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1、-招投标外文文献-第 6 页外文文献：The Significance of the Tendering Contract on The Opportunities for Clients to Encourage Contractor-led InnovationABSTRACT During the tendering process for most major construction contracts there is the opportunity for bidders to suggest alternative innovative solutions. Clearly c
2、lients are keen to take advantage of these opportunities, and equally contractors want to use their expertise to establish competitive advantage. Both parties may very well benefit from the encouragement of such innovation and the availability of cheaper methods of construction than have been contem
3、plated by the tendering authority. However recent developments in common law have raised doubts about the ability of owners to seek alternative tenders without placing themselves at risk of litigation. This common law has recognised the existence of the so-called tendering contract or process contra
4、ct. Since the tendering process is inherently price competitive, the application of the tendering contract concept is likely to severely inhibit the opportunity for alternative tenders. This paper is primarily based on the literature review. The aim of this paper is to highlight the problems with th
5、e competitive tendering process in relation to contractor-led innovation and explore ways in which owners can develop procurement procedures that will allow and encourage innovation from contractors. PROBLEMS WITH COMPETITIVE TENDERING The traditional tendering process was designed to produce direct
6、 price competition for a specified product. Evaluation of tenders could only be confined to price alone by creating a system in which price is the only criterion that could vary while design and technical content are the same for each competing tender. Albeit the contract period is stipulated as con
7、stant, owners often encourage tenderers to submit a second tender which offers an alternative price for an alternative time performance. Tenderers would achieve this by reworking their tender programme, finding the optimum contract period, and adjusting the tender price accordingly. Each tenderer wo
8、uld compete to find novel ways of organising the work method that would allow not only the minimum construction cost but also maximum profit margin within the price proposed. However, this process is always confined by the boundary of the owners design. In this way, the successful tenderers scope to
9、 be innovative is very limited . When evaluating alternative tenders, the owner is confronted with the duty of equal treatment and fairness to all tenderers. If one is to be preferred on an alternative tender, which is not a conforming tender in terms of the original invitation, how can all tenderer
10、s be treated equally and fairly? Any individualism exhibited on the part of a tenderer outside the permitted scope of price and time must disqualify that tender from the owners consideration because it does not conform to the invitation. Therefore, the traditional tendering process prevents, restric
11、ts or even discourages contractor-led innovation . Songer and Ibbs believed that the use of design-and-build procurement method would encourage innovation in the building process. This procurement method imposes single point responsibility on contractor for the complete building and its tendering pr
12、ocessdiffer from that of the traditional procurement method in that it must be capable of evaluating design as well as production capability, time and price, all on a competitive basis. This is not easy. Competitive design is not easy to evaluate in the context of tendering. The objectivity appears
13、to be replaced by subjectivity in picking the winner, and the apparent integrity of the bidding process is lost, unless very clear criteria are established at the outset for evaluation of competing designs. This also means to say that the tender process rules must be designed as such that itencourag
14、es contractor-led innovation, yet at the same time places some limit on the scope for such innovation. The limits must be such that the project delivered is still the project for which tenders were invited. Songer and Ibbs, with respect to this aspect, asserted that one concern of public agencies is
15、 how to allow for innovation while maintaining appropriate control of certain design aspects of the project. Determining an appropriate balance of innovation and control in design and adequately communicating the desired balance to potential design-and-build tenderers provides a significant challeng
16、e to public sector agencies. THE TENDERING CONTRACT Developments in the law relating to tenders traditionally treated an invitation to tender or a request for tenders as no more than an invitation to treat, an indication that the owner was ready to do business something prior to and short of an offe
17、r . In other words, an invitation to treat was not an offer to make a contract with any person who might act on the invitation, but merely a first step in negotiation which may, or may not, lead to a contract. When each tenderer submitted its tender in the prescribed form, it amounted to an offer wh
18、ich could be regarded as an offer to makea contract. If the offer met with unequivocal acceptance, contractual obligation arose between the owner and the successful tenderer . Recently, the modern view turns this theory upside down. There exists what is known as the two contract analysis involving t
19、he emergence of the tendering contract. The invitation to tender is now in some circumstances to be treated as an offer to make a contract which a tenderer accepts when it submits a conforming tender. The owner makes an offer to each tenderer which might be worded as follows: “If you submit a tender
20、 in response to my invitation and which complies with the stipulations made, I will consider that tender ” . There is no obligation at all at this point on the side of the tenderers, but if a conforming tender is submitted, a contract is formed between owner and tenderer which has been described her
21、e as the tendering contract or described elsewhere as a pre-award contract or process contract. This contract is quite distinct from the contract eventually entered into with the successful tenderer, called the main contract. Obligations of a contractual nature therefore arise between the owner and
22、each tenderer who has submitted a proposal. Justas the tender contract places obligations on the owner, each tender also imposes obligations on the tenderer. Once the tender has been submitted to the owner, meaning the tender or first contract has been formed, the owner becomes obliged to each tende
23、rer to perform its side of bargain, which at this stage is an obligation to consider all conforming tenders. By the same token, tenderers become obliged to not simply withdraw their tender, the tender will remain open for a stipulated period of time. Under the two contract principle,a tenderer who m
24、akes a mistake may find that thetender is accepted with no opportunity to escape even if there is an error in tender compilation . For the sake of clarity, it may be stated that the submission of a conforming tender in response to an invitation can create contractual obligations for both parties. In
25、 the case: Ontario v. Ron Engineering & Construction Eastern Ltd, the Court of Canada held that a contract was brought into being automatically upon the submission of a responsive tender by each tenderer. Having established that a tendering contract exists, it is then important to constitute what th
26、e terms are of that contract. The terms are derived from the tender conditions, the tendercode, and other relevant material such as legislation and correspondence . All or some of the provisions of the tender code may be incorporated in the tendering contract by reference and/or by implication. A te
27、rms may be implied to the effect that the owner must consider all conforming tenders, must treat all tenderers equally and fairly, and must award only a contract for the project tendered for. GUIDANCE ON CONTRACTOR SELECTION The Significance of Probity in Tendering Probity is defined in various dict
28、ionaries as “moral excellence, integrity, uprightness, conscientiousness, honesty, sincerity”. In the tendering context, it generally depends upon confidentiality of documentation and decision making, objective and consistent assessment at each phase of decision making and resolution of any possible
29、, perceived or actual conflicts of interest. Thus, one of the primary objectives of probity in tendering is to maintain the integrity of the bidding process. The Canadian court in the Ron Engineering case referred to this as the obligation of owners to treat all tenderers equally and fairly. Johnsto
30、ne asserts that transparency in the entire contracting out process is essential so that potential contractors and members of the public can have confidence in the outcomes. If integrity and impartiality are not evident, tenderers may be reluctant to make a bid, the formulation of which requires sign
31、ificant amount of time and resources. In that case, competition is likely to be lessened and the best value for money may not be achieved. In principle, recent development in common law attempts to maintain some integrity in the tendering process by recognising the existence of the parties obligatio
32、ns to one another so that the owner cannot simply reject or accept tenders as it pleases, or cannot negotiate with one or more tenderers to produce satisfactory deal. As mentioned previously, the contractual obligation between the parties is referred to as the tendering contract. Breach of the tende
33、ring contract entitles the injured party to the normal remedy of damages. Probity in the tendering process ensures that fair and equal treatment to all tenderers is put in place and maintained so that no term of the tendering contract is likely to be breached. According to Johnstone, common probity
34、objectives are:to ensure all respondents are assessed objectively and consistently to ensure integrity in all evaluation and selection process to ensure all confidential information is secured to address any potential, or actual conflicts of interest to promote defensibility of process. Guidelines t
35、o Avoid Breach of the Tendering Contract in the Competitive Bidding Process On conclusion, Craig suggests some guidelines on how alternative tenders and tenders involving design proposals might be taken legitimately by the owner so as to avoid or minimise the likelihood of the clients placing themse
36、lves at risk of litigation due to a breach of the contractual obligations arising out of the tendering contract. They are specified as follows. Under the tendering contract the owner is obliged to treat all tenders equally and fairly. All conforming tenders must therefore be considered. An effective
37、 privilege clause which says something like “any tender will notnecessarily be accepted” will normally prevent an owner becoming obliged to accept any tender. All tenders may therefore be properly rejected. On the other hand, a term to the effect that a contract will be awarded to the lowest, or hig
38、hest, bidder is enforceable. This implies that an owner cannot use the privilege clause as an excuse for deviating from the contract evaluation and award criteria set down in the tender invitation or documents. Or, put it another way, theprivilege clause does not allow the owner to: (i) choose compa
39、ratively among the tenderers based on criteria that has not been disclosed to the tenderers; or (ii) to award to another tenderer or another person something other than the main contract. It would be a breach of the tendering obligation of equal and fair treatment for the owner to negotiate with one
40、 tenderer on terms which do not apply to other tenderers. All tenderers are entitled to know the basis on which tenders will be evaluated and on which acontract-award decision will be made.If innovation from tenderers is required, an owner must expressly create the right for a tenderer to submit an
41、alternative tender. If the right then exists, the owner is obliged to consider such proposals. Tenderers must be informed of criteria for evaluation of such alternative proposals.Tender conditions must define the scope of alternative tenders. That scope must be not too tight so as to restrict innova
42、tion, but not too wide so as to result in a proposal for a scheme quite different to the one originally tendered for. Tender conditions for projects involving design must include criteria for evaluating that design. The criteria must be made known to all tenderers. It is a breach of the tendering co
43、ntract for the owner to award a contract to a tenderer who offers something different to what was asked for in the invitation to tender. Furthermore, Johnstone adds Invitation document should be accessible to all potential bidders. They should be expressed in readily understood terms. It is easier t
44、o formulate appropriate selection criteria when the project specifications are developed first. Clear specifications and selection criteria assist possible contractors to formulate bids appropriately. A policy in relation to non-conforming bids should be formulated and documented in the invitation d
45、ocumentation. Often assessment of bids will involve a number of assessment panels. In this situation, there should be a separation of assessment panels. For example, a panel of experts may review financial viability whilst another will look at those same bids from a design perspective. Assessment pa
46、nels would commonly be quarantined through the evaluation period.SUMMARY This paper highlights the problems with competitive tendering in relation to contractor-led innovation. In the traditional method, contractor-led innovation may be encouraged at the tendering stage. However, to enable acceptanc
47、e by the owner, criteria for evaluation of and the scope of alternative tenders must be clearly defined in the tender document. By the same token, tender conditions for projects involving design must include criteria for evaluating that design t. Guidance has been outlined of how to reduce the risk of owner falling into a breach of the tendering contract in the competitive tendering process when it involves alternative tenders or design proposals. One of the alternative contractor selection methods identified has been briefly described.