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TheSignificanceoftheTendering

ContractontheOpportunitiesfor

ClientstoEncourageContractor-led

Innovation

文献、资料来源：

国道数据库

文献、资料发表（出版）日期：

2006.10.11

院（部）：

管理工程学院

专业：

工程造价

班级：

价本0504

******

学号：

**********

指导教师：

黄伟典王大磊

翻译日期：

2008.6.14

外文文献：

TheSignificanceoftheTenderingContractonTheOpportunitiesforClientstoEncourageContractor-ledInnovation

ABSTRACT

Duringthetenderingprocessformostmajorconstructioncontractsthereistheopportunityforbidderstosuggestalternativeinnovativesolutions.Clearlyclientsarekeentotakeadvantageoftheseopportunities,andequallycontractorswanttousetheirexpertisetoestablishcompetitiveadvantage.Bothpartiesmayverywellbenefitfromtheencouragementofsuchinnovationandtheavailabilityofcheapermethodsofconstructionthanhavebeencontemplatedbythetenderingauthority.

Howeverrecentdevelopmentsincommonlawhaveraiseddoubtsabouttheabilityofownerstoseekalternativetenderswithoutplacingthemselvesatriskoflitigation.Thiscommonlawhasrecognisedtheexistenceoftheso-called‘tenderingcontract’or‘processcontract’.Sincethetenderingprocessisinherentlypricecompetitive,theapplicationofthetenderingcontractconceptislikelytoseverelyinhibittheopportunityforalternativetenders.

Thispaperisprimarilybasedontheliteraturereview.Theaimofthispaperistohighlighttheproblemswiththecompetitivetenderingprocessinrelationtocontractor-ledinnovationandexplorewaysinwhichownerscandevelopprocurementproceduresthatwillallowandencourageinnovationfromcontractors.

PROBLEMSWITHCOMPETITIVETENDERING

Thetraditionaltenderingprocesswasdesignedtoproducedirectpricecompetitionforaspecifiedproduct.Evaluationoftenderscouldonlybeconfinedtopricealonebycreatingasysteminwhichpriceistheonlycriterionthatcouldvarywhiledesignandtechnicalcontentarethesameforeachcompetingtender.Albeitthecontractperiodisstipulatedasconstant,ownersoftenencouragetendererstosubmitasecondtenderwhichoffersanalternativepriceforanalternativetimeperformance.Tendererswouldachievethisbyreworkingtheirtenderprogramme,findingtheoptimumcontractperiod,andadjustingthetenderpriceaccordingly.Eachtendererwouldcompetetofindnovelwaysoforganisingtheworkmethodthatwouldallownotonlytheminimumconstructioncostbutalsomaximumprofitmarginwithinthepriceproposed.However,thisprocessisalwaysconfinedbytheboundaryoftheowner’sdesign.Inthisway,thesuccessfultenderer’sscopetobeinnovativeisverylimited.

Whenevaluatingalternativetenders,theownerisconfrontedwiththedutyofequaltreatmentandfairnesstoalltenderers.Ifoneistobepreferredonanalternativetender,whichisnotaconformingtenderintermsoftheoriginalinvitation,howcanalltenderersbetreatedequallyandfairly?

Anyindividualismexhibitedonthepartofatendereroutsidethepermittedscopeofpriceandtimemustdisqualifythattenderfromtheowner’sconsiderationbecauseitdoesnotconformtotheinvitation.Therefore,thetraditionaltenderingprocessprevents,restrictsorevendiscouragescontractor-ledinnovation.

SongerandIbbsbelievedthattheuseofdesign-and-buildprocurementmethodwouldencourageinnovationinthebuildingprocess.Thisprocurementmethodimposessinglepointresponsibilityoncontractorforthecompletebuildinganditstenderingprocessdifferfromthatofthetraditionalprocurementmethodinthatitmustbecapableofevaluatingdesignaswellasproductioncapability,timeandprice,allonacompetitivebasis.Thisisnoteasy.Competitivedesignisnoteasytoevaluateinthecontextoftendering.Theobjectivityappearstobereplacedbysubjectivityinpickingthewinner,andtheapparentintegrityofthebiddingprocessislost,unlessveryclearcriteriaareestablishedattheoutsetforevaluationofcompetingdesigns.Thisalsomeanstosaythatthetenderprocessrulesmustbedesignedassuchthatitencouragescontractor-ledinnovation,yetatthesametimeplacessomelimitonthescopeforsuchinnovation.Thelimitsmustbesuchthattheprojectdeliveredisstilltheprojectforwhichtenderswereinvited.SongerandIbbs,withrespecttothisaspect,assertedthatoneconcernofpublicagenciesishowtoallowforinnovationwhilemaintainingappropriatecontrolofcertaindesignaspectsoftheproject.Determininganappropriatebalanceofinnovationandcontrolindesignandadequatelycommunicatingthedesiredbalancetopotentialdesign-and-buildtenderersprovidesasignificantchallengetopublicsectoragencies.

THE‘TENDERINGCONTRACT’

Developmentsinthelawrelatingtotenderstraditionallytreatedan‘invitationtotender’ora‘requestfortenders’asnomorethananinvitationtotreat,anindicationthattheownerwasreadytodobusiness–somethingpriortoandshortofanoffer.Inotherwords,aninvitationtotreatwasnotanoffertomakeacontractwithanypersonwhomightactontheinvitation,butmerelyafirststepinnegotiationwhichmay,ormaynot,leadtoacontract.Wheneachtenderersubmitteditstenderintheprescribedform,itamountedtoanofferwhichcouldberegardedasanoffertomakeacontract.Iftheoffermetwithunequivocalacceptance,contractualobligationarosebetweentheownerandthesuccessfultenderer.

Recently,themodernviewturnsthistheoryupsidedown.Thereexistswhatisknownasthe‘twocontract’analysisinvolvingtheemergenceofthe‘tenderingcontract’.Theinvitationtotenderisnowinsomecircumstancestobetreatedasanoffertomakeacontractwhichatendereracceptswhenitsubmitsaconformingtender.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,itmaybestatedthatthesubmissionofaconformingtenderinresponsetoaninvitationcancreatecontractualobligationsforbothparties.Inthecase:

Ontariov.RonEngineering&

ConstructionEasternLtd,theCourtofCanadaheldthatacontractwasbroughtintobeingautomaticallyuponthesubmissionofaresponsivetenderbyeachtenderer.Havingestablishedthata‘tenderingcontract’exists,itisthenimportanttoconstitutewhatthetermsareofthatcontract.Thetermsarederivedfromthetenderconditions,the‘tendercode’,andotherrelevantmaterialsuchaslegislationandcorrespondence.Allorsomeoftheprovisionsofthe‘tendercode’maybeincorporatedinthe‘tenderingcontract’byreferenceand/orbyimplication.Atermsmaybeimpliedtotheeffectthattheownermustconsiderallconformingtenders,musttreatalltenderersequallyandfairly,andmustawardonlyacontractfortheprojecttenderedfor.

GUIDANCEONCONTRACTORSELECTION

TheSignificanceofProbityinTendering

Probityisdefinedinvariousdictionariesas“moralexcellence,integrity,uprightness,conscientiousness,honesty,sincerity”.Inthetenderingcontext,itgenerallydependsuponconfidentialityofdocumentationanddecisionmaking,objectiveandconsistentassessmentateachphaseofdecisionmakingandresolutionofanypossible,perceivedoractualconflictsofinterest.Thus,oneoftheprimaryobjectivesofprobityintenderingistomaintaintheintegrityofthebiddingprocess.TheCanadiancourtintheRonEngineeringcasereferredtothisastheobligationofownerstotreatalltenderersequallyandfairly.

Johnstoneassertsthattransparencyintheentirecontractingoutprocessisessentialsothatpotentialcontractorsandmembersofthepubliccanhaveconfidenceintheoutcomes.Ifintegrityandimpartialityarenotevident,tenderersmaybereluctanttomakeabid,theformulationofwhichrequiressignificantamountoftimeandresources.Inthatcase,competitionislikelytobelessenedandthebestvalueformoneymaynotbeachieved.

Inprinciple,recentdevelopmentincommonlawattemptstomaintainsomeintegrityinthetenderingprocessbyrecognisingtheexistenceoftheparties’obligationstooneanothersothattheownercannotsimplyrejectoraccepttendersasitpleases,orcannotnegotiatewithoneormoretendererstoproducesatisfactorydeal.Asmentionedpreviously,thecontractualobligationbetweenthepartiesisreferredtoasthe‘tenderingcontract’.Breachofthe‘tenderingcontract’en