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本科畢業(yè)設(shè)計外文文獻及譯文文獻、資料題目:TheSignificanceoftheTenderingContractontheOpportunitiesforClientstoEncourageContractor-ledInnovation文獻、資料來源:國道數(shù)據(jù)庫文獻、資料發(fā)表(出版)日期:2023.10.11院(部):管理工程學院專業(yè):工程造價班級:價本0504姓名:劉兆君學號:指導教師:黃偉典王大磊翻譯日期:2023.6.14外文文獻:TheSignificanceoftheTenderingContractonTheOpportunitiesforClientstoEncourageContractor-ledInnovationA(yù)BSTRACTDuringthetenderingprocessformostmajorconstructioncontractsthereistheopportunityforbidderstosuggestalternativeinnovativesolutions.Clearlyclientsarekeentotakeadvantageoftheseopportunities,andequallycontractorswanttousetheirexpertisetoestablishcompetitiveadvantage.Bothpartiesmayverywellbenefitfromtheencouragementofsuchinnovationandtheavailabilityofcheapermethodsofconstructionthanhavebeencontemplatedbythetenderingauthority.Howeverrecentdevelopmentsincommonlawhaveraiseddoubtsabouttheabilityofownerstoseekalternativetenderswithoutplacingthemselvesatriskoflitigation.Thiscommonlawhasrecognisedtheexistenceoftheso-called‘tenderingcontract’or‘processcontract’.Sincethetenderingprocessisinherentlypricecompetitive,theapplicationofthetenderingcontractconceptislikelytoseverelyinhibittheopportunityforalternativetenders.Thispaperisprimarilybasedontheliterat(yī)urereview.Theaimofthispaperistohighlighttheproblemswiththecompetitivetenderingprocessinrelationtocontractor-ledinnovationandexplorewaysinwhichownerscandevelopprocurementproceduresthatwillallowandencourageinnovationfromcontractors.PROBLEMSWITHCOMPETITIVETENDERINGThetraditionaltenderingprocesswasdesignedtoproducedirectpricecompetitionforaspecifiedproduct.Evaluationoftenderscouldonlybeconfinedtopricealonebycreat(yī)ingasysteminwhichpriceistheonlycriterionthatcouldvarywhiledesignandtechnicalcontentarethesameforeachcompetingtender.Albeitthecontractperiodisstipulatedasconstant,ownersoftenencouragetendererstosubmitasecondtenderwhichoffersanalternativepriceforanalternativetimeperformance.Tendererswouldachievethisbyreworkingtheirtenderprogramme,findingtheoptimumcontractperiod,andadjustingthetenderpriceaccordingly.Eachtendererwouldcompetetofindnovelwaysoforganisingtheworkmethodthatwouldallownotonlytheminimumconstructioncostbutalsomaximumprofitmarginwithinthepriceproposed.However,thisprocessisalwaysconfinedbytheboundaryoftheowner’sdesign.Inthisway,thesuccessfultenderer’sscopetobeinnovativeisverylimited.Whenevaluatingalternativetenders,theownerisconfrontedwiththedutyofequaltreatmentandfairnesstoalltenderers.Ifoneistobepreferredonanalternativetender,whichisnotaconformingtenderintermsoftheoriginalinvitation,howcanalltenderersbetreatedequallyandfairly?Anyindividualismexhibitedonthepartofatendereroutsidethepermittedscopeofpriceandtimemustdisqualifythattenderfromtheowner’sconsiderationbecauseitdoesnotconformtotheinvitat(yī)ion.Therefore,thetraditionaltenderingprocessprevents,restrictsorevendiscouragescontractor-ledinnovation.SongerandIbbsbelievedthattheuseofdesign-and-buildprocurementmethodwouldencourageinnovat(yī)ioninthebuildingprocess.Thisprocurementmethodimposessinglepointresponsibilityoncontractorforthecompletebuildinganditstenderingprocessdifferfromthatofthetraditionalprocurementmethodinthat(yī)itmustbecapableofevaluatingdesignaswellasproductioncapability,timeandprice,allonacompetitivebasis.Thisisnoteasy.Competitivedesignisnoteasytoevaluateinthecontextoftendering.Theobjectivityappearstobereplacedbysubjectivityinpickingthewinner,andtheapparentintegrityofthebiddingprocessislost,unlessveryclearcriteriaareestablishedattheoutsetforevaluationofcompetingdesigns.Thisalsomeanstosaythatthetenderprocessrulesmustbedesignedassuchthatitencouragescontractor-ledinnovation,yetatthesametimeplacessomelimitonthescopeforsuchinnovation.Thelimitsmustbesuchthattheprojectdeliveredisstilltheprojectforwhichtenderswereinvited.SongerandIbbs,withrespecttothisaspect,assertedthat(yī)oneconcernofpublicagenciesishowtoallowforinnovationwhilemaintainingappropriat(yī)econtrolofcertaindesignaspectsoftheproject.Determininganappropriatebalanceofinnovationandcontrolindesignandadequatelycommunicatingthedesiredbalancetopotentialdesign-and-buildtenderersprovidesasignificantchallengetopublicsectoragencies.THE‘TENDERINGCONTRACT’Developmentsinthelawrelatingtotenderstraditionallytreatedan‘invitationtotender’ora‘requestfortenders’asnomorethananinvitationtotreat,anindicationthattheownerwasreadytodobusiness–somethingpriortoandshortofanoffer.Inotherwords,aninvitationtotreatwasnotanoffertomakeacontractwithanypersonwhomightactontheinvitat(yī)ion,butmerelyafirststepinnegotiationwhichmay,ormaynot,leadtoacontract.Wheneachtenderersubmitteditstenderintheprescribedform,itamountedtoanofferwhichcouldberegardedasanoffertomakeacontract.Iftheoffermetwithunequivocalacceptance,contractualobligationarosebetweentheownerandthesuccessfultenderer.Recently,themodernviewturnsthistheoryupsidedown.Thereexistswhatisknownasthe‘twocontract’analysisinvolvingtheemergenceofthe‘tenderingcontract’.Theinvitationtotenderisnowinsomecircumstancestobetreatedasanoffertomakeacontractwhichat(yī)endereracceptswhenitsubmitsaconformingtender.Theownermakesanoffertoeachtendererwhichmightbewordedasfollows:“Ifyousubmitatenderinresponsetomyinvitationandwhichcomplieswiththestipulationsmade,Iwillconsiderthattender…”.Thereisnoobligationatallatthispointonthesideofthetenderers,butifaconformingtenderissubmitted,acontractisformedbetweenownerandtendererwhichhasbeendescribedhereasthe‘tenderingcontract’ordescribedelsewhereasa‘pre-awardcontract’or‘processcontract’.Thiscontractisquitedistinctfromthecontracteventuallyenteredintowiththesuccessfultenderer,calledthemaincontract.Obligationsofacontractualnaturethereforearisebetweentheownerandeachtendererwhohassubmittedaproposal.Justasthetendercontractplacesobligationsontheowner,eachtenderalsoimposesobligationsonthetenderer.Oncethetenderhasbeensubmittedtotheowner,meaningthetenderorfirstcontracthasbeenformed,theownerbecomesobligedtoeachtenderertoperformitssideofbargain,whichatthisstageisanobligationtoconsiderallconformingtenders.Bythesametoken,tenderersbecomeobligedtonotsimplywithdrawtheirtender,thetenderwillremainopenforastipulatedperiodoftime.Underthe‘twocontract’principle,atendererwhomakesamistakemayfindthatthetenderisacceptedwithnoopportunitytoescapeevenifthereisanerrorintendercompilation.Forthesakeofclarity,itmaybestatedthatthesubmissionofaconformingtenderinresponsetoaninvitationcancreatecontractualobligat(yī)ionsforbothparties.Inthecase:Ontariov.RonEngineering&ConstructionEasternLtd,theCourtofCanadaheldthatacontractwasbroughtintobeingautomaticallyuponthesubmissionofaresponsivetenderbyeachtenderer.Havingestablishedthata‘tenderingcontract’exists,itisthenimportanttoconstitutewhatthetermsareofthatcontract.Thetermsarederivedfromthetenderconditions,the‘tendercode’,andotherrelevantmat(yī)erialsuchaslegislationandcorrespondence.Allorsomeoftheprovisionsofthe‘tendercode’maybeincorporatedinthe‘tenderingcontract’byreferenceand/orbyimplication.Atermsmaybeimpliedtotheeffectthat(yī)theownermustconsiderallconformingtenders,musttreat(yī)alltenderersequallyandfairly,andmustawardonlyacontractfortheprojecttenderedfor.GUIDANCEONCONTRACTORSELECTIONTheSignificanceofProbityinTenderingProbityisdefinedinvariousdictionariesas“moralexcellence,integrity,uprightness,conscientiousness,honesty,sincerity”.Inthetenderingcontext,itgenerallydependsuponconfidentialityofdocumentationanddecisionmaking,objectiveandconsistentassessmentateachphaseofdecisionmakingandresolutionofanypossible,perceivedoractualconflictsofinterest.Thus,oneoftheprimaryobjectivesofprobityintenderingistomaintaintheintegrityofthebiddingprocess.TheCanadiancourtintheRonEngineeringcasereferredtothisastheobligationofownerstotreat(yī)alltenderersequallyandfairly.Johnstoneassertsthattransparencyintheentirecontractingoutprocessisessentialsothatpotentialcontractorsandmembersofthepubliccanhaveconfidenceintheoutcomes.Ifintegrityandimpartialityarenotevident,tenderersmaybereluctanttomakeabid,theformulationofwhichrequiressignificantamountoftimeandresources.Inthatcase,competitionislikelytobelessenedandthebestvalueformoneymaynotbeachieved.Inprinciple,recentdevelopmentincommonlawattemptstomaintainsomeintegrityinthetenderingprocessbyrecognisingtheexistenceoftheparties’obligationstooneanothersothattheownercannotsimplyrejectoraccepttendersasitpleases,orcannotnegotiatewithoneormoretendererstoproducesatisfactorydeal.Asmentionedpreviously,thecontractualobligationbetweenthepartiesisreferredtoasthe‘tenderingcontract’.Breachofthe‘tenderingcontract’entitlestheinjuredpartytothenormalremedyofdamages.Probityinthetenderingprocessensuresthatfairandequaltreatmenttoalltenderersisputinplaceandmaintainedsothatnotermofthe‘tenderingcontract’islikelytobebreached.AccordingtoJohnstone,commonprobityobjectivesare:·toensureallrespondentsareassessedobjectivelyandconsistently·toensureintegrityinallevaluationandselectionprocess·toensureallconfidentialinformationissecured·toaddressanypotential,oractualconflictsofinterest·topromotedefensibilityofprocess.GuidelinestoAvoidBreachofthe‘TenderingContract’intheCompetitiveBiddingProcessOnconclusion,Craigsuggestssomeguidelinesonhowalternativetendersandtendersinvolvingdesignproposalsmightbetakenlegitimatelybytheownersoastoavoidorminimisethelikelihoodoftheclientsplacingthemselvesatriskoflitigationduetoabreachofthecontractualobligationsarisingoutofthe‘tenderingcontract’.Theyarespecifiedasfollows.·Underthe‘tenderingcontract’theownerisobligedtotreatalltendersequallyandfairly.Allconformingtendersmustthereforebeconsidered.·Aneffective‘privilegeclause’whichsayssomethinglike“anytenderwillnotnecessarilybeaccepted”willnormallypreventanownerbecomingobligedtoacceptanytender.Alltendersmaythereforebeproperlyrejected.Ontheotherhand,atermtotheeffectthatacontractwillbeawardedtothelowest,orhighest,bidderisenforceable.Thisimpliesthatanownercannotusethe‘privilegeclause’asanexcusefordeviatingfromthecontractevaluationandawardcriteriasetdowninthetenderinvitationordocuments.Or,putitanotherway,the‘privilegeclause’doesnotallowtheownerto:(i)choosecomparativelyamongthetenderersbasedoncriteriathathasnotbeendisclosedtothetenderers;or(ii)toawardtoanothertendereroranotherpersonsomethingotherthanthemaincontract.·Itwouldbeabreachofthetenderingobligationofequalandfairtreat(yī)mentfortheownertonegotiat(yī)ewithonetendererontermswhichdonotapplytoothertenderers.·Alltenderersareentitledtoknowthebasisonwhichtenderswillbeevaluatedandonwhichacontract-awarddecisionwillbemade.·Ifinnovationfromtenderersisrequired,anownermustexpresslycreatetherightforatenderertosubmitanalternativetender.Iftherightthenexists,theownerisobligedtoconsidersuchproposals.Tenderersmustbeinformedofcriteriaforevaluationofsuchalternativeproposals.·Tenderconditionsmustdefinethescopeofalternativetenders.That(yī)scopemustbenottootightsoastorestrictinnovation,butnottoowidesoastoresultinaproposalforaschemequitedifferenttotheoneoriginallytenderedfor.·Tenderconditionsforprojectsinvolvingdesignmustincludecriteriaforevaluat(yī)ingthatdesign.Thecriteriamustbemadeknowntoalltenderers.·Itisabreachofthe‘tenderingcontract’fortheownertoawardacontracttoatendererwhoofferssomethingdifferenttowhat(yī)wasaskedforintheinvitationtotender.Furthermore,Johnstoneadds·Invitat(yī)iondocumentshouldbeaccessibletoallpotentialbidders.Theyshouldbeexpressedinreadilyunderstoodterms.·Itiseasiertoformulateappropriateselectioncriteriawhentheprojectspecificat(yī)ionsaredevelopedfirst.Clearspecificationsandselectioncriteriaassistpossiblecontractorstoformulatebidsappropriately.·Apolicyinrelationtonon-conformingbidsshouldbeformulatedanddocumentedintheinvitationdocumentation.·Oftenassessmentofbidswillinvolveanumberofassessmentpanels.Inthissituation,thereshouldbeaseparationofassessmentpanels.Forexample,apanelofexpertsmayreviewfinancialviabilitywhilstanotherwilllookat(yī)thosesamebidsfromadesignperspective.Assessmentpanelswouldcommonlybequarantinedthroughtheevaluationperiod.SUMMARYThispaperhighlightstheproblemswithcompetitivetenderinginrelationtocontractor-ledinnovation.Inthetraditionalmethod,contractor-ledinnovationmaybeencouragedat(yī)thetenderingstage.However,toenableacceptancebytheowner,criteriaforevaluationofandthescopeofalternat(yī)ivetendersmustbeclearlydefinedinthetenderdocument.Bythesametoken,tenderconditionsforprojectsinvolvingdesignmustincludecriteriaforevaluat(yī)ingthat(yī)designt.Guidancehasbeenoutlinedofhowtoreducetheriskofownerfallingintoabreachofthe‘tenderingcontract’inthecompetitivetenderingprocesswhenitinvolvesalternativetendersordesignproposals.Oneofthealternativecontractorselectionmethodsidentifiedhasbeenbrieflydescribed.中文譯文:招標協(xié)議中業(yè)主有機會鼓勵承包商主導的創(chuàng)新的意義摘要在建設(shè)工程協(xié)議招標過程中,投標人有機會建議替代性創(chuàng)新方案。聰明人會積極運用這種機會,同樣,承包商會運用他們的專業(yè)知識建立競爭優(yōu)勢。招投標雙方都會極大的收益于這種方式。但是最近習慣法的發(fā)展對業(yè)主無訴訟風險的尋求替代性投標方案的能力提出了質(zhì)疑。這種習慣法已結(jié)識到所謂“招標協(xié)議”或“過程協(xié)議”的存在。由于招標過程本質(zhì)上是一種價格競爭,招標協(xié)議概念的應(yīng)用很也許嚴重克制替代投標的機會。本文重要根據(jù)文獻編制而成,重要目的是突出競爭性投標過程中承包商主導的創(chuàng)新及探索方式問題。通過這種方式,業(yè)主可以發(fā)展允許和鼓勵創(chuàng)新的采購程序。競爭性投標問題傳統(tǒng)招標過程目的是針對特定產(chǎn)品產(chǎn)生直接競爭價格。評標也許只限于價格,僅建立一種制度。即價格是唯一的標準。但是當各競標價和技術(shù)含量相同時就不同了。雖然協(xié)議期像常數(shù)同樣是固定的,但業(yè)主往往鼓勵投標者提交二次標書。二次標書中為某一不同的協(xié)議期提出替代報價。投標者將通過改善投標方案、尋找最佳合約期、調(diào)整投標報價來達成業(yè)重規(guī)定。每個投標者都會努力尋找新的組織方案,在建議的范圍內(nèi)達成建導致本最低、利潤最高。但是這一過程僅限于部分業(yè)主的設(shè)計。這樣一來創(chuàng)新性中標者的范圍就非常有限了。評價替代性投標時,業(yè)主面臨著公平、公正對待所有投標者的義務(wù)。假如某個投標被選為替代性投標,那么在本來的招標邀請中這是一個不符合條件的標書,這樣所有的投標者又怎么也許被公平、公正的對待呢?任何超過允許的價格、工期范圍的投標都必須從業(yè)主考慮的范圍內(nèi)取消,由于他們不符合招標邀請的規(guī)定。因此,傳統(tǒng)招標限制、阻止甚至不允許承包商主導的創(chuàng)新。Songger和Ibbs認為,建設(shè)過程中設(shè)計-建造采購方法的使用能鼓勵創(chuàng)新。這種采購方法在整個建造過程中給承包商施加了壓力。它不同于傳統(tǒng)方法。傳統(tǒng)方法必須可以在競爭的基礎(chǔ)上評估設(shè)計、生產(chǎn)能力、工期、價格。這是不容易的。在招標環(huán)境中,競爭性設(shè)計是不易評估的。在競爭贏家時,主觀性似乎取代了客觀性。投標過程中明顯的完整性已丟失。除非競爭設(shè)計的評估一開始就建立了明確的準則,這也意味著招標程序準則必須像鼓勵承包商主導的創(chuàng)新那樣設(shè)計。Songger和Ibbs提到這一方面時斷言:公共機構(gòu)的一大焦急是如何在允許創(chuàng)新的同時保持對項目特定設(shè)計方面的控制。在設(shè)計方面擬定一種合適的創(chuàng)新與控制,讓潛在的設(shè)計-建造投標者充足了解這種抱負的平衡,這給公共部門機構(gòu)提出了一個重大挑戰(zhàn)。招標協(xié)議與傳統(tǒng)招標相關(guān)的法律的發(fā)展把“招標邀請”或“招標規(guī)定”看作但是是一次邀請,只是業(yè)主準備做一些優(yōu)先于要約的事情的一個暗示。換句話說,一次邀請并不是與任何被邀請的投標人簽訂協(xié)議的建議,僅僅是協(xié)商的第一步。這種協(xié)商也許會導致協(xié)議的簽訂,也也許不會。當各投標人按規(guī)定格式提交了標書,這相稱于一個可以被當作協(xié)議的要約。假如這個要約得到明確的接受,那么在業(yè)主和中標者之間就會產(chǎn)生合約性的義務(wù)。最近,現(xiàn)代觀點將這一理論推翻。這里存在有關(guān)招標協(xié)議出現(xiàn)的所謂“雙方協(xié)議”的分析。招標邀請現(xiàn)在在某些情況下被視為是提交合格標書后簽訂協(xié)議的要約。業(yè)主向每個投標者提供如下措辭:“假如你提交符合規(guī)定的投標書回應(yīng)我的邀請,我會考慮是否中標……”投標者在這一點上沒有任何義務(wù)。但是假如提交了一份合格的標書,那么業(yè)主和投標者之間就形成了一份協(xié)議。這種協(xié)議被描述為“投標協(xié)議”或“前期協(xié)議”或“過程協(xié)議”。這種協(xié)議完全不同于最終與中標者簽訂的主協(xié)議。合約性的義
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