国际承保实务重点(中英文).doc

1 为什么资格预审？（why prequalification）The successful execution of contracts for large buildings, civil engineering, supply and installation, turnkey, and design-and-build projects requires that contracts are awarded only to firms, or combinations of firms, that are suitably experienced in the type of work and construction technology involved, that are financially and managerially sound, and that can provide all the equipment required in a timely manner. The assessment by an implementing agency of the suitability of firms to carry out a particular contract prior to being invited to submit a bid is a process called prequalification.2.资格预审会不会降低后续施工招标中的积极性 不会。投标时并不是越多越好，而是要选择合格的承包商。不合格的承包商没有可比性。同一流的建筑公司，管理成本正规i，报价保证自己的利润。竞争的是技术实力，投入更多精力来编织技术标，竞争力更强。同一档次的不是越多越好，二流三流成本低管理不好，容易胡报价。3.benifit of prequalification The prequalification process is of benefit to both bidders and Executing Agencies alike, in that the process enables prospective bidders, who may be insufficiently qualified on their own, to avoid the expense of bidding, or to form a joint venture that may give a better chance of success; with prequalification, well qualified firms will price their bids with the knowledge that they are competing against other qualified bidders meeting realistic minimum competence criteria, and with the assurance that inadequately qualified competitors will be excluded from submitting unrealistically low bids, leading contractors are encouraged to bid; prequalification enables Executing Agencies to assess the interest from qualified firms generated by the contract and, in the event that only a limited number of applications are received, to make any necessary adjustments in the procurement process; it helps to expose potential conflicts of interest of an applicant with other parties involved in this prequalification process; it reduces the amount of work and time involved by Executing Agencies in evaluating bids from unqualified contractors; it encourages local firms to form joint ventures with other local or international firms, thereby benefiting from their resources and experience; it enables the Executing Agencies to assess the likelihood of contractors eligibility for domestic bidder price preference in borrowing countries where this is applicable; and it reduces significantly, if not eliminates, problems of rejection associated with low-priced bids submitted by bidders of doubtful capability.4.mutiple contract 将标划分成很多块来判断承保能力。不同性质的标段由不同的承包商承担。判断承保能力。5.资格预审包含的内容 Instructions to Applicants (ITA). Application Data Sheet. Qualification Criteria. Application Forms. Eligible Countries. Scope of Contract.6.业主有权拒绝资格预审资料 18.1 The Employer reserves the right to accept or reject late Applications.7.changes in qualificationAny change in the qualification status of an Applicant after being prequalified in accordance with ITA Clause 27 shall be subject to the written approval of the Employer. Any such change shall be submitted to the Employer not later than fourteen (14) days after the date of the Invitation to Bid. Such approval shall be denied if as a consequence of any change, (a) the prequalified Applicant, after the change, no longer substantially meets the qualification criteria set forth in Section III, Qualification Criteria; or (b) a new partner that had not been prequalified as an Applicant or a Specialist Subcontractor as per ITA 24.2 is added to a prequalified Applicant.8.甲方组织招标编制的招标文件的内容PART I Bidding Procedures；Section 1 - Instructions to Bidders (ITB)；Section 2 - Bid Data Sheet (BDS)；Section 3 - Evaluation and Qualification Criteria (EQC)；Section 4 - Bidding Forms (BDF)；Section 5 - Eligible Countries (ELC)；PART II Requirements；Section 6 - Employers Requirements (ERQ)；PART III Conditions of Contract and Contract Forms；Section 7 - General Conditions (GCC)Section 8 - Particular Conditions (PCC)；Section 9 - Contract Forms (COF)10.招标文件的修改8.1 At any time prior to the deadline for submission of bids, the Employer may amend the Bidding Document by issuing addenda. 8.2 Any addendum issued shall be part of the Bidding Document and shall be communicated in writing to all who have obtained the Bidding Document from the Employer in accordance with ITB 6.3.11.投标文件的内容 The Bid shall comprise the following:(a) Letter of Bid; (b) completed schedules as required, including priced Bill of Quantities, in accordance with ITB 12 and 14; (c) Bid Security, in accordance with ITB 19; (d) alternative bids, if permissible, in accordance with ITB 13; (e) written confirmation authorizing the signatory of the Bid to commit the Bidder, in accordance with ITB 20.2; (f) documentary evidence in accordance with ITB 17 establishing the Bidders qualifications to perform the contract if its Bid is accepted; (g) Technical Proposal in accordance with ITB 16; (h) any other document required in the BDS.12. alternative bids 13.1 Unless otherwise indicated in the BDS, alternative bids shall not be considered.13.2 When alternative times for completion are explicitly invited, a statement to that effect will be included in the BDS, as will the method of evaluating different times for completion. 13.3 Except as provided under ITB 13.4 below, Bidders wishing to offer technical alternatives to the requirements of the Bidding Document must first price the Employers design as described in the Bidding Document and shall further provide all information necessary for a complete evaluation of the alternative by the Employer, including drawings, design calculations, technical specifications, breakdown of prices, and proposed construction methodology and other relevant details. Only the technical alternatives, if any, of the lowest evaluated Bidder conforming to the basic technical requirements shall be considered by the Employer. 13.4 When specified in the BDS, Bidders are permitted to submit alternative technical solutions for specified parts of the Works. Such parts will be identified in the BDS and described in Section 6 (Employers Requirements). The method for their evaluation will be stipulated in Section 3 (Evaluation and Qualification Criteria).13.开标顺序：First, envelopes marked “WITHDRAWAL” shall be opened and read out and the envelope with the corresponding bid shall not be opened, but returned to the Bidder. Next, envelopes marked“SUBSTITUTION” shall be opened and read out and exchanged with the corresponding bid beingsubstituted, and the substituted bid shall not be opened, but returned to the Bidder. Envelopes marked “MODIFICATION” shall be opened and read out with the corresponding bid. All other envelopes shall be opened one at a time如何判断标书是符合还是不符合包括哪几个内容？1.未按业主要求投标，2增大业主责任，减轻自己责任3，关键资料未提交14.Deviations,reservations and omissions (a) “Deviation” is a departure from the requirem ents specified in the Bidding Document; (b) “Reservation” is the setting of limiting conditions or withholding from complete acceptance of the requirements specified in the Bidding Document; and (c) “Omission” is the failure to submit part or all of the information or documentation required in the Bidding Document.15.实质性不符合符合：A substantially responsive bid is one that meets the requirements of the Bidding Document without material deviation, reservation, or omission. A material deviation, reservation, or omission is one that, (a) if accepted, would:(i) affect in any substantial way the scope, quality, or performance of the Works specified in the Contract; or (ii) limit in any substantial way, inconsistent with the Bidding Document, the Employers rights or the Bidders obligations under the proposed Contract; or (b) if rectified, would unfairly affect the competitive position of other Bidders presenting substantially responsive bids.16. 非实质性不符合可以补救，实质性不能补救Provided that a bid is substantially responsive, the Employer may waive any nonconformities in the bid that do not constitute a material deviation, reservation or omission. Provided that a bid is substantially responsive, the Employer may request that the Bidder submit the necessary information or documentation, within a reasonable period of time, to rectify nonmaterial nonconformities in the bid related to documentation requirements. Provided that a bid is substantially responsive, the Employer shall rectify nonmaterial nonconformities related to the Bid Price.17.投标人资格审查程序（Qualification of the Bidder）：36.1 The Employer shall determine to its satisfaction whether the Bidder that is selected as having submitted the lowest evaluated and substantially responsive bid meets the qualifying criteria specified in Section 3 (Evaluation and QualificationCriteria). 36.2 The determination shall be based upon an examination of the documentary evidence of the Bidders qualifications submitted by the Bidder, pursuant to ITB 17.1. 36.3 An affirmative determination shall be a prerequisite for award of the Contract to the Bidder. A negative determination shall result in disqualification of the bid, in which event the Employer shall proceed to the next lowest evaluated bid to make a similar determination of that Bidders qualifications to perform satisfactorily.18.业主评标的依据：(a) the bid price, excluding Provisional Sums and the provision, if any, for contingencies in the Summary Bill of Quantities, but including Daywork items, where priced competitively; (b) price adjustment for correction of arithmetic errors in accordance with ITB 31.1; (c) price adjustment due to discounts offered in accordance with ITB 14.4; (d) converting the amount resulting from applying (a) to (c) above, if relevant, to a single currency in accordance with ITB 32; (e) adjustment for nonconformities in accordance with ITB 30.3; (f) application of all the evaluation factors indicated in Section 3 (Evaluation and Qualification Criteria);19. 业主对投标的权力：The Employer reserves the right to accept or reject any bid, and to annul the bidding process and reject all bids at any time prior to contract award, without thereby incurring any liability to Bidders. In case of annulment, all bids submitted and specifically, bid securities, shall be promptly returned to the Bidders.20.Award 条件 The Employer shall award the Contract to the Bidder whose offer has been determined to be the lowest evaluated bid and is substantially responsive to the Bidding Document, provided further that the Bidder is determined to be qualified to perform the Contract satisfactorily.21.MC与CM的区别管理承包（ Management Contracting , MC ）模式是业主与专业咨询设计单位和管理承包商分别签订设计合同和管理承包合同，管理承包商须与设计单位进行密切合作，对整个项目进行计划、协调、控制和管理，管理承包商与施工承包商直接签订合同，由施工承包商完成实际施工任务，施工承包商的选定要经业主批准。MC特点：减轻业主的合同管理工作；MC单位的确定不依赖施工图纸，可以大大提前MC单位可将工程根据设计进展化整为零，分别发包，可缩短工期。每一个分包发包都有图纸，报价有竞争性，有依据。MC单位只收取管理费，而不赚取总包与分包之间的差价。必须将工程实体分块招标，这样既兼顾DBB的特点，又有GC 的特点。CM：由业主委托的 CM 承包商与建筑师组成联合小组共同负责组织和管理工作的规划、设计和施工。在主体设计方案确定后，项目是分阶段发包的，即项目被分解为若干个工作包，设计完成一部分就施工一部分，属于有条件的“边设计、边施工。又分代理型建设管理模式和风险型建设管理22.DBB的优缺点，经常出的风险及如何规避优点有：业主可自由选择咨询设计单位并对设计进行控制，设计质量一般较高，施工阶段一般不会发生重大设计变更；施工招标前设计已全部完成，承包商投标时比较有依据；世界各地长期、广泛采用，已为业主、承包商、工程师等各方熟知和接受，因而管理方法比较成熟，等等。缺点有：设计基本完成后，才开始施工招标，对于工期紧的项目十分不利；项目周期长，业主管理费较高，前期投人较高；变更时容易引起较多的索赔，业主在控制造价和工期方面信心不足；出现工程质量事故后，责任不易清楚辨别，设计和施工相互推诱，业主得不到充分保障；承包商对设计文件的理解差异，容易导致争端，影响项目顺利执行；如果设计人员不能及时提供施工图纸，会导致承包索赔较多。23.合伙模式定义：Partnering 模式的基本思想是变建设项目参与方之间的敌对关系为合作伙伴关系；由单纯追求项目任一方的目标转变为追求各方共同的目标。它与其他项目管理方法不同之处在于 Partnering 不是从敌对的角度去观察和解决问题，而是强调理解、合作和信任。24.合伙模式构件流程：（1）业主选择参与 Partnering 模式的合作伙伴。（2）参与合作方在项目初期介入，成立 Partnering 管理小组和 Partnering 主持人。 （3）确定共同目标，签订 Partnering 协议。（4）按不同的工作内容，设置各项目工作组并制定量化的目标。（5）建立项目争议处理系统、项目评价系统（也可建立项目激励机制）。（6）建立项目的资料与数据库系统并完全共享。（7）Partnering 模式的具体实施。（8）对各工作组人员进行定期评价，以确保具有适当素质的人员担任适当的位置。（9）项目完成，进行 Partnering 模式评价总结。25.合伙模式的特点：1.Partnering协议，Partnering 协议是非合同性质的，是一种怎样执行、管理合同的方法，也是合同期间如何处理各方之间关系的对策，由此可见它决定了参与各方对待项目和合作方的态度2.双方的自愿性；高层管理的参与；信息开放性等特征，它总是与其它管理模式结合使用的。26. Partnering 模式的2 个前提条件：1.“承诺”必须由参与各方的高层管理者做出，承诺形式表现为制订 Partnering 协议2.“共享”首先是资源共享，如此才能保证工程投资、进度、质量等方面的信息能使其他方准时获取。各参与方还必须要共担风险，共同解决矛盾，共享成果，最终满足各自的目标和利益。27.Why ADR：Compared with Arbitration and litigation, it is: less costly; less time consuming; & less formal;Choice: the parties are in control of the final outcome of the process;Flexibility: but governed by rules of procedure and conduct;Adaptability: multi-party disputes are easily accommodated by the process;Working relationships survive better than in litigation or arbitration.29.How to raise claims：If the Contractor considers himself to be entitled to any extension of the Time for Completion and/or any additional payment, under any Clause of these Conditions or otherwise in connection with the Contract, the Contractor shall give notice to the Engineer, describing the event or circumstance giving rise to the claim. The notice shall be given as soon as practicable, and not later than 28 days after the Contractor became aware, or should have become aware, of the event or circumstance. If the Contractor fails to give notice of a claim within such period of 28 days, the Time for Completion shall not be extended, the Contractor shall not be entitled to additional payment, and the Employer shall be discharged f