1、International Project Management,Tendering and Bidding,Lecture:YUAN Jing-feng,东南大学本科生教学,Chapter 7 Tendering and Bidding,本章主要内容：7.1国际招投标概述7.2招标人的工作7.3投标人的工作7.4世界银行贷款项目招投标,INTRODUCTION,Successful projects have generally started with the use of best practice tendering processes,and the benefits of such
2、 tendering practice include:A clear understanding of the rights and obligations of both parties.An increase in the likelihood of procuring a project to meet the required scope,time,cost and quality parameters.A reduction in the likelihood of misunderstandings and disputes.,7.1国际工程招投标概述,ETHICAL PRINC
3、IPLES,The guiding ethical principles are:all aspects of the tendering process must be conducted with honesty and fairness at all levels of the industry parties must conform to all legal obligations parties must clearly identify ownership of intellectual property used or created in the tender process
4、 and ensure that those rights are not infringed parties must not seek or submit tenders without a firm intention to proceed parties must not engage in any practice which gives one party an improper advantage over another,1,2,4,3,5,7.1国际工程招投标概述,ETHICAL PRINCIPLES,The guiding ethical principles are:te
5、nderers must not engage in any form of collusive practice and must be prepared to attest to their probity conditions of tendering must be the same for each tenderer on any particular project clients must clearly specify their requirements in the tender documents and indicate criteria for evaluation
6、evaluation of tenders must be based on the conditions of tendering and selection criteria defined in the tender documents the confidentiality of all information provided in the course of tendering must be preserved,6,7,9,8,10,7.1国际工程招投标概述,TRADE PRACTICES PRINCIPLES,Tenderers and potential Tenderers
7、must not talk to other Tenderers or potential tenderers about:the price(including any discount,rebate or credit);the other terms(eg risk allocation,warranties,performance bonds,tender and bidding procedures etc);the number of Tenderers that will participate in a bid;which tenders they will or will n
8、ot participate in;the terms of the bid(s)which any(or all)of them will make in a tender.agree as to whom shall be the successful Tenderer or pay each other unsuccessful tender fees;,1,2,3,4,5,6,7.1国际工程招投标概述,Additionally,Tenderers must not:provide to any third party any money,incentives or other conc
9、essions contingent upon the success of the tender;accept or provide secret commissions;submit cover tenders enter into any improper commercial arrangement with any othercontractors,subcontractors,suppliers,agents or any other party;seek to influence contract decisions by improper means;or accept inc
10、entives to provide contracts or services to other contractors,subcontractors or suppliers that financially disadvantage Clients.,TRADE PRACTICES PRINCIPLES,1,2,3,5,4,6,7.1国际工程招投标概述,7.1国际工程招投标概述,招投标的起源与发展,个别买主有时会有意识地邀请多个卖主与他接触，籍以选出供货价格、质量比较理想的成交对象。,早期的商品经济时期,1,自由资本主义时期，机器大规模生产的应用、社会专业化分工协作的发展为创造了买方经济
11、。,十九世纪上半叶,2,现代成熟而独立的招标方式正式产生和发展的历史起点,招标方式的萌芽阶段,西方发达国家，接着世界银行在货物采购、工程承包中大量推行招标方式。近30年来，发展中国家也日益重视和采用设备采购、工程建设招标。,上世纪二战以来,2,招标作为一种成熟而高级的交易方式,招标投标最早起源于英国。1782年，英国首先设立文具公用局（Stationary Office）美国在1861年联邦法案规定：超过一定金额的联邦政府的采购，都必须使用公开招标,我国有较完整史料记载的招标投标活动发生在清朝末期，但是新中国正式进入国际招标投标市场却是在1979年以后。,中国的国际招标投标,南海莺歌海盆地石油
12、资源的开采,华北平原盐碱地改造项目,八城市淡水养鱼项日,1,云南鲁布革水电站,2,3,4,7.1国际工程招投标概述,中国的国际招标投标,1,对资格预审文件利招标文件理解不全面,资料填报不完整，未能反应本身的实际能力等,导致投标费用高 中标机会低 难于吸取经验教训,2,大多数国内承包商在参与资格预审和国际投标时，未能正确理解和遵循世界银行等贷款机构与业主的有关规定，主要体现在：,7.1国际工程招投标概述,7.1国际工程招投标概述,TENDER PROCESS,Project Definition and Scoping Selection Process for Tenderers Tender
13、 Documentation Criteria for Selection,Call for Tenders Responding to Invitations to Tender&Developing the Commercial Offer Tender Meeting s&Enquiries Amendments to Tender Documents Submission&Closing of Tenders,Tender Analysis Tender Clarifications Tender Selection&Award,7.1国际工程招投标概述,国际工程招标方式,Unlimi
14、ted Competitive Open Bidding,通常应当公开发布招标通告，招标具有广泛性和公开性。,1,Limited competitive selected bidding,由招标单位向有承担能力的三个以上企业发出招标邀清书及招标文件。,2,Negotiated Bidding,招标单位与几家潜在的投标商就招投标事宜进行协商。达成协议后将工程委托承包。,3,Two-Stage Competitive Bidding,对于DB等模式，事先要求准备好完整的技术资料是不现实的。此时可采用两阶段招标。,4,Two-Envelope Bidding Procedure,对某些项目，业主可以
15、要求承包商提交最合理的施工方案和提出替代的技术方案。,5,在国外，私人投资的项目，多采用邀请招标。,我国香港特别行政区，一 般在土木工程项目邀请招标时按以下比例确定邀清的数量：,国际工程招标方式,7.1国际工程招投标概述,7.2招标人的工作,TENDER PREPARATION,Project Definition&Scoping,Project stakeholder requirements:envisaged functional goals,performance,technical criteria,completion dates or term date requirements
16、.Constraints:public access requirements,availability of land,limits to work etc.,Failure to include all scoping requirements will most likely result in stakeholder expectations not being met,and could result in disputes at a later date.,A Project Brief is prepared that clearly defines the scope of t
17、he project for which Tender Documents are to be prepared.,TENDER PREPARATION,Project Definition&Scoping,the Project Brief including:,Intellectual property:identify,manage Relevant initial investigations:market research,feasibility studies etc.Cost estimate:labor,materials and supplies,risk allocatio
18、n Time estimate:the definition,sequencing and duration estimation A cost/benefit exercise An appropriate budget is allocated and finance arranged to develop the project Appropriate time is allowed to undertake the above mentioned activities,7.2招标人的工作,SELECTION PROCESS OF TENDERERS,OPEN OR PUBLIC,1,S
19、ELECTED OR APPROVED,2,PREQUALIFIED,3,INVITED,4,DIRECT NEGOTIATION,5,There are five main processes for the selection of Tenderers.,Simple Projects Low Risk&Low Cost.,Repetitive type works regularlycarried out by a Client;“Roll-out”Type Works.,Complex Projects High Risk&High Cost.,Specialized Projects
20、,Highly Specialized Projects,7.2招标人的工作,在鲁布革工程中首先成立的是鲁布革工程管理局，但其既是代理业主又是工程师，项目初期业主是水电部，真正的业主云南水电局在建设期基本没到位，一直到世行落实还贷计划时才明确业主的责任，对工程的管理造成了不必要的麻烦。,成立权责明确的机构,1,按国际案例必须确立业主，建立业主、工程师和承包商的管理框架，国内也逐渐通行明确责任才能令工程处于良好的运行状态.,For Example:,TENDER PREPARATION,7.2招标人的工作,成立权责明确的机构,1,招标人应有专门机构全权负责整个招标活动。其主要职责是决策和处理日常
21、事务工作，具体内容有：,审定招标项目；,组织答疑、投标、开标、评标和定标；,A,B,C,D,组织签订合同.,拟定招标方案和招标文件；,TENDER PREPARATION,7.2招标人的工作,人员准备,2,当招标工作全部或部分委托给招标代理机构后，代理机构就负责发布招标公告，编制招标文件，组织投标人资格预审，以及评审投标文件等工作。通常委托单位还要对代理机构的工作进行监督、审定招标评审结果，最后作出授标决定，签订承包合同。,招标机构的人员由各方面的人员构成，具体人员可视特定采购项目的性质和要求而定。包括：技术人员、经营管理人员、财务人员、市场分析人员等.政府采购项目还要有政府相关职能部门代表的
22、参加。,TENDER PREPARATION,7.2招标人的工作,场地准备,3,获得场地 水、电、气 通行道路 场地平整等等及其相关许可,技术物资准备,4,甲供材 需业主提供的机械、设备等 技术要求（专利、专有技术等）资金等,TENDER PREPARATION,7.2招标人的工作,合同总体策划,5,将项目分解成几个独立的合同，并确定每个合同的范围；选择合适的委托方式和承包方式；适当的选择合同种类、形式和条件；确定合同中的重要条款；决策合同签订和实施过程中的一些重大问题;协调相关各个合同在内容、时间、组织、技术上的关系。,TENDER PREPARATION,7.2招标人的工作,划分标段,6,
23、当一个项目投资很高，技术复杂，工作量巨大时，往往一个承包商难以完成，为了加快项目进度，发挥各承包商的优势，降低工程造价，对一个建设项目进行合理分标是非常必要的。,划分标段一般要考虑:市场的结构情况 可否组合在一起 需用的时间 竞争性 市场惯例/运输及其他费用 用户地点的考虑,TENDER PREPARATION,7.2招标人的工作,翔实的招标文件准备,7,Notice to Tenderers Conditions of Tendering Tender Forms&Schedules Conditions of Contract Specification Drawings Addition
24、al Information,May be combined in simple projects,The content of the Tender Documentation will vary for particular projects according to factors such as project size,complexity and delivery method.Nevertheless,the following key documents will generally be required as a minimum.,TENDER PREPARATION,7.
25、2招标人的工作,This document contains a Project Summary,a listing of Tender Documents,key dates,validity period,contact details,number of copies required and details of ender submission location and timing.,A,Notice to Tenderers,B,Conditions of Tendering,This document details the overall Tender Process inc
26、luding the Delivery Method,Probity issues,Communication issues,the Criteria for Selection and the Evaluation Process.,C,Tender Form&Schedules,Tenders are generally required to provide an overall cost,a breakdown of this cost,a program,details of manpower,plant and equipment,personnel,subcontractors
27、and methodologies.,Tender Documents,7.2招标人的工作,D,Conditions of Contract,E,Specification,Depending on the type of Delivery Method chosen,this document may be a Project Brief or a detailed Specification of the works.These documents set out the performance and technical criteria for the project.,F,Drawi
28、ngs,The number and standard of drawings provided is dependent on the chosen Delivery Method.,This document contains the General Conditions of Contract which sets out the contractual basis for carrying out the works.In addition,the Special Conditions are sometimes included which are unique to the cli
29、ent and/or project.,Tender Documents,7.2招标人的工作,G,Additional Information,Additional information concerning the project may include Environmental Impact Study(EIS)Reports,EIS Working Papers and other documents relevant to the development of the project.,Tender Documents,7.2招标人的工作,CRITERIA FOR SELECTIO
30、N,Previous Experience on similar works Financial resources Managerial and Personnel resources Technical resources Current workload Dispute Resolution record Quality Assurance System Environmental Compliance record Industrial Relations record Occupational,Health Safety&Rehabilitation record,CONFORMIT
31、Y,INNOVATION,CAPABILITY,PRICE,CONSTRUCTION PERIOD,A,B,C,D,E,7.2招标人的工作,其他相关问题,8,关于最低价中标,但实践证明:中标的标价低于次低标价(即第二个最低标价)的幅度越大,索赔发生率越高.,美国某机构对政府管理的各项工程进行的调查表明:低于次低标价10%以上的中标的工程,占索赔总次数的87%,占索赔总金额的85%.,在美国，政府立法规定10万美元以上的政府工程必须采用最低价中标法;香港特别行政区虽然在招标公告中都要声明“政府不一定采纳索价最低的投标书或任何一份投标书”，但实际运作中一般都是最低价中标。如不采用最低价中标，则需向
32、投标委员会做出详细解释。,Attention:,For example,7.2招标人的工作,TENDERING,Call for Tenders Responding to Invitations to Tender&Developing the Commercial Offer Tender Meetings&Enquiries Amendments to Tender Documents Submission&Closing of Tenders,1,2,3,4,5,7.2招标人的工作,In cases where tenders are advertised,it is recommen
33、ded that theadvertisement includes the following:An appropriate summary description of the work required.Details of when and where Tender Documents may be obtained.Details of when and where tenders shall close.Details of any Tender Documentation purchase price or depositand,if applicable,the method of obtaining a refund of that cost.The name,address,telephone number,facsimile number andemail addre
