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NOT FOR CONTRACT USE FIDIC PROCUREMENT PROCEDURES GUIDE 1st Edition 2011 Fédéra

NOT FOR CONTRACT USE FIDIC PROCUREMENT PROCEDURES GUIDE 1st Edition 2011 Fédération Internationale des Ingénieurs-Conseils International Federation of Consulting Engineers Internationale Vereinigung Beratender Ingenieure Federación Internacional de Ingenieros Consultores ISBN 978 – 2 – 88432 – 062 – 5 NOT FOR CONTRACT USE 1 Contents Foreword 3 Disclaimer 4 Notes 4 Acknowledgements 4 1 Introduction 5 2 Basic Considerations 9 3 Developing a Project Strategy 23 4 Management of Procurement 43 5 Contract Types 51 6 The Project Strategy 81 7 Prequalification: Consultancy Appointments 87 8 Prequalification of Tenderers: Contracts for Works 97 9 Consultancy Appointments 109 10 Obtaining Tenders: Minor Works Contracts 113 11 Obtaining Tenders: Construction Contracts 115 12 Obtaining Tenders: Plant and Design-Build Contracts 125 13 Obtaining Tenders: EPC/Turnkey Contracts 137 14 Obtaining Tenders: Dredging and Reclamation Works 149 15 Receipt and Opening of Proposals and Tenders 159 16 Evaluation and Recommendations: Consultancy Appointments 163 17 Tender Evaluation and Recommendations: Contracts for Works 169 18 Award of Contracts: Consultancy Appointments 177 19 Award of Contracts for Works 183 References 187 NOT FOR CONTRACT USE Contents 2 Appendices 188 A FIDIC Code of Ethics 2.6.6 Basic Considerations - Operation and Maintenance 2.6.10 Basic Considerations - Sustainable Development 2.7.1 Basic Considerations - Feasibility Studies Report 5.5.1 Contract Types - Preparation of the Employer’s Requirements 5.5.2 Contract Types - Performance-Based Procurement (PBP) 5.6.2 Contract Types - Privately Financed Projects (PFP’s) and Public -Private Partnerships (PPP’s) 5.9.3 Contract Types - Purchasing, Expediting and Inspection 8.3.1 Prequalification of Tenderers: Contracts for Works - Standard Prequalification Form for Contractors 11.1.1 Obtaining Tenders: Construction Contracts - Example Letter of Invitation to Tender 11.1.2 Obtaining Tenders: Construction Contracts - Example Form of Tender Security 11.1.3 Obtaining Tenders: Construction Contracts - Example Form of Instructions to Tenderers 12.1.1 Obtaining Tenders: Plant and Design-Build Contracts - Example Letter of Invitation to Tender 12.1.2 Obtaining Tenders: Plant and Design-Build Contracts - Example Form of Tender Security 12.1.3 Obtaining Tenders: Plant and Design-Build Contracts - Example Form of Instructions to Tenderers 12.1.4 Obtaining Tenders: Plant and Design-Build Contracts - Typical Schedules 12.1.5 Obtaining Tenders: Plant and Design-Build Contracts - Typical Contents of a Contractor’s Proposal 13.1.1 Obtaining Tenders: EPC/Turnkey Contracts - Example Letter of Invitation to Tender 13.1.2 Obtaining Tenders: EPC/Turnkey Contracts - Example Form of Tender Security 13.1.3 Obtaining Tenders: EPC/Turnkey Contracts - Example Form of Instructions to Tenderers 14.1.1 Obtaining Tenders: Dredging and Reclamation Works - Example Letter of Invitation to Tender 14.1.2 Obtaining Tenders: Dredging and Reclamation Works - Example Form of Tender Security Index 254 NOT FOR CONTRACT USE Foreword The International Federation of Consulting Engineers (FIDIC) published the First Edition of Tendering Procedure in 1982. This dealt primarily with procedures for awarding civil engineering contracts. The Second Edition, published in 1994, took account of the then current Fourth Edition of the FIDIC Conditions of Contract for Works of Civil Engineering Construction (the ‘1987 Red Book’) and the Third Edition of the FIDIC Conditions of Contract for Electrical and Mechanical Works (the ‘1987 Yellow Book’). The opportunity was also taken to reflect the thinking of the International Financing Institutions (IFI’s) and of the consulting engineering industry practice of the day. This new guide is much more than a further edition of Tendering Procedure. First, it takes account not only of the publication of new FIDIC forms of contract since the late 1990’s, particularly the new suite dated 1999, but also of the gradual introduction and widening acceptance of novel approaches to the procurement of engineering projects, including new methods of contract management and implementation. Second, the early chapters give essential guidance on the underlying concepts and philosophy of projects in the broadest sense, to the point where a contract type is chosen. They stress that the tender process is preceded by important initial and feasibility studies and other vital professional activities. These activities must be carried out carefully as they provide the basis for the development of the all-important project strategy. Once the project strategy has been defined it must be followed throughout all the subsequent phases of the procurement. It is the project strategy that governs the tendering processes and, if correct, should ensure that a satisfactory project is achieved, that is to say, one in which there is clarity of objectives, ethical conduct, fair allocation of risks, and outcomes where the employer receives his project on time, within budget, and to the specified quality, and the contractors and advisers are paid a fair price for their services. In particular, a multi-discipline approach is adopted, making the guidance directly applicable to the increasingly common situation where civil, electrical, electronic, and mechanical works, information technology systems and other engineering services are provided within a single project. Third, this guide provides up-to-date detailed guidance on each step in the tendering processes, complemented by sample documents covering such matters as prequalification and instructions to tenderers. The intention is that users do not need to refer to all parts of this guide but will nevertheless easily find the practical advice for which they are looking to fulfil their specific duties successfully, and in accordance with best international practice. In addition, the established and well- known procedures of the IFI’s are acknowledged, including their mandatory provisions. Thus, this guide also promotes a freedom and flexibility which means that the procedures described can be adapted and used in conjunction with, for example, procedures normally adopted by some employers or which are required by the IFI’s. Users are, however, reminded to be aware of the prevailing requirements and/or restrictions of certain employers and, particularly, of national and locally applicable laws and regulations, to ensure that all mandatory provisions are properly applied during tendering. FIDIC believes that this new guide provides internationally acceptable, comprehensive, best-practice procedures, which will encourage and enhance the objective of receiving responsive, clear and competitive tenders, so that contracts can be awarded which will deliver satisfactory results. Users are also encouraged to refer to other relevant FIDIC publications, such as those on sustainable development, quality and integrity management, risk management and professional indemnity insurance, as well as the FIDIC standard forms of agreement and contracts. All FIDIC publications are available from: FIDIC Bookshop Box 311 CH-1215 Geneva 15, Switzerland Tel: +41-22-799 49 00 Fax: +41-22-799 49 01 E-mail: fidic.pub@fidic.org Web: www.fidic.org/bookshop Use www.fidic.org/bookshop for online information, orders and payments. 3 NOT FOR CONTRACT USE 4 Disclaimer The information contained in this guide is intended for use as a general statement only. Neither FIDIC nor any committee or individual connected with FIDIC can accept liability for any loss or damage which may be suffered by any person as a result of the use in any way of the information contained herein. Any persons using such information or drafting tender dossiers, contracts, specifications or other documents based thereon, or signing any contracts, should in all cases take appropriate professional advice on the matters referred to in this guide to ensure they are suitable for use in relation to any specific project. Users are themselves solely responsible for ensuring that any wording or information taken from this guide is consistent with and appropriate to the remainder of the material employed for their project. The Fédération Internationale des Ingénieurs- Conseils (FIDIC) extends special thanks to the following members of the task group responsible for preparing this FIDIC Procurement Procedures Guide: Christopher Wade (Group Leader), Consulting Engineer, UK; John Greenhalgh, Greenhalgh Associates, UK; Philip Jenkinson, Atkins, UK; Damian Lewandowski, Scott Wilson, Poland; John Shaw, Consulting Engineer, UK; with Colin Marshall, Consulting Engineer, UK, as a corresponding member. The preparation was carried out under the general direction of the FIDIC Contracts Committee, members of which comprised Nael Bunni, Bunni and Associates, Ireland; Axel-Volkmar Jaeger, Consulting Services, Germany; Philip Jenkinson, Atkins, UK; Michael Mortimer-Hawkins, Consulting Engineer, Sweden; Christopher Seppälä, White and Case LLP , France; Christoph Theune, Pöyry Environment GmbH, Germany; Christopher Wade, Consulting Engineer, UK; Zoltan Záhonyi, Skye Consulting Engineers, Hungary. FIDIC also wishes to thank Geoff French, Executive Committee member responsible for the FIDIC Contracts Committee; Enrico Vink, Managing Director, FIDIC, and Peter Boswell, formerly General Manager, FIDIC, for their support and help in producing this document. Acknowledgements Notes In this guide, words and terms defined in the FIDIC forms of contract or other FIDIC publications are not distinguished in any special way, and users are referred to these sources for formal definitions, as required. It is noted that a consulting engineer is a professionally qualified engineer in private practice, maintaining an engineering office, either alone or in association with other engineers, employing staff to provide consulting services. A consulting engineering firm may be organised as a sole proprietorship, partnership or company, depending on the size and type of its operation and the conditions set by its national association. Membership in a FIDIC national Member Association provides an assurance that the consulting engineer subscribes to a code of conduct on professional status, independence and competence, in accordance with FIDIC’s Code of Ethics, see Appendix A. NOT FOR CONTRACT USE 5 1 Introduction This uploads/Ingenierie_Lourd/ fidic-procurement-guide.pdf