission of operational and maintenance
6.9 manuals of employer's personnel
Training
6.10 Adequacy of notice for inspection of works
6.11 Payment of nominated sub-contractors
6.12 Compliance with particulars related to sub-contracting
6.13 Attention to site security
6.14 Attention to records
6.15 Attention to submission of accounts/valuations
6.16 Control of materials supplied by Government
6.17 Preservation and protection of trees
Overall rating
Section 7 Industry awareness

7.1 Employment of technician apprentices and building & civil
engineering graduates
7.2 Training of technician apprentices and building & civil
engineering graduates
7.3 Care and welfare of workers
7.4 Care of the general public
7.5 Employment of registered skilled workers and registered semi-
skilled workers
7.6 Training of workers to meet manpower demands
7.7 Employment of sub-contractors registered from the Registered
Specialist Trade Contractors Scheme
7.8 Anti-mosquito breeding
7.9 Compliance with site uniform requirements
7.10 Productivity enhancements
Overall rating
Section 8 Resources
8.1 Adequacy of plant resources
8.2 Adequacy of labour resources
8.3 Adequacy of material resources
Overall rating
Section 9 Design
9.1 Collection & appreciation of information (e.g. design codes,
design parameters)
9.2 Adequacy and quality of design solutions
9.3 Environmental friendliness, health & safety, innovation,
energy efficiency, life cycle costs and productivity
9.4 enhancementswith relevant government departments
Consultation
and utility undertakers
9.5 Quality and promptness of design submissions
9.6 Quality and timely submission of as-built drawings,
maintenance manuals and warranties
Overall rating
Section 10 Attendance to emergency (term contracts)

10.1 Response to call
10.2 Attendance to on-call emergency repairs
10.3 Speed of emergency repairs
Overall rating
Note
Mark appropriate box of performance for each item with "X".
APPENDIX 4B Guidance Notes for Completion of Reports
PART A GENERAL EXPLANATORY NOTES FOR ASSESSMENT
1. The report is for the performance in the period under review only. Previous poor performance which
has led to adverse consequences in the period under review, such as poor progress resulting in the
deduction of Liquidated Damages in the period under review, should not in itself be taken into account.
The contractor should be assessed on how he has dealt with the situation on site as it was at the
commencement of the period under review. However, if, for example, the poor quality of previous
workmanship only comes to light during the period under review, then this should be reflected in the
assessment.
2. It is not expected that the weighting given to each section or individual aspect of performance will be
uniform for all types of contracts or for any group of contracts. The Reporting Officer (RO) and the
Engineer/Supervising Officer/Maintenance Surveyor for the contract are to use their knowledge of the
contract in question to reach a conclusion, recognising that the reporting system is administrative and
commercial but not contractual.
3. Reporting Officers should note that as a result of the weightings given to each aspect of performance
within a section, a contractor may still be given an overall rating of “Poor” or “Very Poor” for the section
despite "Satisfactory" or possibly “Good” or "Very Good" marks for all items except one or two for
which a "Poor" or “Very Poor” mark is given.
4. In contracts where the RO considers one or two aspects of performance to be of paramount importance
such as, for example, the contractor’s compliance with road opening conditions for a waterworks
contract, the RO should consider assigning an adequate weighting to this item of performance such that
an “adverse” report will result if the contractor is assessed to be “Very Poor” in this aspect
notwithstanding his performance in the remaining sections of the report.
5. Reporting of Building, Specialist and Term Contracts will be made on the same standard performance
report Part I - Summary of Performance, but departments may revise Part II - Individual Aspects of
Performance, to suit their own needs. However, departments should as far as possible adopt the standard
items of reporting to facilitate comparison of performance. Domestic sub-contractors and minor works
will not be included in the performance reporting system but departments may maintain their own
records of sub-contractors’ and minor works contractors’ performance.
6. In cases where a nominated sub-contractor has been specified for the contract, the performance of the
nominated sub-contractor shall be reported separately in addition to reporting of the main contractor.
However, the RO should be in no doubt that the responsibility for the performance of the contract lies
wholly on the main contractor and not the nominated sub-contractor.
7. Every effort should be made by the RO to ensure that the assessment is objective for all sections of
the Report.
8. Should any aspect of the Report be considered “Poor” or “Very Poor” (as defined in Appendix 4B Part
B) by the RO, then such assessment must be supported by relevant evidence.
Guidance Notes for Completion of Reports Appendix 4B
9. The Report is assigned a performance score in accordance with ETWB TC(W) No. 3/2007 and DEVB
TC(W) No. 3/2007A. The Report will be rated as “Adverse” if its performance score is <40.
10. The contract clauses and terminologies referred to in the following guidance notes follow the numbering
system and terms of the General Conditions of Contract for Civil Engineering Works (1999 Edition)
and may be different from those in GCC for other types of works or in NEC.
PART B DEFINITION OF PERFORMANCE GRADING
Very Good The performance of the contractor is significantly and consistently

better than that required by the Contract.
Good The performance of the contractor attains and is occasionally better

than that required by the Contract
Satisfactory The performance of the contractor attains that required by the

Contract.
Poor The performance of the contractor is considered to be below that

required by the contract though without serious deficiencies; or
where instructions have to be repeatedly issued and the work has
consistently to be redone in order to attain a satisfactory level; or the
performance of the contractor could only attain that required by the
Contract through enhanced supervision effort from the RO or the
Engineer.
Very Poor The performance of the contractor is considered to be significantly

below that required by the contract; or where instructions have to be
repeatedly issued and the work has consistently to be redone but is
still unable to attain a satisfactory level.
PART C GUIDANCE NOTES FOR PART I - SUMMARY OF PERFORMANCE
The following quarters and dates for the reporting periods shall be adopted in all performance reports:
Quarter Reporting Period
[year]/1Q From: 1/12/[year] To: 28/2/[year]

Where shorter reporting periods are used, the periods should be consecutive and should be timed to fall entirely
within one quarter.
Section A Contractor’s Details
Contractor's Ref: Contractor's computer reference code.
Contractor's name Exact name as given by the list of reference codes circulated by
DEVB must be used.
Predominant category of work Put category, i.e. BD, PW, RD, SF, WW, that is predominant by
value for the whole of the works. Up to two categories of work can
be input.
Section B Contract Stage and Duration
Completion dates Where there are more than seven sections in a contract, the seven
most critical sections (possibly those carrying the highest
Liquidated Damages) should be recorded.
“Extended” completion date This should be the original contract completion date plus those
extensions of time that have actually been awarded at the time of
preparing the report.
“Anticipated/Certified” The anticipated completion date should be a realistic estimate of the

completion date likely completion date based on an assessment of the contractor's
actual progress and expected progress on uncompleted works. The
certified completion date will be the date for which the section or
the whole of the works was certified by the Engineer as complete.
Section C Contract Value
Other matters allowed for in This should include all approved variations incurring additional
final contract sum costs which were not included in the original contract sum.
Section D Performance
Performance The rating should be the overall rating given in Part II for each
aspect of performance.
Section E Claims
No. Should be the number of claims submitted by the contractor with

quantum included. Notifications of claim submitted by the
contractor should not be included.
Claimed Should be the aggregate amount of monetary or EOT claims

submitted by the contractor. Claims for monies for measured or
varied work, star rates, omitted items etc. should not be treated as a
claim. Inclement weather and/or its consequences should be
included as claims for EOT.
Assessed The claims entered as "assessed" should not be the number of

notices of claims submitted by the contractor but should be the
quantum claimed and which have been assessed by the Engineer. It
is recognised that the amounts assessed may change as more
information becomes available.
Awarded Actual amount of the claim awarded to the contractor.
Unresolved This is the value of claims or part-claims for which an assessment

has not yet been made by the Engineer due to insufficient
information or other reason. This will exclude those claims or part-
claims which the Engineer has assessed, whether or not agreed by
the contractor.
Attitude to claims (a) Time of notification/application
- has the contractor submitted the

notifications/applications within a stated time limit
after an event which gives rise to the claim becomes
apparent (GCC Clauses 50 & 64 refer)?
- have reasonable explanations or mitigating
circumstances leading to the late submission of the
notifications/applications been given?
(b) Justification
- has the contractor indicated clearly the justifications for

submitting the claim (cause, consequences/damages
reasonably estimated, link of how events lead to the
claim and how the quantum of the claim is linked to the
claimable events, etc.) and the contract provisions upon
which the claim is based?
- are the applications supported by adequate
records/evidence to substantiate the claim including
programmes, site records, calculation and accounts etc?
- are the submissions logically presented and the
arguments based on factual information and not
perceptions?
- is the contractor submitting the same claim repetitively

without new grounds/ information?
- has the contractor claimed EOT without breakdown of
critical activities or overlapping periods?
- has the contractor claimed unreasonably high quantum
without substantiation?
- does the claim show the contractor’s lack of
understanding of what consists of a critical path activity
or the contractor’s contractual responsibilities?
(c) Responsiveness
- does the contractor respond timely to queries/additional

information raised/ requested by the Engineer in respect
of the claim?
- does the contractor provide the required information in
his response?
(d) The attitude of the contractor in general
- is the contractor submitting irrelevant information just

for argument sake?
- does the contractor use claims as an excuse for his slow
progress or wrong pricing?
- does the contractor adopt a co-operative attitude in
resolving claims with the Engineer?
Section F Remarks by Reporting Officer (RO)
If the contractor has nominated the contract for participation in any construction-related award schemes and
won any such awards during the reporting period, the RO should record the achievement in Section F.
The contents of the report should be agreed with the countersigning officer before finalising. The signatories
for “Supervising Officer’s/Engineer’s/Maintenance Surveyor’s Representative” and “Supervising
Officer/Engineer/Maintenance Surveyor” should be those designated as such in accordance with the
contract. Endorsement is not needed for department-administered contracts and is only necessary when the
contract is consultant-administered and the report is completed by the consultant.
The Chief Engineer/Architect/Head of Office (for Consultants Administered Projects) should entirely
satisfy himself/herself that there is adequate documented evidence to prove that an Adverse report is
warranted before endorsement.
Section G Remarks by Reporting Review Committee (RRC)
The Chairman of the Reporting Review Committee should entirely satisfy himself/herself that there is
adequate documented evidence to prove that an Adverse report is warranted before
endorsement/amendment.
PART D GUIDANCE NOTES FOR PART II - INDIVIDUAL ASPECTS OF

PERFORMANCE
The RO should note that for certain types of work, not all items of the performance report may be applicable.
Where any items are clearly inapplicable, the RO should note "N.A." in the relevant item of the report.
Section 1 - Workmanship
An overall “Very Poor” rating in this section will result in an “Adverse” report.
Item 1.1 Standard of temporary works
- are all materials and components used for the works generally of good
quality, free from significant corrosion and damage or excessive
deterioration?
- where welds are present, have they been carried out in accordance with the
Contract?
- if timber is used, is there evidence of physical damage, signs of attack by
decay, rot or insect attack or the development of shakes or spits?
- is bamboo used for scaffolding relatively new and free from splits along its
entire length? Are joints securely tied and the whole scaffold anchored to
the workface?
- are temporary faces of excavations properly supported and maintained in a
stable condition as required by the Contract prior to reinstatement?
- are earthworks final surfaces protected from damage due to water or other
causes and from exposure to conditions which may adversely affect the
surface prior to installation of permanent works in accordance with the
Contract?
- are dewatering operations causing instability or settlement of adjacent land
or structures?
- are temporary drainage facilities adequate for preventing flooding and
surface erosion as required by the Contract?
Where details of temporary works have been requested by the RO to be submitted

in accordance with GCC Clause 16(1),
- are the temporary works carried out in accordance with that submitted by
the contractor?
- are the safety margins adequate against the risk of failure?
- does the contractor’s design meet the contract requirements?
Where the temporary works are of such importance that these have been specified
to be independently checked in accordance with paragraph 9.35 of Chapter 5 of
PAH,
- have the temporary works been designed with the factor of safety
appropriate to the risk involved or as specified?
- are the works constructed according to the certified design?
Item 1.3 Standard of workmanship, earthworks
- do lines and levels for filling, excavation and dredging comply with the
tolerances given in the Specification?
- are the materials used for backfilling in accordance with the Contract?
- are degrees of compaction adequate in accordance with the Contract?
- is the stockpile of excavated material suitable for backfilling adequately
protected as per the Contract?
Item 1.4 Standard of workmanship, structural
In the case of structural concrete,
- is formwork generally rigidly fixed in place as per the Contract?

- is reinforcement clean and free from dirt, rust and other deleterious material
before concreting commences?
- is reinforcement fixed with adequate numbers of tie wires, are laps of
adequate length and located as designated?
- is concrete strength in compliance with the Contract as demonstrated by
cube tests and does curing practice conform with that specified?
In the case of structural steelwork,
- has the steelwork been fabricated in accordance with submitted workshop

drawings?
- are handling and storage procedures adequate?
- is good welding practice adopted throughout the installation and are welds
of strength in accordance with the contract requirements as demonstrated
by testing?
- are bolts installed and tightened in accordance with the Specifications?
Item 1.5 Standard of workmanship, finishes
- have all finishes been carried out such that the characteristics of finish
specified on the drawings and tolerances given in the Specification are met?
- where trial panels have been specified, does the finished surface comply
with the approved trial panel?
- for structural steelwork, has the contractor carried out all the relevant
procedures specified for preparation of the steel surface prior to application
of the next paint layer or coating?
Items 1.6 - 1.8 Standard of workmanship, conduit/pipe/duct works, equipment and plant and
testing and commissioning
These items are to be used for reporting of Specialist contractors where such works
may be the predominant works for that period.
Item 1.9 Standard of workmanship, landscape softworks/tree works
Workmanship
- are all materials including plants, soil mix, soil conditioner, mulch,
fertilizer, stakes/ties/guys, protective fabric material etc. used for the
landscape works generally of good quality and in accordance with the
Specification?
- is topsoil material properly re-used?
- are materials for hydroseeding well mixed and properly sprayed?
- is protective material placed according to the Specification?
Landscape softworks/tree works

- has the contractor submitted a detailed method statement and programme
for transplanting the existing trees before commencing tree transplanting
work?
- has the contractor taken all necessary precautions to ensure that no
damage is done to the tree during all processes of transplanting?
- are rootball box sizes made according to the Specification?
- are rootballs well protected during handling, transportation and storage?
- has the contractor taken good care of the plants during transportation?
- is the storage area of plants in good condition?
- are plants protected from damage?
- are pre-planting works carried out in accordance with the Specification?
- are planting works carried out in accordance with the Specification?
- are stakes/ties/guys properly fixed in appropriate locations?
- is mulch properly spread to the minimum thickness?
- is surface for hydroseeding properly treated?
- is post-planting fertilizer applied within the allowable period stipulated in
the Specification?
- does the turf possess the characteristics stipulated in the Specification?
- do the turfed areas meet the requirement stipulated in the Specification?
- are the turfed areas immediately watered after turf has been laid?
- are unsatisfactory plants/grass replaced promptly?
- are stakes/ties/guys inspected and adjusted regularly during the
establishment period?
- is fresh water used for watering during the establishment period?
- have all planted areas been watered to ensure successful establishment of
plants?
- are weeding/pruning/grass cutting/litter collection carried out regularly
during the establishment period where necessary?
- has the contractor provided all necessary tools and equipment for pruning
works?
- are all pruning works carried out in accordance with good horticultural
practice?
- are necessary precautionary measures taken to control pests, fungi and
disease during the establishment period?
- is site clearance (e.g. felling of trees, removing stump, weeding, disposing
of the cut material, tree removal under emergency situation) carried out
properly if necessary?
- is tree maintenance (e.g. crown cleaning, crown reduction, crown lifting,
structural pruning, utility pruning) carried out properly if necessary?
Item 1.10 Standard of workmanship, others
Any other type of workmanship that are not covered in the preceding items should
be assessed in this item. The RO’s assessment should be based on whether the
works are carried out in accordance with the Specification, the tolerances achieved,
the quality of material used, the strength achieved where this may be required and
whether repairs or reinstatement works have to be carried out in order for the works
to attain an acceptable standard.
Section 2 - Progress
1. This section should be confined to reporting of the contractor's progress within the reporting period
and his efforts in dealing with any delays caused by his previous slow progress.
2. The progress during the reporting period should be reported irrespective of his performance over
previous periods.
3. The contractor’s progress should be judged on the most updated programme which should have
reflected any steps required to be taken during the reporting period to overcome previous delays. The
RO should take into account the delays occurring within the reporting period for which it is obvious
that extension of time (EOT) would be considered.
4. The contractor’s performance can be rated "Satisfactory" or above despite possibly obtaining an
adverse report during the previous quarter provided he has achieved or exceeded the progress
anticipated from the programme agreed during the reporting period.
5. While all claims for extension of time for completion of the works (EOT) should be assessed,
determined and granted within a reasonable time in accordance with GCC Clause 50, the RO
should take into account the potential EOT for claims submitted by the contractor in assessing
the progress, which had not yet been determined by the Engineer.
Item 2.1 Adequacy of programme
- does the current programme adequately reflect the requirements of the

whole contract, include other details requested by the Engineer, and, where
applicable, fully describe all the principal activities to be undertaken by the
contractor for completion on or before the currently established date of
completion of the contract?
- does the current programme adequately show his proposed works for the
reporting period and all other details requested by the Engineer?
- does the current programme reflect the steps taken to overcome the delays
caused by his previous slow progress in accordance with GCC Clause
51(1)?
- does the current programme continue to show any inadequacy in areas
which the RO considers will unnecessarily delay the works?
- is the programme realistic in terms of the contractor’s proposed
achievement in the period?
Item 2.2 Adherence to programme
- has the contractor completed the works according to the programme agreed
during the period?
Item 2.3 Updating of programme
- has the contractor revised his programme promptly as a result of EOT

granted in accordance with GCC Clause 50(4) or due to other delays in the
progress of the works in response to the Engineer’s notice under GCC
Clause 51(1)?
- has the contractor responded promptly to the Engineer’s comments on the
programme?
- does the revised programme affect the progress of other contractors/sub-
contractors?
Item 2.4 Suitability of method and sequence of working
- has the contractor's progress been affected by the construction methods he

has adopted?
- does the contractor demonstrate a logical approach to his sequence of
works?
- are the contractor's proposed methods of working suitable for the types and
the scale of work involved?
- does the contractor follow completely/closely the agreed method of
working?
Item 2.5 Achievement in period
- has the contractor's progress exceeded the agreed targets?

- has the contractor completed in advance the agreed milestones or targets of
work in his programme?
- has the contractor completed the value of work exceeding those expected
to be done (based on the agreed programme)?
(The RO should consider giving a “Good” or “Very Good” rating to the contractor
for the above achievement made.)
Item 2.6 Action taken to mitigate delay/catch up with programme
- has the actions taken by the contractor to catch up with any delay due to his
previous slow progress been effective?
- has he devoted more labour and equipment to the works and improved his
method of working where necessary?
Section 3 - Site Safety
A 5-grade score card should be used for assessing the contractor’s performance on site safety with reference
to DEVB TC(W) No. 1/2020 (and its subsequent amendments) except for the maintenance period, defect
liability period, or establishment period of the contract whereby the completion of score card is not required
for the assessment. The score card has six sections which correspond with the performance aspects for the
“Site Safety” section in the Report on Contractors’ Performance (RCP). Hence, the scores of individual
sections should be used to determine the performance rating of the contractor for the corresponding
performance aspects in the RCP. A set of guidance notes is also given in the above DEVB TC(W) for
marking the sub-items in the score card. Furthermore, the total score of the score card will form the basis
to determine the overall performance rating of the contractor for “Site Safety” section in the RCP.
For RCP where the completion of score card is not required, the set of guidance notes in the DEVB TC(W)
should also be used to determine the performance rating of individual aspects for “Site Safety” section in
the RCP.
Section 4 - Environmental Pollution Control
A “Poor” or “Very Poor” rating in Item 4.8 will result in “Poor” or “Very Poor” rating in this section
respectively. An overall “Very Poor” rating in this section will result in an “adverse” Report.
It should be noted that any record of non-compliance or poor performance should be limited to those
occurring during the reporting period. Records of convictions should not be used as a performance criterion
as the contraventions would generally have occurred some months previously.
Item 4.1 Adequacy of water pollution mitigation measures
- has the contractor implemented effective and efficient water pollution

mitigation measures as required by the contract?
- has the contractor monitored the requisite water pollution mitigation
measures satisfactorily?
- has the contractor provided promptly the requisite boats/technicians/testing
equipment for carrying out the water quality monitoring work?
Item 4.2 Adequacy of noise pollution mitigation measures
- has the contractor implemented effective and efficient noise pollution

- has the contractor monitored the requisite noise pollution mitigation
- has the contractor provided promptly the requisite equipment/access for
carrying out the noise level monitoring work?
Item 4.3 Adequacy of air pollution mitigation measures
- has the contractor implemented effective and efficient air pollution

- has the contractor monitored the requisite air pollution mitigation measures
satisfactorily?
- has the contractor provided promptly the requisite equipment/access for
carrying out the air quality monitoring work?
Item 4.4 Adequacy of waste pollution avoidance measures
- has the contractor implemented effective and efficient waste pollution

avoidance measures?
- has the contractor monitored the requisite waste pollution avoidance
Item 4.5 Compliance with environmental enactments
- has the contractor taken all necessary measures to comply with

environmental enactments?
- has the contractor been reluctant to comply with environmental enactments
despite repeated warnings and reminders?
- has the contractor received any prosecutions for violations of environmental
enactments?
Item 4.6 Action taken to remedy non-compliance
- has the contractor improved the method of working to remedy non-

compliance with environmental enactments?
- have the actions taken by the contractor to remedy non-compliance with
environmental enactments been effective?
Item 4.7 Implementation of waste management plan
- did the contractor submit the waste management plan in time?

- has the waste management plan been properly prepared to include the details
required under the Contract?
- are the proposals in the waste management plan able to meet the target of
avoidance, minimization and recycling and reuse of C&D material with
particular reference to the nature of the Contract?
- did the contractor respond promptly to the Engineer’s comments on the
waste management plan?
- has the contractor properly implemented the waste management plan during
the reporting period?
- has the contractor updated or revised his waste management plan promptly
if the situation warrants and/or so required by the Engineer?
- has the contractor kept adequate and proper records during the reporting
period?
- has the contractor’s report on the implementation of waste management plan
been properly prepared?
- has the contractor submitted the monitoring proposal and is the proposal
effective?
Item 4.8 Implementation of Trip-ticket System to control disposal of construction &

demolition materials
- has the contractor taken any effective measures to ensure that every
truckload of C&D materials bears a duly completed Disposal Delivery Form
(DDF) / CHIT before leaving the Site?
- has the contractor submitted the duly completed and stamped DDF, CHIT
and/or the transaction receipt (where relevant) within the time as stipulated
in the Contract?
- has the contractor kept comprehensive and updated records of the DDF /
CHIT issued?
- has the contractor taken prompt corrective actions to rectify the non-
compliance with the TTS requirements?
- Item 4.8 should be rated as “Very Poor” and overall “Very Poor” for Section
4 if illegal dumping of C&D materials or unauthorized disposal of C&D
materials to private agricultural land occurs, or the number of improper
disposal [see Clauses (16)&(17) of Appendix A in ETWB TC(W) No.
31/2004 or Clauses (15)&(16) of Appendix C in DEVB TC(W) No. 6/2010]
during the reporting period exceeds the limit as stipulated in Para. 21(b) of
ETWB TC(W) No. 31/2004 or Para. 26(b) of DEVB TC(W) No. 6/2010.
For contracts tendered on or after 1 February 2005, the following additional
guidelines are relevant:
- has the contractor properly implemented the approved site management plan
for implementation of the TTS?
- has the contractor informed the truck drivers, whom he has engaged for
removal of C&D materials from the Site, the TTS requirements as stipulated
in the Contract [see Clause (9) of Appendix A in ETWB TC(W)] No.
31/2004 or Clause (9) of Appendix C in DEVB TC(W) No. 6/2010]?
- has the contractor submitted the Daily Record Summary in accordance with
the specification in the Contract?
For further details, project offices should refer to ETWB TC(W) No. 31/2004 or
DEVB TC(W) No. 6/2010.
Section 5 - Organisation
In completing the assessments, the following aspects should be considered in relation to the scope, value and
technical complexity of the contract.
Item 5.1 Adequacy of organisation structure
- has an organisation chart been provided?

- does the chart reflect the actual situation?
- are lines of management and communication clear and effective?
Item 5.2 Support by head office
- does the contractor's head office have a representative who is aware of and
actively monitoring site matters?
- are head office management responsive to giving support to site
management?
- has the head office responded to the need for structural or staff changes in
the site staff organisation to meet site conditions?
- has the head office responded promptly and effectively to overcome
deficiencies?
- does the head office employ its own staff under a direct contract of
employment to effectively manage and supervise the sub-contractors?
(The Engineer should make the contractor aware of any of his concerns on the lack
of support from the contractor’s head office. These concerns should also be brought
to the attention of the contractor’s head office. Warnings in writing should be given
to the contractor and copied to his head office if the situation has not been improved
despite previous notifications. On the other hand, if the Engineer considers that the
contractor’s head office has provided better than average support on site matters,
he should record his findings properly and rate this item as “Good’ or above.)
Item 5.3 Adequacy of planning of work
- does the programme meet the requirements of the contract?

- is the programme adequate for work in hand?
- is the programme used effectively as a management tool?
- does the contractor plan his resourcing and procurement to meet the needs
of the programme?
- have method statements been submitted?
Item 5.4 Adequacy of delegation of authority
- has the site agent been delegated authority to:

- direct and control site activities?
- manage sub-contractors' planning and execution?
- do sub-contractors accept the site agent's authority?
- has the contractor delegated his authority to his supervisory staff in
supervising and managing the sub-contractors?
Item 5.5 Control of supervisory staff by site agent
- has a site organisation chart been drawn up?

- are lines of communication clear?
- are site staff delegated with authority that they can discharge their duties
effectively?
- have site supervisors been briefed on agreed method statements and
procedures?
Item 5.6 Management of sub-contractors by site agent
- has he exercised effective managerial control over sub-contractors?

- has he exercised technical control over sub-contractors?
- has he exercised quality control over sub-contractors?
- has he coordinated the work of sub-contractors effectively?
- does he provide adequate support to sub-contractors?
Item 5.7 Adequacy of site supervisory staff
- are there adequate site supervisory staff?

- are there adequate contractor's staff to direct sub-contractors' work?
- do they have technical knowledge and experience appropriate to their level
of responsibilities?
- do they take effective measures to monitor and maintain specified standards
or are the Resident Site Staff required to intervene to achieve standards?
Item 5.8 Identification of and responsiveness to problems
- are there good communication channels between the contractor's site staff
and the relevant resident site staff?
- does the site agent identify and recognise problem areas before they develop
too far?
- are informal communication channels with the RO set up with a view of
discussing and resolving potential problems?
- are corrective actions being initiated promptly?
- has the contractor maintained a good record in compliance with
instructions?
- has the contractor reflected the situation to the RO if he finds it difficult to
comply with any instructions?
- has the contractor taken all reasonable measures to identify any suspected
unlawful water taking activities and prevent unlawful taking of water at
the site? Such reasonable measures include :
(i) Promotion for site personnel, workers, sub-contractors and other
relevant parties against unlawful taking of water (for example,
display of posters and warning signs on site, regular briefings,
etc);
Regular inspections of the site to identify any suspected unlawful
water taking activities;
(ii) Regular checking of water bills to ensure that the amount of water
usage indicated in the bills is reasonable; and
(iii) Keeping of records of the above measures.
Item 5.9 Compliance with provisions in SCC on sub-contracting and submission of the
SMP
- did the contractor ensure that his sub-contractors have not sub-contracted
the whole of the works assigned to them?
- did the contractor employ his own staff under a direct contract of
employment to manage and supervise his sub-contracting works?
- has the SMP been properly prepared as per the scope and contents stated in
the Contract?
- did the contractor submit the SMP in time?
- has the contractor submitted the proposed measures and approaches as per
the details stated in the contract?
- has the contractor updated and submitted his SMP to reflect his latest sub-
contracting arrangement?
Section 6 - General Obligations
A “Poor” or “Very Poor” rating in Item 6.1 will result in “Poor” or “Very Poor” rating in this section
respectively. A “Very Poor” rating in Item 6.6 will result in overall rating of this section no better
than “Poor”. A “Very Poor” rating in Item 6.10 will result in “Very Poor” rating in the “Overall
Performance” and an “Adverse” report.
Item 6.1 Cleanliness of site
The rating of this item should be determined in accordance with the scoring method
given in Annex 1 to Appendix 4B.
Item 6.2 Care of works
- has the contractor exercised due care in the care of the works including also
construction plant, temporary works and materials on site?
- has the contractor always been difficult in care of the works despite repeated
warnings?
- in case of damage, has the contractor made good the damage with
reasonable speed?
Item 6.3 Compliance with insurance requirements
- has the contractor complied with the insurance requirements as stipulated in

the contract?
- is the contractor reluctant in complying with the insurance requirements
despite repeated reminders?
Item 6.4 Coordination of utilities and other authorised contractors
- have coordination meetings been held with the utility undertakings and
other authorised contractors to work out an agreed works programme?
- has the contractor maintained close liaison with utility undertakings and
other authorised contractors and informed the RO on the developments with
respect to the agreed programme?
- has the contractor made reasonable allowance for time and provision of
facilities and working space for utility undertakings and other authorised
contractors in his programme?
- has the contractor taken reasonable steps to co-operate with the utilities and
other authorised contractors?
- have the utilities and other authorised contractors being reasonable in co-
operating with the contractor?
Item 6.5 Compliance with conditions for road openings
- has the contractor complied with the Code of Practice for Signing, Lighting
and Guarding of Road Works?
- has the contractor complied with the conditions of the excavation permit?
- has the contractor properly removed surplus excavated material?
- has the contractor provided adequate alternative pedestrian facilities and
information on notice boards?
- has the contractor complied with the Engineer’s instructions?
Item 6.6 Care of utilities
- has the contractor taken care not to cause damage to utilities?

- has the contractor a repeated record of causing damage to utilities?
- has the contractor damaged utilities, causing serious disturbance to the
public?
Item 6.7 Compliance with enactments other than environmental
- has the contractor had a bad record of non-compliance with enactments,

including, amongst others, prosecution against any person for unlawful
taking of water at the site during the report period?
- has the contractor taken all reasonable measures to comply with
enactments, including, amongst others, any measures to inhibit unlawful
taking of water at the site?
Item 6.8 Adequacy/submission of operational and maintenance manuals
- have the manuals been submitted within the time stipulated in the contract?
- are the manuals clear and comprehensive?
Item 6.9 Training of employer's personnel
- has the contractor complied with requirements to train the employer’s staff
in the running and management of plant and other installations?
Item 6.10 Adequacy of notice for inspection of works
- does the notice clearly identify the work to be inspected?

- is the notice submitted in time as stipulated in the contract?
- have the works been carried out without the approval/permission of the
Engineer?
(The Engineer should make the contractor aware of any of his concerns for
the deficiencies identified regarding submission of request for inspection
and/or survey check (RISC/RFI) forms. These concerns should also be
brought to the attention of the contractor’s head office. Warnings in writing
should be given to the contractor and copied to his head office if the
situation has not been improved despite repeated notifications. If the
Engineer considers that the situation amounts to a serious problem, a
“Poor” or “Very Poor” rating shall be given, depending on the degree and
extent of the problem identified. If a “Very Poor” rating is given in this
item, it will lead to a mandatory “Very Poor” in the “Overall Performance”
and the report will be rated as “Adverse”. On the other hand, if the Engineer
considers that the contractor has implemented a system better than average
(e.g. effective operation of a site inspection system adopting RISC/RFI
forms, adoption of a digital site supervision system adopting RISC/RFI
forms, adoption of a digital site supervision system, etc.), he should record
the findings in the report and rate this item as “Good” or above.)
Item 6.11 Payment of nominated sub-contractors
- has the contractor paid the nominated sub-contractor and not withheld
payment without reasonable cause?
Item 6.12 Compliance with particulars related to sub-contracting
- has the contractor furnished the RO with reasonable particulars of the sub-
contractors in the SMP?
- has the contractor ensured the necessary contract conditions and provisions
be incorporated in the sub-contract?
- has the contractor provided the particulars of sub-contracting on site in his
latest submission of the SMP?
Item 6.13 Attention to site security
- is the site generally secure?

- has the contractor fulfilled the site security requirements?
- are materials, including materials required for temporary works, stored in a
secure manner?
- has the contractor reacted promptly to unsecured site conditions?
Item 6.14 Attention to records
- are contemporary records including plant, labour and work activities kept
accurately and submitted promptly?
- is the site diary attended to on a timely and effective basis in accordance
with GCC Clause 32?
- are daywork accounts kept accurately and submitted promptly?
Item 6.15 Attention to submission of accounts/valuations
- are accounts and valuations, if required by the contract submitted promptly?

- are accounts and valuations, if required by the contract accurate and
sufficiently detailed?
Item 6.16 Control of materials supplied by Government
- has the contractor kept up-to-date records of the movements and locations
of the material and equipment?
- has the contractor carried out physical stock taking?
- are the materials and equipment stored in a proper manner?
Item 6.17 Preservation and protection of trees
- has a tree preservation and protection plan been submitted before

commencement of the Works if applicable?
- has the contractor assigned a person to oversee the implementation of the
tree preservation and protection plan?
- has a tree survey been carried out and a tree survey record been submitted
to the Engineer within 28 days of the date of commencement of the Works?
- has a labeling or marking system been adopted on Site to identify trees of
different status?
- has the contractor exercised proper care to avoid any damage to the
preserved trees during construction, including inspection of the protective
measures just before typhoon and heavy rainstorm?
- are protective measures erected, secured and maintained in good condition
where practicable?
- is there any unauthorized change in existing ground level within the tree
protection zones of the preserved trees?
- is there any unauthorized excavation works within the tree protection zones
of the preserved trees?
- is there any unauthorized drilling works within the tree protection zones of
the preserved trees?
- are necessary physical support measures provided to ensure the stability of
the preserved trees?
- are all necessary precautionary measures taken to protect the preserved
trees from pest and disease attack?
- has the contractor reported promptly within the required timeframe on

occurrence of damage to the preserved trees, including those caused by
typhoon and heavy rainstorm, and carried out all necessary work of repair
of any damage of the preserved trees and any other plants affected?
- has the contractor reported in a timely manner on tree problems which may
pose damage to the public if the tree falls and responded promptly to tree
failure incidents?
- have tree risk assessment and the associated remedial actions been properly
carried out according to the contract?
- are the trees irrigated adequately?
Note:
1. Should the contractor be found responsible for the unauthorized tree felling
or damage of trees, reporting officer should consider rating this item as
‘Poor’.
Section 7 - Industry awareness
A “Poor” or “Very Poor” rating in Item 7.8 will result in “Poor” or “Very Poor” rating in this section.
Item 7.1 Employment of technician apprentices and building & civil engineering
graduates
In accordance with the requirements of ETWB TC(W) No. 12/2003
- has the contractor employed the correct number of apprentices and

graduates in relation to the size of the contract and within the stipulated time
period of three months?
- has he demonstrated by written records his continued efforts in recruitment
of the required staff if not immediately available?
- has he implemented valid contracts of apprenticeships as stipulated in the
Apprenticeship Ordinance (Cap. 47)?
Item 7.2 Training of technician apprentices and building & civil engineering graduates
For technician apprentices, has the contractor
- demonstrated by providing records that he has provided the required

training relevant to their respective trades;
- arranged for their attendance in an approved technical institute leading to
the award of either a Higher Certificate in Building Studies, civil
engineering or a comparable alternative.
For building and civil graduates, has the contractor
- provided experience training following established training guidelines for

the various disciplines as far as possible;
- provided adequate professional supervision.
Item 7.3 Care and welfare of workers
- has the contractor provided sanitary latrine accommodation in accordance

with the Contract and maintained it in a clean and sanitary condition?
- if provided, are canteen facilities maintained in a clean and sanitary
condition?
Item 7.4 Care of the general public
- has the contractor taken reasonable steps to fulfil his obligations under GCC
clause 22(1)? If not state why.
- has he carried out his works with due care and attention for the safety of the
general public? If not state why.
- has he tried to minimise obstructions and other disturbances to the public?
If not state why.
- has the contractor provided hoarding, fencing, covered walkways and the
like, together with all necessary lighting and warning notices in English &
Chinese, and maintained the whole in good and safe condition?
- has the contractor provided a flagman, signalling system or other practical
means of controlling vehicles entering or leaving the site?
- has the contractor properly maintained wheel washing facilities to prevent
mud from being carried onto public roads by vehicles leaving the site?
- if required, has the contractor provided and properly maintained temporary
traffic lights, or provided flagmen to control traffic on the public highway?
- has the contractor provided the watchmen/security guards as specified at all
times of the day?
Item 7.5 Employment of registered skilled workers and registered semi-skilled workers
- has the contractor employed the minimum number of registered skilled
workers and semi-skilled workers of each of the specified trade divisions as
specified in the Contract?
- has the contractor demonstrated from records his continued effort to recruit
the minimum number if not immediately available?
Item 7.6 Training of workers to meet manpower demands

- has the contractor complied with requirements to train the trainees to attain
required skill levels?
- has the contractor demonstrated from records that they had provided the
required training?
- has the contractor provided adequate trainers?
Item 7.7 Employment of sub-contractors registered from the Registered Specialist

Trade Contractors Scheme of the Construction Industry Council
In accordance with the requirements in Chapter 7 of the PAH,
- has the contractor employed sub-contractors registered under the respective
trades available under the Registered Specialist Trade Contractors Scheme?
- has the contractor ensured his sub-contractors to employ their further sub-
contractors registered under the respective trades available under the
Registered Specialist Trade Contractors Scheme?
In cases where separate performance report is made for the nominated sub-
contractor (NSC), the following guidance notes should be added:
- has the NSC registered under the respective trades available in the
Registered Specialist Trade Contractors Scheme?
- has the NSC employed his sub-contractors registered under the respective
trades available in the Registered Specialist Trade Contractors Scheme?
- has the NSC ensured his sub-contractors to employ their further sub-
contractors registered under the respective trades available in the Registered
Specialist Trade Contractors Scheme?
Item 7.8 Anti-mosquito breeding
- has the contractor treated stagnant water on site and to take proper measures
to guard against mosquito breeding?
- has the contractor reacted promptly to improve the control of mosquito
breeding after written warning? A poor or very poor performance in this
aspect will result in “Poor” or “Very Poor” rating in this item respectively.
Item 7.9 Compliance with site uniform requirements
(a) For all public works contracts tendered before 1 February 2017
- has the contractor’s uniform design been submitted in a timely manner and
in compliance with the contract requirements?
- has the contractor provided the uniform and uniform changing facilities (if
required) in accordance with the contract requirements?
- is the uniform being maintained in reasonably tidy and good conditions?
- are uniform items that are damaged, torn, worn, expired or lost replaced
promptly?
- has the contractor taken reasonable steps to ensure that his site personnel
wear the uniform provided when they are on site?
- have the audit results on the wearing of uniform been satisfactory?
- are the uniform changing facilities (if required) maintained in accordance
with the contract requirements?
(b) For all public works contracts tendered on or after 1 February 2017
- has the contractor’s uniform design been submitted in a timely manner and
in compliance with the contract requirements?
- has the contractor taken reasonable steps to ensure that all non-casual
workers (who are expected to work on the Site more than 7 days) involved
in site works wear the uniform when they are on site?
Item 7.10 Productivity enhancements
- has the contractor followed the mechanisation/prefabrication and other

productivity-enhanced means in the Technical Proposal?
- has the contractor adopted appropriate construction methods,
technologies and processes, e.g. use of prefabricated formwork?
- has the contractor used innovative construction technologies, methods
and systems or innovative application of existing technologies, methods
and systems to enhance productivity?
- has the contractor used appropriate mechanical plant and equipment, e.g.
self-climbing or crane-lifted scaffold for work at height, etc.?
- has the contractor followed good site practices, such as monitoring of
trade productivity, provision of appropriate plant training to workers?
Section 8 - Resources
The level of resources provided by the contractor should be reviewed in monthly progress meetings and
improvement, where needed, should be pointed out specifically by the RO. The contractor shall be rated
"Very Poor" if he consistently fails to make improvement in the period and fails to achieve the targeted
progress for the period or the standards of workmanship specified.
Item 8.1 Adequacy of plant resources
- has the contractor provided sufficient plant resources of suitable state and
condition to achieve the planned progress?
Item 8.2 Adequacy of labour resources
- has the contractor provided sufficient labour resources of suitable levels of

skill to achieve the planned progress and the specified workmanship?
Item 8.3 Adequacy of material resources
- has the contractor provided sufficient temporary and permanent material to

achieve the planned progress and the specified quality requirement?
Section 9 – Design
The contractor is required to comply with the contract specification and/or Employer’s Requirements and
also, where applicable, any better offers in the contractor’s Technical Proposal which forms part of the Contract
in order to be awarded a “Satisfactory” grade.
Item 9.1 Collection and appreciation of information (e.g. design codes, design
parameters)
- has the contractor collected all relevant data and interpreted them
correctly?
- have sufficient site surveys and investigation been carried out?
- have comprehensive design notes (memoranda) been prepared to
summarize design criteria?
- are design criteria appropriate?
- do the design criteria meet relevant design codes and regulations?

- are design checking procedures specified (in case they are not specified
by the Employer and/or in the Contract)?
Item 9.2 Adequacy and quality of design solutions
(a) General
- is the design complete?
- can the design satisfy the contractual and/or Employer’s Requirements
and/or Technical Proposal where better offers have been included?
- are the design solutions cost effective and in compliance with the
contractual and/or Employer’s Requirements and/or Technical Proposal
where better offers have been included?
- have adequate consideration, allowance and provision been given for
possible variation, if appropriate?
(b) Specific requirements

- has adequate attention been given to aesthetical design and overall
appearance including landscaping?
- has the contractor taken into account all the functional and planning
requirements specified in the contract in developing the design?
- has the contractor adequately addressed effectiveness, ease of
construction and associated risks in developing the structural layout?
- are the buildings services and related systems designed and planned
with sufficient efficiency and flexibility for future replacement,
alteration and expansion?
- has the contractor provided satisfactory operation and maintenance
facilities in terms of efficiency, user-friendliness and durability?
(c) Better design solutions

- has the contractor proposed and implemented successfully any design
changes resulting in appreciable benefits to the client, such as saving in
cost, reduction of construction time and/or enhanced quality?
Item 9.3 Environmental friendliness, health and safety, innovation, energy efficiency,
life cycle costs and productivity enhancements
(a) Environmental friendliness, health and safety

- is the design satisfactory in terms of environmental friendliness with
usage of non-renewable resources reduced, materials harmful to people
and the environment avoided and sufficient green measures
incorporated?
- are environmentally friendly materials, such as recycled and reusable
materials and processes adequately incorporated in the design?
- has the contractor taken sufficient consideration of health and safety in
developing the design and provided sufficient mitigation measures to
minimize health and safety hazards?
(b) Innovation
- is adoption of innovative and intelligent building/structural design
solutions and construction methods satisfactory?
- is adoption of innovative and intelligent designs of building service,
mechanical and electrical equipment, electronic systems and other
operation and maintenance facilities satisfactory?
- has the contractor adequately incorporated innovative green measures?
- Can the adopted innovative solutions enhance quality, optimize costs
and minimize risks and impacts?
(c) Energy efficiency and life cycle costs

- has the contractor given sufficient consideration to energy efficiency in
designing the general configuration of the structure/facility, e.g.
orientation to optimize daylight utilization?
- have adequate energy saving measures been incorporated?
- has the use of energy efficient features and renewable energy
technologies been sufficiently considered pursuant to DEVB TC(W)
No. 2/2015 and its subsequent amendments?
- are design solutions sufficiently cost effective with due regards to the
total cost over the project life to optimize the costs of construction,
operation, maintenance, replacement and energy consumption?
(d) Productivity enhancements

- has the contractor given consideration to labour-efficient measures in
the design?
- can the adopted innovative measures and construction methods or
innovative application of existing measures and construction methods
effectively improve the workers’ productivity?
Item 9.4 Consultation with relevant Government departments and utility
undertakers
- have all relevant departments and utility undertakers been consulted?
- does the design reflect comments and views of relevant departments and
utility undertakers?
- have statutory submissions as required under various ordinances and
regulations been made in time?
- are the submissions in compliance with all the relevant statutory
requirements?
- have timely and proper coordination been made with the relevant utility
undertakers?
- have utility submissions been made promptly?
Item 9.5 Quality and promptness of design submissions

(a) General
- have design documents been submitted in time to meet the construction
programme?
- is the design clearly and fully presented?
- have drawings been prepared and do they provide necessary information
for the contractor’s design to be assessed?
- have drawings incorporated the client’s/Engineer’s comments?
- have specified design checking procedures been followed?
- have the necessary procedures/schedule for verification of the design
assumptions and the corresponding measures for catering for variations
been clearly given in the design?
- has the contractor followed the procedures set out in the contract promptly
and effectively to change design in response to variations to the
Employer’s Requirements which are necessary for the completion of the
Works as ordered by the Engineer?
(b) Additional considerations for D & B Contracts

- has Project Design Plan been submitted and updated within specified time
frame?
- is the Project Design Plan clear, complete and in compliance with the
contract requirements?
- have Approval in Principle submissions been made within specified time
frame?
- are the Approval in Principle submissions clear, complete and in
compliance with the contract requirements?
- have Detailed Design Approval submissions been made within specified
time frame?
- are the Detailed Design Approval submissions clear, complete and in
compliance with the contract requirements?
Item 9.6 Quality and timely submission of as-built drawings, maintenance manuals
and warranties
- has submission of warranties, maintenance manuals and as-built drawings

met specified time frame?
- are the as-built drawings clear and comprehensive?
- do the as-built drawings incorporate all changes ordered or made?
- do the as-built drawings include relevant construction details?
- are the as-built drawings sufficient for future maintenance and
alteration/extension?
- have all necessary recommendations on maintenance requirements of all
elements of works been given in the maintenance manuals?
Note
This section is generally applicable to all contracts with design elements, instead of Design and Build
contracts only. Please refer to Notes 2, 3 & 4 in Part A of Appendix 4B to the Handbook for the weighting
to be given for this section or individual aspect of performance.
Section 10 - Attendance to emergency (term contracts)
Item 10.1 Response to call
- does the contractor respond with appropriate promptness to emergency calls

at all times of the day?
Item 10.2 Attendance to on-call emergency repairs
- is the contractor readily available when required to attend to repairs?

- does the contractor attend to on-call and emergency duties with due care and
diligence?
Item 10.3 Speed of emergency repairs
- does the contractor carry out emergency repairs with adequate speed and
promptness when instructed?
- are the emergency repair works of adequate standard?
ANNEX 1 Scoring Method for Item 6.1 Site Cleanliness in Section 6 on General Obligations
6.1 Site Cleanliness Criteria Max. Mark

Is the site generally tidy and clean? • Adequate Number of rubbish bin provided 5
• Rubbish collection point provided
• Rubbish properly collected
• No scattered loose debris and materials
• No storage of materials on passageways
• Dust adequately suppressed
• No Dripping water
• Adequate and suitable lighting
• No projecting nails or sharp objects are used and left on site
• Passageways kept free of obstruction
• Demarcated walkway and storage area provided as required
Has the contractor spent effort in keeping the site clean and tidy? • Cleaning team provided 3
• Staff assigned for cleaning
• Arrangement or daily cleaning
• Records kept
• Housekeeping plan provided
• Toolbox training provided
• Pest control measures adopted
• Equipment is isolated prior to cleaning and routine maintenance operations
• Adequate toilet for employees, male/female toilets
• Hand washing facilities for employees, nature of work may require shower facilities
Are materials, including materials required for temporary works, • No unstable storage of materials (Height < 2m) 4
stored in an orderly manner? • Cylindrical materials wedged
• Chemicals properly labeled
• No obvious overloading of floor or structure
• DG / Chemical store provided
• Demarcated area for storage provided
Has the contractor maintained all public access within the site tidy? • Worker deploy to maintain the site entrance cleanliness 5
• No storage materials at the public access
• Dust suppression at the public access
• Hoarding provided
• Demarcated works area provided
• Sufficient warning and lighting provided
• Safe, approved methods for cleaning and/or maintaining equipment are used.
• Equipment and work areas are cleaned/maintained according to agreed safety, preventative
maintenance schedules, and where applicable, manufacturer specifications.

Scoring Method for Item 6.1 Site Cleanliness in Section 6 on General Obligations Annex 1 to Appendix 4B
6.1 Site Cleanliness Criteria Max. Mark

Has the contractor reacted promptly to complaints on untidy site • Rectify the complaints made within the time limit specified by the RO with written rectification 4
conditions? report provide to the client
• Any complaint hotline established
• Compliant hotline easily reachable
• Designated person responsible for handling complaints
• Verification with Meeting minutes / Monthly report
Has the contractor reacted promptly to improve the tidiness and • Rectify the complaints made within the time limit specified by the RO with written rectification 5
cleanliness on untidy site conditions after written warning? A poor or report provide to the client
very poor performance in this aspect will result in “Poor” or • Verification with Meeting minutes and Monthly Report
“Very poor” rating in item 6.1.
Score of this main item = Sum of marks obtained for all relevant sub-items x 100%
Sum of maximum marks for all relevant sub-items
Rating of Item 6.1 : Very Good / Good / Satisfactory / Poor / Very Poor
( >85% / >70-85% / >50-70% / >30-50% / 0-30% )

APPENDIX 4C Category Codes
The following category codes shall be used for the “Predominant category of work” in Section A Part I -
Summary of Performance.
Category Code Description
AIR Air-conditioning Installation
AUDI Audio Electronics Installation
BD Buildings
BEAR Supply and Installation of Bearings for Highway Structures
BITU Supply of Bituminous Pavement Materials and Construction of Special Bituminous Surfacing
BURG Burglar Alarm and Security Installation
COAE Broadcast Reception Installation
COKI Catering Equipment Installation
DIES Diesel Generator Installation
ELEC Electrical Installation
ELME Electrical and Mechanical Installation for Sewage Treatment and Screening Plant
ELTI Electronic Timing and Display Installation
EXPA Supply and Installation of Expansion Joints for Highway Structures
FABU Fabrication of Unfired Pressure Vessels
FIRE Fire Service Installation
FOUN Fountain Installation
GAS Liquefied Petroleum Gas Installation
GLAS Design, Manufacture and Installation of Glass (or Fibre) Reinforced Plastic Units for Highway Structures
GROU Ground Investigation Field Work
INDU Industrial Type Electrical Installation
LAND Land, Engineering and Hydrographic Survey Services
LANP Landslip Preventive/Remedial Works to Slopes/Retaining Walls
LANS Landscaping
LIAP Survey of Lifting Appliances and Lifting Gear
LIFT Lift, Escalator and Passenger Conveyor Installation
LOVO Low Voltage Cubicle Switchboard Installation
MANU Mechanical Plant and Equipment Installation
MECH Mechanical Handling and Lifting Installation
Appendix 4C Page 1 of 2
Category Codes Appendix 4C
Category Code Description
OTHE Others
PILE Land Piling
PI Plumbing Installation
PREF Transparent Panels for Noise Barriers on Highways
PRES Prestressed Concrete Works for Highway Structures
PUMP Supply and Installation of Pumpsets and Associated Pipework
PW Port Works
RADI Radio Electronics Installation
RD Roads and Drainage
REHI Repair and Restoration of Historic Buildings
ROAD Road Marking
SF Site Formation
SOIL Soil and Rock Testing
SPEC Specialized Operations for Highway Structures
STBO Survey of Government Land Steam Boilers
STEA Steam and Compressed Air Installation
STRU Structural Steelwork
SURV Survey of Government Land Pressure Receivers subject to Steam and Air Pressure (but excluding Steam
Boilers)
SWIM Swimming Pool Water Treatment Installation
TURN Turn-key Interior Design and Fitting-out Works
UNIN Uninterruptible Power Supply Installation
VIDE Video Electronics Installation
WATE Supply and Installation of Water Treatment Plant
WW Waterworks
APPENDIX 4D Outline Timetable for Reporting on Contractors’ Performance

No. of Working Days after the Reporting Day (Saturday not counted as working day)
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35
(1) RO to send report to RRC
(2) Contractor to be sent an advance copy

of the report
(3) RRC to review all the reports
(4) For reports where contractors have not raised any disagreements or RRC has not proposed any alterations
(a) RRC to arrange uploading of reports Receipt of Adverse reports
and MRC to review Adverse reports by MRC, etc. from RRC
(5) For reports where contractors have raised disagreements
(a) Contractor to notify RRC of
disagreements in advance
(b) Contractor to submit representations

to RRC
(c) RRC to review representations and

make decisions
(d) RRC to arrange uploading of reports Receipt of Adverse reports

(6) For reports where RRC has proposed alterations
(a) Contractor to notify RRC if they Receipt of RRC’s proposed
disagree with proposed alterations alterations by contractor
(b) Contractor to submit representations
to RRC in case of disagreement
(c) RRC to review representations and
make decisions
(d) RRC to arrange uploading of reports Receipt of Adverse reports
Note: Refer to paragraph 4.6.4 for details.
Appendix 4D Page 1 of 1
Revision B-13 dated 9 May 2014
APPENDIX 5A Standard Warning Letter for Poor Performance
Addressed to Contractor
Sent by registered post
Dear Sirs,
List of Approved Contractors for Public Works:

Category ( ), Group ( )
List of Approved Suppliers of Materials and Specialist Contractors for Public Works
(Category of work)
An Adverse report has been made in respect of your performance during the period
( date ) to ( date ) on contract no. ( number and name ).
Particular aspects of your performance during this period which have given rise to the adverse
report are:-
( details )
I urge you to make a rapid and substantial improvement in your performance. Should there be
further Adverse reports, I will have to call for more frequent assessments of your performance and your
competence to carry out further government contracts will be reviewed. This may result in your suspension
from tendering, downgrading or removal from the list.
( name )
for (Director of Reporting Department)
c.c. SEO(PS), DEVB
c.c. (Director of Managing Department)

(For attn. of Secretary of the Managing Review Committee)
APPENDIX 5B Standard Letter for Withdrawal of Tender – Type A
Dear Sir,
List of Approved Contractors for Public Works/

for Public Works*
[Category]
[Contract No.]
[Contract Title]
[Nature of the Conduct]
You are an approved contractor on the List of Approved Contractors for Public Works/List
of Approved Suppliers of Materials and Specialist Contractors for Public Works* under the [works
category concerned] category.
You have submitted a tender for the above contract. However, you have [state nature of
the inappropriate conduct].
I draw your attention to paragraph 5.13.6 of the Contractor Management Handbook –

Revision No. [ ] (CMH) that [state nature of the inappropriate conduct] may warrant regulating action
to be taken against you such as suspension from tendering or removal from the above category.
You are therefore required to present me with an explanation stating your reasons for [state
nature of the inappropriate conduct] within two weeks from the date of this letter.
Standard Letter for Withdrawal of Tender – Type A Appendix 5B
Should you fail to respond by the deadline stipulated in this letter or if your response fails
to dispel any reasonable suspicions as to your capability or integrity arising from the inappropriate conduct
aforementioned, the said conduct shall be counted for the purpose of taking regulating action outlined in
sub-paragraph 5.13.6(b) or (c) of the CMH.
Yours faithfully,
([Name])
for Director of [Managing Department]
c.c. SEO(PS), DEVB
* Delete as appropriate
APPENDIX 5C Standard Letter for Withdrawal of Tender – Type B
Dear Sir,

for Public Works*
[Category]
[Contract No.]
[Contract Title]
I have considered your letter ref. [letter ref.] dated [date] setting out your reasons for [state
nature of the conduct] and am satisfied on the basis of your letter that the [state nature of the conduct]
do(es) not give rise to reasonable suspicions as to your capability or integrity.
Following the procedure set out in the Contractor Management Handbook – Revision No.
[ ] (CMH), this matter will be recorded but will not be counted for the purposes of the imposition of
regulating action outlined in sub-paragraphs 5.13.6(b) and (c) of the CMH.
I trust you will continue to exercise reasonable care in preparing and submitting tenders for
public works contracts.
Yours faithfully,
([Name])
c.c. SEO(PS), DEVB
APPENDIX 5D Standard Letter for Withdrawal of Tender – Type C
Dear Sir,

List of Approved Suppliers of Materials and Specialist Contractors for Public Works*
[Category]
[Contract No.]
[Contract Title]
I note that you have failed to respond to my letter [letter ref.] dated [date] concerning the
captioned [state nature of the conduct]./I have considered your letter ref. [letter ref.] dated [date] setting
out your reasons for [state nature of the conduct] and am satisfied that the said conduct does give rise to
reasonable suspicions as to your capability or integrity*. As such, the said conduct will be counted for
the purpose of taking regulating action against you.
I must warn you that if you still engage in conduct as set out in paragraph 5.13.1 of the
Contractor Management Handbook – Revision No. [ ] (CMH) in the same category and which gives rise
to reasonable suspicions as to your capability or integrity without a reason acceptable to us, I am obliged,
in accordance with paragraph 5.13.6 of the CMH, to recommend to the Development Bureau to: -
(a) remove you from the above category if the said conduct is committed within twelve months
from [the tender closing date of the contract in question]; or
(b) suspend you from tendering for public works contracts in the above category for six months
if the said conduct is committed outside the twelve-month period but within thirty-six
months from [the tender closing date of the contract in question].
Standard Letter for Withdrawal of Tender – Type C Appendix 5D
In future please take reasonable care in preparing and submitting tenders for public works
contracts.
Yours faithfully,
([Name])
c.c. SEO(PS), DEVB
APPENDIX 6A Notes for Application for Substitution
Substitution involves a company, firm or joint venture (“the new company”) which is normally not on the
List or the Specialist List substituting for an approved contractor (“the outgoing company”) on the List
and/or the Specialist List. The following requirements must be complied with for any application for
substitution:
(1) The conditions and pre-requisites set out in Sub-section 6.6 and this Appendix 6A must be
complied with for any application for substitution.
(2) All contractors on the List and/or the Specialist List including those who are currently under
suspension are eligible to apply for substitution. Approval on substitution will only be given
if the outgoing company is cleared of all suspension.
(3) Applications involving a contractor on the List for substituting contractor on the Specialist List,
or vice versa, are not permitted unless the contractors involved are within the same company
group1 for at least three years prior to the date of application for substitution.
(4) Applications involving a contractor not on any of the List or the Specialist List for substituting
contractor on either the List or the Specialist List are also not permitted, if the businesses of the
new company do not cover the categories in the List or the Specialist List to which the
businesses of the outgoing company belong, unless the contractors involved are within the
same company group for at least three years prior to the date of application for substitution.
The Secretary for Development shall have the absolute discretion to determine whether the
businesses of the new company are covered by the categories in the List or the Specialist List to
which the businesses of the outgoing company belong.
(5) The outgoing company must surrender to the new company and the new company must assume
from the outgoing company all relevant managerial and technical staff and other resources
previously vested with the outgoing company.
(6) If the new company meets the admission criteria, the substitution will be approved subject to
the outgoing company being still on the company register kept by the Registrar of Companies
(for a limited company) or the unincorporated body or partnership has not yet been dissolved as
at the date of the approval.
1
Two Contractors are regarded as within the same company group if they are companies, or undertakings within either of the
following, with valid documentary proof:
- companies within the same ‘group of companies’ within the meaning of the Companies Ordinance (Cap. 622),
- undertakings where one is a ‘parent undertaking’ in relation to the other, within the meaning of the Companies Ordinance
(Cap. 622), or
- undertakings where both are ‘subsidiary undertakings’ in relation to the same ‘parent undertaking’, within the meaning of
the Companies Ordinance (Cap. 622).
Notes for Application for Substitution Appendix 6A
(7) Normally, all novation agreements of outstanding contracts, if any, the Government has
previously entered into with the outgoing company are to be executed among the new
company, the outgoing company and the Government on the day of substitution unless
otherwise recommended by the Managing Departments. Here, outstanding contracts refer to
contracts where final payment certificates have not yet been issued and contracts where final
payment certificates have been issued unilaterally by the Engineers/Architects but disputed by
the contractor.
(8) The outgoing and the new companies have to submit a duly executed undertaking to the
Government as shown at Appendix 6B jointly prior to substitution. If the substitution
involves execution of novation agreements, the undertaking may be signed on the day of
substitution together with but prior to the signing of novation agreements.
(9) Once the new company has been included in the List and/or the Specialist List, the following
listing status and records of the outgoing company are deemed to have been transferred to the
new company and will be regarded as the listing status and records of the new company in the
consideration of its future bids for Government works:
(a) company experience in undertaking public works contracts, and private sector contracts
including the Housing Authority contracts in and outside Hong Kong;
(b) performance reports and performance ratings kept by DEVB;
(c) conviction records of offences committed under Land (Miscellaneous Provisions)

Ordinance (Cap. 28), Immigration Ordinance (Cap. 115), Employment Ordinance (Cap.
57), Factories and Industrial Undertakings Ordinance (Cap. 59), the Public Health and
Municipal Services Ordinance (Cap. 132), the Occupational Safety and Health
Ordinance (Cap. 509), Shipping and Port Control Ordinance (Cap. 313), Anti-pollution
Control Ordinance (Cap.311), Noise Control Ordinance (Cap. 400), Waste Disposal
Ordinance (Cap.354), Water Pollution Control Ordinance (Cap. 358), Dumping at Sea
Ordinance (Cap.466), Ozone Layer Protection Ordinance (Cap.403) and Environmental
Impact Assessment Ordinance (Cap.499), the Merchant Shipping (Local Vessels)
Ordinance (Cap. 548), Hazardous Chemicals Control Ordinance (Cap. 595), and other
ordinances and related subsidiary legislations;
(d) regulating actions taken against the outgoing company; and
(e) accident records under the public works contracts kept by DEVB.
(10) In an application for substitution, the following documents must be furnished:
(a) a legal opinion from an independent legal firm certifying that subject to the novation
agreements for outstanding public works contracts, there has been full transfer of the
relevant liabilities, assets, staff and resources from the outgoing company to the new
company upon completion of organizational restructuring. Under exceptional
circumstances subject to the Secretary for Development’s absolute discretion, the
transfer, after the substitution, of those liabilities, assets, staff and resources that are
relevant to
(1) the private sector contracts to be novated; or

(2) the public works contracts and are shared with the outgoing company;
Notes for Application for Substitution Appendix 6A
may be considered and allowed if justified with proof demonstrated by the outgoing and
the new companies. The Secretary for Development shall have the absolute discretion
to decide whether to allow this post-substitution transfer and impose conditions this
transfer has to comply with. If such conditions cannot be compiled with, the new
company will be subject to removal from the List or the Specialist List;
(b) a deed provided by the new company to undertake continual employment of personnel
and staff that are relevant to the listing requirements as specified in Appendix 2A and/or
Appendix 3C, whichever appropriate, for a period of three years, if the application is
not based on a change of structure of the outgoing contractor from a partnership
(comprising individuals only) or sole proprietorship to a limited company. Any
replacement of personnel and staff that are relevant to the above-mentioned listing
requirements shall only be allowed on the basis of equal or better quality;
(c) a deed provided by the outgoing company to undertake not to make any reference to
any of its company experience and past performance records;
(d) a certified copy of the Application by Firm or by other Body Unincorporate for
Registration of Business Carried On by such Body in Hong Kong [i.e. Form 1(c) issued
by the Inland Revenue Department] of the outgoing company, if the application is based
on change of structure of the outgoing contractor from a partnership (comprising
individuals only) or sole proprietorship to a limited company.
(e) a full list of the new company’s directors and shareholders filed in the Companies
Registry;
(f) a certified true copy of Business Registration Certificate, the Certificate of

Incorporation and the Memorandum & Articles of Association of the new company, if
applicable;
(g) the original or a certified true copy of the latest 3 years’ unconsolidated audited
financial statements, if any, of the new company;
(h) a certified statement of outstanding contracts of the new company (including contracts
held with the private sector including the Housing Authority); and
(i) a certified statement of all contracts to be novated in respect of the outgoing company.
(11) Both the outgoing company and the new company shall follow the rules set out in DEVB
TC(W) No. 7/2014 and prepare the necessary documents for the signing of an Undertaking to
the Government as shown at Appendix 6B, and the execution of the novation agreements
which will be held on the date of approval of the proposed substitution.
Sample of Undertaking Appendix 6B
APPENDIX 6B Sample of Undertaking
THIS UNDERTAKING is made the [ ] day of [insert month and year] by [name of the company
being substituted] whose registered office is at [ ] ("Company A") and [name
of the substituting company] whose registered office is at [ ]
("Company B") to the Government of the Hong Kong Special Administrative Region ("the Government").
WHEREAS
(a)# Company A is included in the List of Approved Contractors for Public Works maintained by the
Government under Group [ ] (Confirmed/Probationary) of the
[ ] category(ies) and in the List of Approved
Suppliers of Materials and Specialist Contractors for Public Works maintained by the Government
under Group [ ] of the [ ] category.
(b)# Company A and Company B (hereinafter collectively called "the Companies") have applied to the
Government to include Company B in the List of Approved Contractors for Public Works maintained
by the Government under Group [ ] (Confirmed/Probationary) of the
[ ] category(ies) and in the List of Approved Suppliers of Materials
and Specialist Contractors for Public Works maintained by the Government under Group [ ] of the
[ ] category in substitution for Company A ("the Substitution").
NOW THE TERMS OF THIS UNDERTAKING are as follows: -
1. In consideration of the Government agreeing to consider the Substitution application, the Companies
hereby irrevocably and unconditionally give this Undertaking to the Government in the event of approval
being given by the Government in respect of the Substitution.
2. In respect of any agreement made before the date of the Substitution between the Government and
Company A and which agreement the Government requires novation, the Companies shall, upon request by
the Government, duly execute as a deed with the Government a novation agreement in a form as shown at
Appendix 6C to the Contractor Management Handbook (with only such amendments as may previously
have been approved by the Government).
3. In respect of any agreement made before the date of the Substitution between the Government and
Company A together with other person or persons trading as an unincorporated joint venture and which
agreement Government requires novation, the Companies shall, upon request by the Government, duly
execute as a deed with the Government a novation agreement in a form as shown at Appendix 6D to the
Contractor Management Handbook (with only such amendments as may previously have been approved by
the Government) and procure that such other person or persons in the unincorporated joint venture shall
duly execute as a deed the same novation agreement.
# Relevant details to be inserted.
4. Where Company A has before the date of the Substitution submitted a tender for any contract put to
tender by the Government and where such contract is awarded by the Government on or after the date of
the Substitution to Company A, then in respect of such contract, the Companies shall, upon request by the
Government, duly execute as a deed with the Government a novation agreement in a form as shown at
Appendix 6C to the Contractor Management Handbook (with only such amendments as may previously
have been approved by the Government).
5. Where Company A together with other person or persons trading as an unincorporated joint venture
have before the date of the Substitution submitted a tender for any contract put to tender by the
Government and where such contract is awarded by the Government on or after the date of the Substitution
to the unincorporated joint venture, then in respect of such contract, the Companies shall, upon request by
the Government, duly execute as a deed with the Government a novation agreement in a form as shown at
Appendix 6D to the Contractor Management Handbook (with only such amendments as may previously
have been approved by the Government) and procure that such other person or persons in the
unincorporated joint venture shall duly execute as a deed the same novation agreement.
6. The Companies shall submit such documents as the Government may require to satisfy itself
regarding due execution by the Companies of any novation agreement as referred to in this Undertaking
and, where Clause 3 or Clause 5 of this Undertaking applies, shall procure submission by the other person
or persons as referred to in Clause 3 or, as the case may be, Clause 5 of this Undertaking of such
documents as the Government may require to satisfy itself regarding due execution by such other person or
persons of any novation agreement as referred to in this Undertaking.
7. The Companies hereby irrevocably and unconditionally agree to indemnify the Government against
all losses, damages, costs and expenses the Government may incur or suffer as a result of their failing to
abide by this Undertaking.
8. The Companies hereby represent that, with respect to their obligations, liabilities or any other matter
under or arising out of or in connection with this Undertaking, neither they nor any of their properties or
assets have, in the Hong Kong Special Administrative Region, or in any other jurisdiction, any right of
immunity on the grounds of sovereignty or otherwise from any legal action, suit or proceedings; from the
giving of relief in any legal action, suit or proceedings; from set-off or counterclaim; from the jurisdiction
of any court, in the Hong Kong Special Administrative Region or in any other jurisdiction; from service of
process upon them or any agent; from attachment prior to judgment in order to obtain satisfaction thereof;
from attachment after judgment or from execution or any other process for the endorsement of any
judgment or other legal process in any jurisdiction; and to the extent that the Companies are or become
entitled to any immunity as aforesaid, in the Hong Kong Special Administrative Region or in any other
jurisdiction with respect to their obligations, liabilities or any other matter under or arising out of or in
connection with this Undertaking, the Companies do hereby and will irrevocably and unconditionally
waive and agree not to plead or claim any such immunity. The Companies further consent to the giving
of any relief in any legal action, suit or proceeding and to execution and or any other form of process for
the enforcement of any judgment against them or their assets.
9. For the purposes of Clauses 2, 3, 4 and 5 of this Undertaking, the date of the Substitution shall be a
date to be notified in writing by the Government to the Companies which date shall not be earlier than the
date of this Undertaking.
10. Company A and Company B each agrees to be jointly and severally liable for the Companies'
obligations under this Undertaking.
11. Words importing the singular only also include the plural and vice versa where the context requires.
12. The Appendices hereto shall form part of this Undertaking.
13. This Undertaking shall be governed by and construed in accordance with the laws for the time being
in force in the Hong Kong Special Administrative Region and the Companies hereby submit to the
non-exclusive jurisdiction of the courts of the Hong Kong Special Administrative Region.
14. Nothing in this Undertaking confers or purports to confer on any third party any benefit or any right
pursuant to the Contracts (Rights of Third Parties) Ordinance (Cap. 623) to enforce any term of this
Undertaking.
IN WITNESS whereof this Undertaking has been executed as a deed on the date first above written.
(a)* SIGNED, SEALED and DELIVERED )

by [name of sole proprietor] )
trading as [name of Company A] )
in the presence of: )
)
) L.S.
......................................................................... ) [Signature of the
[Name] ) sole proprietor]1
[Occupation] )
[Address] )
Or
(b)* SIGNED, SEALED and DELIVERED by )

[name of partner] and )
[name of partner]3 )
being the partners of [name of Company A] ) [Signature of the L.S.
in the presence of: ) individual
) partner]1
)
......................................................................... ) L.S.
[Name] ) [Signature of the
[Occupation] ) individual
[Address] ) partner]1
Or
(c)* Executed and delivered )

as a deed and the COMMON SEAL )
of [name of Company A] )
was affixed in the presence of )
[ ] its [director(s) or )
Common
director and secretary or person(s) ) [Signature of the Seal
authorized to sign the contract by its ) director(s) etc.]1
board of directors]2 )
in the presence of a witness: )
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Or
(d)* Executed and delivered )

as a deed )
by [name of Company A] )
acting through )
[ ] (its sole director) )
or ) [Signature of the
[ ] and [ ] (its directors) ) director(s) etc.]1
or )
[ ] (its director) and )
[ ] (its company secretary)2 )
)
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
)
Or
(e)* SIGNED, SEALED and DELIVERED by )

[name of Company A] by [ ] )
his/her/its2 attorney under power of attorney )
dated [ ] )
) [Signature of the
in the presence of: ) attorney]1 L.S.
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Notes (for the preparation of but not inclusion in the engrossment of this Undertaking)
* Repeat the appropriate form for execution by Company B.
(a) For use where Company A is a sole proprietor.
(b) For use where Company A is a partnership.
(c) For use where Company A is a company incorporated in Hong Kong and executes the deed with a
Common Seal.
(d) For use where Company A is a company incorporated in Hong Kong and executes the deed without
a Common Seal.
(e) For use where Company A executes the deed under a power of attorney.
1 The italic parts are not part of the execution clause. They are for guidance or information only.
2 Select the correct expression for use. If none is applicable, insert an appropriate expression.
3 The deed shall be executed by all the partners. Add more names if required.
APPENDIX 6C Novation Agreement
THIS AGREEMENT is made on the day of (month and year)
BETWEEN
(1) THE GOVERNMENT OF THE HONG KONG SPECIAL ADMINSTRATIVE REGION

(hereinafter called the "Employer")
of the first part, and
(2) [Insert name of Company A] whose registered office is at [ ]

(hereinafter called the "Contractor") of the second part and
(3) [Insert name of Company B] whose registered office is at [ ]

(hereinafter called the "New Contractor") of the third part.
WHEREAS: -
(a) The Employer and the Contractor have entered into (an) agreement(s) including supplementary
agreement(s) thereto if any (hereinafter called the "Contract(s)") for the execution of certain works
described and known as
[GIVE DETAILS OF EACH CONTRACT TO BE NOVATED, GIVING CONTRACT NUMBER,

DATE AND TITLE]
upon the terms, conditions and covenants therein specified.
(b) The Contractor wishes to be released and discharged from the Contract(s) and the Employer has
agreed to release and discharge the Contractor upon the terms of the New Contractor's agreement to
perform the Contract(s) and to be bound by the terms of the Contract(s) in place of the Contractor.
NOW IT IS HEREBY AGREED AS FOLLOWS: -
1. The Contractor hereby agrees to transfer absolutely to the New Contractor the Contract(s) and the
full benefit thereof and all remedies for enforcing the same and the New Contractor hereby accepts
the transfer and undertakes to be bound by and observe and perform the terms, conditions and
covenants of the Contract(s) on the part of the Contractor to be observed, performed and satisfied in
every way as if the New Contractor were named a party to the Contract(s) in substitution for the
Contractor and the New Contractor expressly undertakes to assume all liabilities of the Contractor
and to satisfy all claims and demands whatsoever arising out of or in respect of the Contract(s) past,
present and future.
Novation Agreement Appendix 6C
2. The Employer hereby releases and discharges the Contractor, and the Contractor hereby releases
and discharges the Employer, from the Contract(s) and from all claims and demands whatsoever
arising out of or in respect of the Contract(s) past, present and future. The Employer accepts the
liability of the New Contractor to perform the Contract(s) in lieu of the liability of the Contractor.
3. The New Contractor hereby covenants with the Employer to fulfil and discharge the terms,
conditions and covenants of the Contract(s) on the part of the Contractor in every way as if the New
Contractor were named a party to the Contract(s) in substitution for the Contractor and to assume all
liabilities of the Contractor and to satisfy all claims and demands whatsoever arising out of or in
respect of the Contract(s) past, present and future and the Employer hereby covenants with the New
Contractor to be bound to the New Contractor to observe and perform the terms, conditions and
covenants of the Contract(s) on the part of the Employer to be observed and performed and hereby
acknowledges that the New Contractor is entitled to the full benefit of the Contract(s).
4.^ The Contractor and the New Contractor shall jointly and severally, indemnify and keep indemnified
the Employer against all losses, damages, costs, expenses, claims or liabilities etc. and any legal or
other professional costs (on a full indemnity basis) incurred or suffered (whether direct or indirect)
arising out of or in connection with any challenge or meeting any challenge to this novation
transaction, in particular under [section 266 of the Companies (Winding Up and Miscellaneous
Provisions) Ordinance (Cap. 32)] [section(s) 49 and/or 50 of the Bankruptcy Ordinance Cap. 6]
[section 266 of the Companies (Winding Up and Miscellaneous Provisions) Ordinance (Cap. 32)
and section(s) 49 and/or 50 of the Bankruptcy Ordinance Cap. 6 as appropriate]#.
5. Nothing in this Agreement confers or purports to confer on any third party any benefit or any right
Agreement.
IN WITNESS whereof this Agreement has been executed as a deed on the date first above written.
SIGNED, SEALED and DELIVERED by )

the Employer by )
[insert name and appointment of officer] )
)
) [Signature of the officer]1 L.S.
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )

)
) [Signature of the sole L.S.
......................................................................... ) proprietor]1
[Name] )
[Occupation] )
[Address] )
Or

in the presence of: ) individual partner]1
)
)
[Signature of the
......................................................................... ) individual partner]1 L.S.
[Name] )
[Occupation] )
[Address] )
Or

[ ] its [director(s) or ) [Signature of the
Common
director and secretary or person(s) ) director(s) etc.]1
Seal
authorized to sign the contract by its )
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Or

as a deed )
acting through )
[ ] (its sole director) ) [Signature of the
or ) director(s) etc.]1
[ ] and [ ] (its directors) )
or )
)
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
)
Or

2
his/her/its attorney under power of attorney )
dated [ ] )
)
in the presence of: ) [Signature of the L.S.
) attorney]1
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Notes (for the preparation of but not inclusion in the engrossment of this Agreement)
^ The department concerned should consider the need for this indemnity clause in cases of novation
where there is doubt on the financial position of the outgoing contractor but winding up has yet to
commence. The Government normally does not have much details or knowledge of the deal
between the outgoing contractor and the new contractor behind the novation transaction, and there
is a possibility of avoidance of transaction under section 266 of the Companies (Winding Up and
Miscellaneous Provisions) Ordinance (Cap. 32) if the novation is made within 6 months before the
commencement of the outgoing contractor’s winding up or under section(s) 49 and/or 50 of the
Bankruptcy Ordinance.
# Choose the appropriate one, depending on whether the Contractor and the New Contractor are
individuals or companies.
* Repeat the appropriate form for execution by the New Contractor.
(a) For use where the contractor is a sole proprietor.
(b) For use where the contractor is a partnership.
(c) For use where the contractor is a company incorporated in Hong Kong and executes the deed with a
Common Seal.
(d) For use where the contractor is a company incorporated in Hong Kong and executes the deed
without a Common Seal.
(e) For use where the contractor executes the deed under a power of attorney.
APPENDIX 6D Novation Agreement For Unincorporated Joint Venture
THIS AGREEMENT is made on the day of (month and year)
BETWEEN
(1) THE GOVERNMENT OF THE HONG KONG SPECIAL ADMINSTRATIVE REGION (hereinafter
called the "Employer")
of the first part, and
(2) [Insert name of Company A] whose registered office is at

[ ] and
[Repeat the names and registered offices of the other participants of the unincorporated joint venture]
(together trading as [insert the name of the unincorporated joint venture] and hereinafter called the
"Contractor") of the second part, and
(3) [Insert name of Company B] whose registered office is at

[ ] and
[Repeat the names and registered offices of the other participants of the new unincorporated joint venture]
(together trading as [insert name of the new unincorporated joint venture] and hereinafter called the "New
Contractor") of the third part.
WHEREAS: -
(a) The Employer and the Contractor have entered into (an) agreement(s) including any supplementary
agreement(s) thereto if any (hereinafter called the "Contract(s)") for the execution of certain works
described and known as
[GIVE DETAILS OF EACH CONTRACT TO BE NOVATED, GIVING CONTRACT NUMBER,

DATE AND TITLE]
upon the terms, conditions and covenants therein specified.
(b) The Contractor wishes to be released and discharged from the Contract(s) and the Employer has
agreed to release and discharge the Contractor upon the terms of the New Contractor's agreement to
perform the Contract(s) and to be bound by the terms of the Contract(s) in place of the Contractor.
Novation Agreement for Unincorporated Joint Venture Appendix 6D
NOW IT IS HEREBY AGREED AS FOLLOWS: -
1. The Contractor hereby agrees to transfer absolutely to the New Contractor the Contract(s) and the
full benefit thereof and all remedies for enforcing the same and the New Contractor hereby accepts
the transfer and undertakes to be bound by and observe and perform the terms, conditions and
covenants of the Contract(s) on the part of the Contractor to be observed, performed and satisfied in
every way as if the New Contractor were named a party to the Contract(s) in substitution for the
Contractor and the New Contractor expressly undertakes to assume all liabilities of the Contractor
and to satisfy all claims and demands whatsoever arising out of or in respect of the Contract(s) past,
present and future.
2. The Employer hereby releases and discharges the Contractor, and the Contractor hereby releases and
discharges the Employer, from the Contract(s) and from all claims and demands whatsoever arising
out of or in respect of the Contract(s) past, present and future. The Employer accepts the liability
of the New Contractor to perform the Contract(s) in lieu of the liability of the Contractor.
3. The New Contractor hereby covenants with the Employer to fulfil and discharge the terms,
conditions and covenants of the Contract(s) on the part of the Contractor in every way as if the New
Contractor were named a party to the Contract(s) in substitution for the Contractor and to assume all
liabilities of the Contractor and to satisfy all claims and demands whatsoever arising out of or in
respect of the Contract(s) past, present and future and the Employer hereby covenants with the New
Contractor to be bound to the New Contractor to observe and perform the terms, conditions and
covenants of the Contract(s) on the part of the Employer to be observed and performed and hereby
acknowledges that the New Contractor is entitled to the full benefit of the Contract(s).
4. Each of [__________________, ________________ and _______________]+ agrees to be jointly

and severally bound by the terms of this Agreement.
5. Each of [__________________, ________________ and ________________]++ agrees to be jointly

and severally bound by the terms of this Agreement and by the terms of the Contract(s) as novated
by this Agreement.
6.^ The Contractor and the New Contractor shall, and each participant of the Contractor and the New
Contractor as the case may be, jointly and severally, indemnify and keep indemnified the Employer
against all losses, damages, costs, expenses, claims or liabilities etc. and any legal or other
professional costs (on a full indemnity basis) incurred or suffered (whether direct or indirect) arising
out of or in connection with any challenge or meeting any challenge to this novation transaction, in
particular under [section 266 of the Companies (Winding Up and Miscellaneous Provisions)
Ordinance (Cap. 32)] [section(s) 49 and/or 50 of the Bankruptcy Ordinance Cap. 6] [section 266 of
the Companies (Winding UP and Miscellaneous Provisions) Ordinance (Cap. 32) and section(s) 49
and/or 50 of the Bankruptcy Ordinance Cap. 6 as appropriate]#.
Agreement.
IN WITNESS whereof this Agreement has been executed as a deed on the date first above written.

the Employer by )
)
) [Signature of the L.S.
) officer]1
......................................................................... )
[Name] )
[Occupation] )
[Address] )

)
......................................................................... ) sole proprietor]1
[Name] )
[Occupation] )
[Address] )
Or

being the partners of [name of Company A] ) [Signature of the
in the presence of: ) individual L.S.
) partner]1
)
......................................................................... ) [Signature of the
[Name] ) individual L.S.
[Occupation] ) partner]1
[Address] )
Or

Common
Seal
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Or

as a deed )
acting through )
or )
)
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
)
Or

dated [ ] )
)
) attorney]1
......................................................................... )
[Name] )
[Occupation] )
[Address] )
+
Insert the names of the participants comprising the Contractor.
++
Insert the names of the participants comprising the New Contractor
^ The department concerned should consider the need for this indemnity clause in cases of novation
where there is doubt on the financial position of the outgoing contractor but winding up has yet to
commence. The Government normally does not have much details or knowledge of the deal
between the outgoing contractor and the new contractor behind the novation transaction, and there
is a possibility of avoidance of transaction under section 266 of the Companies (Winding Up and
Miscellaneous Provisions) Ordinance (Cap. 32) if the novation is made within 6 months before the
commencement of the outgoing contractor’s winding up or under section(s) 49 and/or 50 of the
Bankruptcy Ordinance.
# Choose the appropriate one, depending on whether the Contractor and the New Contractor are
individuals or companies.
* Repeat the appropriate form for execution by each participant of the Contractor and the New
Contractor.
(a) For use where the joint venture participant is a sole proprietor.
(b) For use where the joint venture participant is a partnership.
(c) For use where the joint venture participant is a company incorporated in Hong Kong and executes
the deed with a Common Seal.
(d) For use where the joint venture participant is a company incorporated in Hong Kong and executes
the deed without a Common Seal.
(e) For use where the joint venture participant executes the deed under a power of attorney.
APPENDIX 6E Supplementary Agreement
THE GOVERNMENT OF THE HONG KONG

SPECIAL ADMINISTRATIVE REGION
[Contract Title and Number]
SUPPLEMENTARY AGREEMENT NO. [ ]
THIS AGREEMENT is made and entered into this day of (month & year)
BETWEEN THE GOVERNMENT OF THE HONG KONG SPECIAL ADMINISTRATIVE REGION

(hereinafter referred to as “the Employer”)
of the one part, and
[insert name of new contractor] whose registered office is at [ ]

(hereinafter referred to as “the Contractor”) of the other part
and is supplemental to a contract known as [contract title and number] (hereinafter referred to as “the
Main Contract”) made on [ ] between the Government of the Hong Kong Special
Administrative Region and [insert name of original contractor] (hereinafter referred to as “the Original
Contractor”).
WHEREAS
(A) By a novation agreement made on [ ] (hereinafter referred to as “the Novation

Agreement”) among the Employer, the Contractor and the Original Contractor, the Original
Contractor’s rights and obligations under the Main Contract have been novated from the Original
Contractor to the Contractor.
(B) The Employer and the Contractor are desirous of clarifying the parties’ rights and obligations under
the Main Contract (as novated in accordance with the Novation Agreement) as regards provision of
the requisite duly executed [insert guarantee, performance bond etc. where appropriate] in
accordance with General Conditions of Contract Clause 12 and Special Conditions of Contract
Clause [ ] for the due performance of the Main Contract by the Contractor.
Appendix 6E Page 1 of 10
Supplementary Agreement Appendix 6E
NOW IT IS HEREBY AGREED BETWEEN THE EMPLOYER AND THE CONTRACTOR AS

FOLLOWS:-
1. This Agreement is supplemental to the Main Contract and the provisions of the Main Contract shall
apply to this Agreement except as provided to the contrary herein. Except as otherwise altered by
this Agreement, the terms of the Main Contract shall remain unchanged in every respect. In the
event of any inconsistency between the terms of the Main Contract and the terms of this
Agreement, the latter shall take precedence. Subject to Clause 2 below, words and phrases
appearing in this Agreement and defined in the Main Contract shall have the same meaning for the
purposes of this Agreement as they have for the purposes of the Main Contract.
2. All references to “Contract” in the Main Contract and this Agreement shall mean the Main Contract
and this Supplementary Agreement No. [ ].
3. The Contractor acknowledges and accepts that it has an obligation to provide to the Employer a
duly executed [insert guarantee, performance bond etc. where appropriate] in the form set out in
the Appendix hereto and that it has not provided to the Employer the requisite duly executed
[insert guarantee, performance bond etc. where appropriate] as at the date of the Novation
Agreement.
4. It is hereby agreed that submission by the Contractor of the requisite duly executed [insert
guarantee, performance bond etc. where appropriate] as referred to in Clause 3 above is a condition
precedent to the Contractor’s entitlement to any payment or any further payment as the case may
be under the Contract and the Employer shall forthwith be entitled to withhold any payment or any
further payment as the case may be to the Contractor under the Contract up to the amount of
[specify the amount of the Bonded Sum] until the Contractor shall have provided to the Employer
the requisite duly executed [insert guarantee, performance bond etc. where appropriate] as referred
to in Clause 3 above.
5. It is hereby further agreed that failure by the Contractor to provide the requisite duly executed
[insert guarantee, performance bond etc. where appropriate] as referred to in Clause 3 above within
45 days of this Agreement shall entitle the Employer either to suspend the Works or to terminate
the Contract forthwith by notice in writing to that effect, notwithstanding that the Contractor may
have been permitted to proceed with the Works, and the Contractor shall not be entitled to any
compensation as a consequence of such suspension or termination.
6. Within 30 days of the provision by the Contractor to the Employer of the requisite duly executed
[insert guarantee, performance bond etc. where appropriate] as referred to in Clause 3 above, the
Employer shall pay the Contractor the sum withheld in accordance with Clause 4 above.
71. Sub-clauses [ ], [ ] and [ ] of Clause [ ] of the Special Conditions of Contract are hereby deleted.
pursuant to the Contracts (Rights of Third Parties) Ordinance (Cap. 623) to enforce any term of
this Agreement.
IN WITNESS whereof this Agreement has been executed as a deed on the day and year first above
written.

the Employer by )
)
) officer]1
......................................................................... )
[Name] )
[Occupation] )
[Address] )

)
......................................................................... ) sole proprietor]1
[Name] )
[Occupation] )
[Address] )
Or

in the presence of: ) individual
) partner]1
)
......................................................................... ) [Signature of the L.S.
[Name] ) individual
[Occupation] ) partner]1
[Address] )
Or

Common
Seal
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Or

as a deed )
acting through )
or )
)
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
)
Or

dated [ ] )
)
attorney]1
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
^ Delete this Clause if not applicable.
Common Seal.
APPENDIX
FORM OF [GUARANTEE, PERFORMANCE BOND etc.]#
CONTRACT NO. __________________
BY THIS BOND dated the day of [ ]
We [Insert name of Contractor] whose registered office is at

[ ] (“the Contractor”) and
[ ] whose registered office/principal business is at
[ ] (“the Surety”) are held and firmly
bound to the Government of the Hong Kong Special Administrative Region (together with its successors
and assigns, “the Employer”) in the sum of [ ] (“the Bonded Sum”) for payment of which
sum the Contractor and Surety bind themselves their successors and assigns jointly and severally in
accordance with the provisions of this Bond.
WHEREAS
(A) By a contract dated [ ] and known as Contract No. [ ] (“the

Contract”) made between the Employer and [Insert name of original contractor] ("the Original
Contractor"), the Original Contractor has agreed to execute and complete certain works as defined in
the Contract (“the Works”) upon the terms and conditions contained in the Contract.
(B) By a novation agreement made on [ ] (“the Novation Agreement”) among the

Employer, the Contractor and the Original Contractor, the Original Contractor's rights and
obligations under the Contract were novated from the Original Contractor to the Contractor.
(C) By Supplementary Agreement No. [ ] to the Contract made on [ ] between the

Employer and the Contractor, the Employer and the Contractor clarified the parties’ rights and
obligations under the Contract (as novated in accordance with the Novation Agreement) as regards
the provision the [insert guarantee, performance bond etc where appropriate] referred to in recital (D)
below.
(D) Pursuant to the terms of the Contract (as amended by the Supplementary Agreement No. [ ]
referred to in recital (C) above), the Contractor agreed to obtain the [insert guarantee, performance
bond etc where appropriate] of a surety to be bound unto the Employer for the due performance of
the Contract by the Contractor.
NOW THE TERMS AND CONDITIONS of this Bond are as follows: -
1. Where applicable, words and expressions used in this Bond shall have the meaning assigned to them
in the Contract.
2. In the event of default by the Contractor in respect of any of its obligations under the Contract the
Surety shall satisfy and discharge any damages, losses, charges, costs or expenses sustained by the
Employer thereby up to the amount of the Bonded Sum.
3. The liability of the Surety under this Bond shall remain in full force and effect and shall not be
affected or discharged in any way by and the Surety hereby waives notice of:
(a) any suspension of the Works, variation to or amendment of the Contract (including without
limitation extension of time for performance) or any concession or waiver by the Employer in
respect of the Contractor’s obligations under the Contract;
(b) the termination of the Contract or of the employment of the Contractor under the Contract
solely as a result of default by the Contractor under the Contract;
(c) any forbearance or waiver of any right of action or remedy the Employer may have against
the Contractor or negligence by the Employer in enforcing any such right of action or
remedy;
(d) any other bond, security or guarantee held or obtained by the Employer for any of the
obligations of the Contractor under the Contract or any release or waiver thereof;
(e) any act or omission of the Contractor pursuant to any other arrangement with the Surety;
(f) the issue of any certificate of completion in respect of part of the Works;
(g) ^ the issue of any certificate of achievement of any Stage.
4. The liability of the Surety under this Bond shall cease on whichever of the following events first
occurs: -
(a) payment by the Surety of the Bonded Sum in full to the Employer; or
(b) expiry of the Maintenance Period or, where there is more than one Maintenance Period,
expiry of the last Maintenance Period.
5. The Employer shall be entitled to assign the benefit of this Bond at any time without the consent of
the Surety or the Contractor being required.
6. All documents arising out of or in connection with this Bond shall be served:
(a) upon the Employer, at [ ], marked for the attention of [ ];
(b) upon the Surety, at [ ] Hong Kong+.
7. The Employer and the Surety may change their respective nominated addresses for service of
documents to another address in Hong Kong but only by prior written notice to each other. All
demands and notices must be in writing.
8. This Bond shall be governed by and construed according to the laws for the time being in force in
Hong Kong and the Surety agrees to submit to the non-exclusive jurisdiction of the courts of Hong
Kong.
9. In this Bond, “Hong Kong” means the Hong Kong Special Administrative Region.
10. Nothing in this Bond confers or purports to confer on any third party any benefit or any right pursuant
to the Contracts (Rights of Third Parties) Ordinance (Cap. 623) to enforce any term of this Bond.
IN WITNESS whereof this Bond has been executed as a deed on the date first above written.

)
) [Signature of the sole L.S.
......................................................................... ) proprietor]1
[Name] )
[Occupation] )
[Address] )
Or

being the partners of [name of Company A] ) [Signature of the
in the presence of: ) individual partner]1 L.S.
)
)
[Signature of the
......................................................................... ) individual partner]1
[Name] ) L.S.
[Occupation] )
[Address] )
Or

Common
Seal
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Or

as a deed )
acting through )
or )
)
)
......................................................................... )
[Name] )
[Occupation] )
[Address] )
)
Or

2
his/her/its attorney under power of attorney )
dated [ ] )
)
) attorney]1
......................................................................... )
[Name] )
[Occupation] )
[Address] )
Notes: (for preparation of but not inclusion in the engrossment of this [guarantee, performance bond etc.
where appropriate])
# The Contractor must execute the bond as well as the Surety.
^ Delete if not applicable. Amend ";" at end of Clause 3(f) to "." accordingly if there is a deletion
+
The address for service shall be in Hong Kong.
* Repeat the appropriate form for execution by the Surety.
Common Seal.
Appendix 7 Example on Selection of Tender Combination based on Least

Cost to Government Approach
Tenderer X is a probationary Group C contractor in the “Roads and Drainage” category. His tenders for
two Group C contracts in this category have attained the highest combined scores. The award of these
two contracts is to be considered in the same meeting by the Central Tender Board. However, Tenderer X
is only eligible for award of one more Group C contract of value not exceeding $1,500M.
Two tender combinations are possible in considering award of one contract to Tenderer X and the other
contract to the tenderer with the second highest combined score. Based on the least cost to Government
approach, Combination 1 will be selected and Contracts I and II will be awarded to Tenderers X and Z
respectively as shown below:
Contract I Contract II Total

Tendered
Prices
Combination 1
Successful Tender X Z
(Tendered Price) ($720M) ($605M) $1,325M
<Combined Score> <96.0> <95.0>
Combination 2
Successful Tender Y X
(Tendered Price) ($595M) ($795M) $1,390M
<Combined Score> <92.0> <100.0>
Note: Tenders from Tenderers Y and Z have attained the second highest combined score in Contracts I
and II respectively.

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Development Bureau

The Government of the Hong Kong Special Administrative Region

First Issue Date: March 2001

First Issue Date: March 2001

2 - Revisions in tender limits, financial criteria and admission/ confirmation/

3 - Revisions in tender limits, financial criteria and admission/ confirmation/

Amendment History (up to Revision B-15 dated 20 July 2018)

1 A 21/06/2002 25/2002 As shown in the Annex to WBTC No.

Rectification of the typographic errors on

Revisions of Section 4 to subsume the

Revision Revision Date TC No. Amendment

Revision of Section 2 to update values of

General updating of Section 2.

Update value of contract normally required

Revise “Deputy Secretary for Development

SECTION 1 INTRODUCTION ..................................................................... 1–1

SECTION 2 RULES FOR ADMINISTRATION OF THE LIST OF

SECTION 3 RULES FOR ADMINISTRATION OF THE LIST OF

SECTION 4 REPORT ON CONTRACTOR’S PERFORMANCE............ 4–1

SECTION 5 REGULATING ACTIONS ....................................................... 5–1

SECTION 6 CHANGE OF COMPANY NAME AND COMPANY

SECTION 7 TENDERING ............................................................................. 7–1

Appendix 1 - List of Relevant Technical Circulars

Appendix 2A - Minimum financial, technical and management requirements for

Annex 1 - Guideline/Checklist for Project of Considerable

Annex 2 - Financial Criteria for Administration of the List and

Annex 3 - Sample Integrity Management Policy

Appendix 2B - Guidelines for Setting up of Integrity Management System

Annex 1 Extracts of the Prevention of Bribery Ordinance

Annex 2 Application for Permission to Accept Gifts,

Annex 3 Declaration and Management of Conflict of Interest

Appendix 3A - Category, Class and Group in the Specialist List

Appendix 3B - Financial Criteria for Administration of the Specialist List and

Appendix 3C - Minimum Technical & Management Criteria for Admission,

Annex 1 Staff Qualification for Specific Categories

Annex 2 List of Tools/Equipment and Testing Instruments

Annex 3 List of Tools/Equipment and Testing Instruments

Annex 4 List of Tools/Equipment and Testing Instruments

Annex 5 List of Tools/Equipment and Testing Instruments

Annex 6 List of Tools/Equipment and Testing Instruments

Annex 7 List of Tools/Equipment and Testing Instruments

Annex 8 List of Tools/Equipment and Testing Instruments

Annex 9 List of Tools/Equipment and Testing Instruments

Annex 10 List of Tools/Equipment and Testing Instruments

Annex 11 Not Used

Annex 12 Standard Requirements for Waterworks

Annex 13 List of Tools/Equipment and Testing Instruments

Annex 14 List of Tools/Equipment and Testing Instruments

Annex 15 Minimum Personnel Requirements for Ground

Annex 16 Minimum Equipment Requirements for Ground

Annex 17 List of Tools/Equipment and Testing Instruments

Annex 18 Technical Requirement for Landslip Preventive/

Annex 19 List of Tools/Equipment and Testing Instruments

Annex 20 List of Tools/Equipment and Testing Instruments

Annex 21 List of Tools/Equipment and Testing Instruments

Annex 22 List of Tools/Equipment and Testing Instruments

Annex 23 List of Tools/Equipment and Testing Instruments

Annex 24 Not Used

Annex 25 List of Tools/Equipment and Testing Instruments