英文版世界银行采购指南.docx

英文版世界银行采购指南.docx

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英文版世界银行采购指南

GuidelinesProcurementUnderIBRDLoansAndIDACredits

May2004

RevisedOctober1,2006

Acronyms

BOO

Build,own,operate

BOOT

Build,own,operate,transfer

BOT

Build,operate,transfer

CIF

Cost,Insurance,andFreight

CIP

CarriageandInsurancePaid（placeofdestination）

CPT

CarriagePaidTo（namedplaceofdestination）

DDP

DeliveredDutyPaid

EXW

Exworks,Exfactory,orOfftheShelf

FCA

FreeCarrier（namedplace）

GNP

GrossNationalProduct

IBRD

InternationalBankforReconstructionandDevelopment（WorldBank）

ICB

InternationalCompetitiveBidding

IDA

InternationalDevelopmentAgency

LIB

LimitedInternationalBidding

NCB

NationalCompetitiveBidding

NGO

Nongovernmentalorganization

PAD

ProjectAppraisalDocument

SA

SpecialAccount

SBDs

StandardBiddingDocuments

UN

UnitedNations

UNDB

UnitedNationsDevelopmentBusiness

I.Introduction

Purpose

1.1ThepurposeoftheseGuidelinesistoinformthosecarryingoutaprojectthatisfinancedinwholeorinpartbyaloanfromtheInternationalBankforReconstructionandDevelopment（IBRD）oracreditorgrantfromtheInternationalDevelopmentAssociation（IDA）,ofthepoliciesthatgoverntheprocurementofgoods,works,andservices（otherthanconsultantservices）requiredfortheproject.TheLoanAgreementgovernsthelegalrelationshipsbetweentheBorrowerandtheBank,andtheGuidelinesaremadeapplicabletoprocurementofgoodsandworksfortheproject,asprovidedintheagreement.TherightsandobligationsoftheBorrowerandtheprovidersofgoodsandworksfortheprojectaregovernedbythebiddingdocuments,andbythecontractssignedbytheBorrowerwiththeprovidersofgoodsandworks,andnotbytheseGuidelinesortheLoanAgreements.NopartyotherthanthepartiestotheLoanAgreementshallderiveanyrightstherefromorhaveanyclaimtoloanproceeds.

GeneralConsiderations

1.2Theresponsibilityfortheimplementationoftheproject,andthereforefortheawardandadministrationofcontractsundertheproject,restswiththeBorrower.TheBank,foritspart,isrequiredbyitsArticlesofAgreementto“⋯ensurethattheproceedsofanyloanareusedonlyforthepurposesforwhichtheloanwasgranted,withdueattentiontoconsiderationsofeconomyandefficiencyandwithoutregardtopoliticalorothernon-economicinfluencesorconsiderations,”andithasestablisheddetailedproceduresforthispurpose.Whileinpracticethespecificprocurementrulesandprocedurestobefollowedintheimplementationofaprojectdependonthecircumstancesoftheparticularcase,fourconsiderationsgenerallyguidetheBank’srequirements:

（a）theneedforeconomyandefficiencyintheimplementationoftheproject,includingtheprocurementofthegoodsandworksinvolved;

（b）theBank’sinterestingivingalleligiblebiddersfromdevelopedanddevelopingcountriesthesameinformationandequalopportunitytocompeteinprovidinggoodsandworksfinancedbytheBank;

（c）theBank’sinterestinencouragingthedevelopmentofdomesticcontractingandmanufacturingindustriesintheborrowingcountry;and

（d）theimportanceoftransparencyintheprocurementprocess.

1.3Opencompetitionisthebasisforefficientpublicprocurement.Borrowersshallselectthemostappropriatemethodforthespecificprocurement.Inmostcases,InternationalCompetitiveBidding（ICB）,properlyadministered,andwiththeallowanceforpreferencesfordomesticallymanufacturedgoodsand,whereappropriate,fordomesticcontractorsforworksunderprescribedconditionsisthemostappropriatemethod.Inmostcases,therefore,theBankrequiresitsBorrowerstoobtaingoods,worksandservicesthroughICBopentoeligiblesuppliersandcontractors.SectionIIoftheseGuidelinesdescribestheproceduresforICB.

1.4WhereICBisnotthemostappropriatemethodofprocurement,othermethodsofprocurementmaybeused.SectionIIIdescribestheseothermethodsofprocurementandthecircumstancesunderwhichtheirapplicationwouldbemoreappropriate.TheparticularmethodsthatmaybefollowedforprocurementunderagivenprojectareprovidedforintheLoanAgreement.Thespecificcontractstobefinancedundertheproject,andtheirmethodofprocurement,consistentwiththeLoanAgreement,arespecifiedintheProcurementPlanasindicatedinparagraph1.16oftheseGuidelines.

ApplicabilityofGuidelines

1.5TheproceduresoutlinedintheseGuidelinesapplytoallcontractsforgoodsandworksfinancedinwholeorinpartfromBankloans.FortheprocurementofthosecontractsforgoodsandworksnotfinancedfromaBankloan,theBorrowermayadoptotherprocedures.InsuchcasestheBankshallbesatisfiedthattheprocedurestobeusedwillfulfilltheBorrower’sobligationstocausetheprojecttobecarriedoutdiligentlyandefficiently,andthatthegoodsandworkstobeprocured:

（a）areofsatisfactoryqualityandarecompatiblewiththebalanceoftheproject;

（b）willbedeliveredorcompletedintimelyfashion;and

（c）arepricedsoasnottoaffectadverselytheeconomicandfinancialviabilityoftheproject.

Eligibility

1.6TofostercompetitiontheBankpermitsfirmsandindividualsfromallcountriestooffergoods,works,andservicesforBank-financedprojects.Anyconditionsforparticipationshallbelimitedtothosethatareessentialtoensurethefirm’scapabilitytofulfillthecontractinquestion.

1.7InconnectionwithanycontracttobefinancedinwholeorinpartfromaBankloan,theBankdoesnotpermitaBorrowertodenypre-orpost-qualificationtoafirmforreasonsunrelatedtoitscapabilityandresourcestosuccessfullyperformthecontract;nordoesitpermitaBorrowertodisqualifyanybidderforsuchreasons.Consequently,Borrowersshouldcarryoutduediligenceonthetechnicalandfinancialqualificationsofbidderstobeassuredoftheircapabilitiesinrelationtothespecificcontract.

1.8Asexceptionstotheforegoing:

（a）Firmsofacountryorgoodsmanufacturedinacountrymaybeexcludedif,（i）asamatteroflaworofficialregulation,theBorrower’scountryprohibitscommercialrelationswiththatcountry,providedthattheBankissatisfiedthatsuchexclusiondoesnotprecludeeffectivecompetitionforthesupplyofgoodsorworksrequired,or（ii）byanactofcompliancewithadecisionoftheUnitedNationsSecurityCounciltakenunderChapterVIIoftheCharteroftheUnitedNations,theBorrower’scountryprohibitsanyimportofgoodsfrom,orpaymentsto,aparticularcountry,person,orentity.WheretheBorrower’scountryprohibitspaymentstoaparticularfirmorforparticulargoodsbysuchanactofcompliance,thatfirmmaybeexcluded.

（b）AfirmwhichhasbeenengagedbytheBorrowertoprovideconsultingservicesforthepreparationorimplementationofaproject,andanyofitsaffiliates,shallbedisqualifiedfromsubsequentlyprovidinggoods,works,orservicesresultingfromordirectlyrelatedtothefirm’sconsultingservicesforsuchpreparationorimplementation.Thisprovisiondoesnotapplytothevariousfirms（consultants,contractors,orsuppliers）whichtogetherareperformingthecontractor’sobligationsunderaturnkeyordesignandbuildcontract.

（c）Government-ownedenterprisesintheBorrower’scountrymayparticipateonlyiftheycanestablishthatthey（i）arelegallyandfinanciallyautonomous,（ii）operateundercommerciallaw,and（iii）arenotdependentagenciesoftheBorrowerorSub-Borrower.

（d）AfirmdeclaredineligiblebytheBankinaccordancewithsubparagraph（d）ofparagraph1.14oftheseGuidelinesorinaccordancewiththeWorldBankGroupAnti-CorruptionpoliciesshallbeineligibletobeawardedaBank-financedcontractduringtheperiodoftimedeterminedbytheBank.

AdvanceContractingandRetroactiveFinancing

1.9TheBorrowermaywishtoproceedwiththeinitialstepsofprocurementbeforesigningtherelatedBankloan.Insuchcases,theprocurementprocedures,includingadvertising,shallbeinaccordancewiththeGuidelinesinorderfortheeventualcontractstobeeligibleforBankfinancing,andtheBankshallreviewtheprocessusedbytheBorrower.ABorrowerundertakessuchadvancecontractingatitsownrisk,andanyconcurrencebytheBankwiththeprocedures,documentation,orproposalforawarddoesnotcommittheBanktomakealoanfortheprojectinquestion.Ifthecontractissigned,reimbursementbytheBankofanypaymentsmadebytheBorrowerunderthecontractpriortoloansigningisreferredtoasretroactivefinancingandisonlypermittedwithinthelimitsspecifiedintheLoanAgreement.

JointVentures

1.10Anyfirmmaybidindependentlyorinjointventureconfirmingjointandseveralliability,eitherwithdomesticfirmsand/orwithforeignfirms,buttheBankdoesnotacceptconditionsofbiddingwhichrequiremandatoryjointventuresorotherformsofmandatoryassociationbetweenfirms.

BankReview

1.11TheBankreviewstheBorrower’sprocurementprocedures,documents,bidevaluations,awardrecommendations,andcontractstoensurethattheprocurementprocessiscarriedoutinaccordancewiththeagreedprocedures.ThesereviewproceduresaredescribedinAppendix1.TheProcurementPlanapprovedbytheBankshallspecifytheextenttowhichthesereviewproceduresshallapplyinrespectofthedifferentcategoriesofgoodsandworkstobefinanced,inwholeorinpart,fromtheBankloan.

Misprocurement

1.12TheBankdoesnotfinanceexpendituresforgoodsandworkswhichhavenotbeenprocuredinaccordancewiththeagreedprovisionsintheLoanAgreementandasfurtherelaboratedintheProcurementPlan.Insuchcases,theBankwilldeclaremisprocurement,anditisthepolicyoftheBanktocancelt