Applicable Law and Settlement of Disputes适用法律和争端的解决

2.43 The conditions of contract shall include provisions dealing with the applicable law and the forum for the settlement of disputes. International commercial arbitration has practical advantages over other methods for the settlement of disputes. Therefore, the Bank recommends that Borrowers use this type of arbitration in contracts for the procurement of goods and works. The Bank shall not be named arbitrator or be asked to name an arbitrator.  In case of works contracts, supply and installation contracts, and turnkey contracts, the dispute settlement provision shall also include mechanisms such as dispute review boards or adjudicators, which are designed to permit a speedier dispute settlement.

合同条款中应包括适用法律和解决争端的规定。国际商务仲裁可能比其他争端解决方法更具有实际优势。因此，世行鼓励借款人在货物和工程的采购合同中采用这种仲裁方式。世行不应被指定为仲裁员，也不应要求世行指定仲裁员 。如果是工程合同、供货与安装合同以及交钥匙合同，解决争端的规定还应该包括诸如争端审议委员会或调解员的机制，采用这些机制将有助于加快争端的解决。

 

C. Bid Opening, Evaluation, and Award of Contract开标、评标和授标

Time for Preparation of Bids投标书的准备时间

2.44 The time allowed for the preparation and submission of bids shall be determined with due consideration of the particular circumstances of the project and the magnitude and complexity of the contract. Generally, not less than six weeks from the date of the invitation to bid or the date of availability of bidding documents, whichever is later, shall be allowed for ICB. Where large works or complex items of equipment are involved, this period shall generally be not less than twelve weeks to enable prospective bidders to conduct investigations before submitting their bids. In such cases, the Borrower is encouraged to convene pre-bid conferences and arrange site visits. Bidders shall be permitted to submit bids by mail or by hand. Borrowers may also use electronic systems permitting bidders to submit bids by electronic means, provided the Bank is satisfied with the adequacy of the system, including, inter alia, that the system is secure, maintains the confidentiality and authenticity of bids submitted, uses an electronic signature system or equivalent to keep bidders bound to their bids, and only allows bids to be opened with due simultaneous electronic authorization of the bidder and the Borrower. In this case, bidders shall continue to have the option to submit their bids in hard copy. The deadline and place for receipt of bids shall be specified in the invitation to bid.

确定投标书的准备和提交时间应充分考虑项目的具体情况和合同的规模及复杂程度。一般而言，国际竞争性招标(ICB)应给出自投标邀请之日或开始发售招标文件之日(以晚者为准)起不少于6周的时间。在涉及大型工程或复杂设备品目的情况下，该时间一般应不少于12周，以使潜在的投标人能够在提交其投标书之前进行调查。在这种情况下，鼓励借款人召开标前会并安排现场踏勘。应允许投标人采用邮寄或亲自送达的方式提交投标书。如果世行对借款人的电子系统的适当性感到满意，特别包括，系统是安全的、所提交的投标书是保密的和真实的、使用电子签名或其他类似方法使投标人约束于他们的投标书以及投标书是在投标人和借款人同时使用电子授权的情况才给予拆封，借款人可以允许投标人使用电子系统提交他们的投标书。在这种情况下，应继续允许投标人选用打印文本形式提交其投标书。投标邀请中应明确规定接收投标书的截止时间和地点。

 

Bid Opening Procedures开标程序

2.45 The time for the bid opening shall be the same as for the deadline for receipt of bids or promptly  thereafter, and shall be announced, together with the place for bid opening, in the invitation to bid. The Borrower shall open all bids at the stipulated time and place. Bids shall be opened in public; bidders or their representatives shall be allowed to be present (in person or online, when electronic bidding is used). The name of the bidder and total amount of each bid, and of any alternative bids if they have been requested or permitted, shall be read aloud (and posted online when electronic bidding is used) and recorded when opened and a copy of this record shall be promptly sent to the Bank and to all bidders who submitted bids in time. Bids received after the time stipulated, as well as those not opened and read out at bid opening, shall not be considered.

开标时间应与接收投标书的截止时间相同或紧随其后 ，并在投标邀请中与开标地点一起公布。借款人应在规定的时间和地点拆封所有的投标书。开标应公开进行。应允许投标人或其代表出席(亲自出席或电子招标时在线出席)。开标时，应大声宣读并记录投标人名称、每个投标的总金额以及如果要求或允许报备选方案时的备选方案总金额(如使用电子招标时，则在线公布)并加以记录。该记录的副本应立即报送世行并发送按时提交了投标书的全部投标人。在规定时间之后收到的投标书以及没有在开标时拆封并宣读的投标，均不给予以考虑。

Clarifications or Alterations of Bids对投标书的澄清或修正

2.46 Except as otherwise provided in paragraphs 2.63 and 2.64 of these Guidelines, bidders shall not be requested or permitted to alter their bids after the deadline for receipt of bids. The Borrower shall ask bidders for clarification needed to evaluate their bids but shall not ask or permit bidders to change the substance or price of their bids after the bid opening. Requests for clarification and the bidders’ responses shall be made in writing, in hard copy or by an electronic system satisfactory to the Bank.

除本指南第2.63段和2.64段的规定外，不应要求或允许投标人在投标截止时间后修改其投标书。借款人应要求投标人进行必要的澄清以便对其投标进行评审，但不得要求或允许投标人在开标之后改变其投标书的实质性内容或投标价。澄清的要求和投标人的答复均应采用书面形式，使用打印文本或世行满意的电子系统 。

 

Confidentiality保密性

2.47 After the public opening of bids, information relating to the examination, clarification, and evaluation of bids and recommendations concerning awards shall not be disclosed to bidders or other persons not officially concerned with this process until the publication of contract award.

公开开标之后直至公布合同授予的结果之前，与投标有关的检查、澄清以及评审和授标建议等情况均不得向投标人或其他与该程序无关的人员透露。

 

Examination of Bids投标书的检查

2.48 The Borrower shall ascertain whether the bids (a) meet the eligibility requirements specified in paragraph 1.6, 1.7 and 1.8 of these Guidelines, (b) have been properly signed, (c) are accompanied by the required securities or required declaration signed as specified in paragraph 2.14 of the Guidelines, (d) are substantially responsive to the bidding documents, and (v) are otherwise generally in order. If a bid is not substantially responsive, that is, it contains material deviations from or reservations to the terms, conditions, and specifications in the bidding documents, it shall not be considered further. The bidder shall not be permitted to correct or withdraw material deviations or reservations once bids have been opened.

借款人应确定投标书是否(a)符合本指南第1.6段、第1.7段和第1.8段规定的合格性要求，(b)得到适当的签署，(c)附有所要求的保证金或本指南第2.14段要求的经签署的投标声明，(d)对招标文件做出了实质性的响应，以及(v)在其他方面大体上符合要求。如果投标书不具有实质性的响应，即它包含了对招标文件中的条款、条件及技术规格的实质性偏离或保留，则不应对其作进一步的考虑。一旦投标书被拆封 ，投标人将不得纠正或撤回其投标中的实质性偏离或保留。

 

Evaluation and Comparison of Bids对投标的评审和比较

2.49 The purpose of bid evaluation is to determine the cost to the Borrower of each bid in a manner that permits a comparison on the basis of their evaluated cost. Subject to paragraph 2.58, the bid with the lowest evaluated cost,  but not necessarily the lowest submitted price, shall be selected for award.

评标的目的是在对各个投标的评标价格进行比较的基础上，确定每个投标对借款人产生的成本。根据第2.58段的规定，合同应该授予具有最低评标价 的投标，而不一定是报价最低的投标。

 

2.50 The bid price read out at the bid opening shall be adjusted to correct any arithmetical errors. Also, for the purpose of evaluation, adjustments shall be made for any quantifiable nonmaterial deviations or reservations. Price adjustment provisions applying to the period of implementation of the contract shall not be taken into account in the evaluation.

开标时宣读的投标价，应予以调整以纠正计算上的错误。同样，为评标的目的，应对任何可以量化的非实质性的偏离或保留进行调整。评标时不应考虑适用于合同执行期的价格调整规定。

 

2.51 The evaluation and comparison of bids shall be on CIP (place of destination) prices for the supply of imported goods  and EXW prices, plus cost of inland transportation and insurance to the place of destination, for goods manufactured within the Borrower’s country, together with prices for any required installation, training, commissioning, and other similar services.

评标以及对投标的比较应以国外进口货物的运费及保险费付至(目的地)价(CIP) 和借款国国内制造货物的出厂价(EXW)加上运至目的地的内陆运费和保险费为基础，并考虑任何所需的安装、培训、调试和其他类似服务的价格 。

 

2.52 Bidding documents shall also specify the relevant factors in addition to price to be considered in bid evaluation and the manner in which they will be applied for the purpose of determining the lowest evaluated bid. For goods and equipment, other factors may be taken into consideration including, among others, payment schedule, delivery time, operating costs, efficiency and compatibility of the equipment, availability of service and spare parts, and related training, safety, and environmental benefits. The factors other than price to be used for determining the lowest evaluated bid shall, to the extent practicable, be expressed in monetary terms, or given a relative weight in the evaluation provisions in the bidding documents.

除了价格因素之外，招标文件还应明确评标中需考虑的其他有关因素以及运用这些因素来确定最低评标价投标的方法。对于货物和设备，评标时可考虑的其他有关因素包括：付款时间表、交货期、运营成本、设备的效率和兼容性、零备件和服务的可获得性以及相关的培训、安全和环境效益。除价格以外，用以确定最低评标价投标的因素应在实际可能的范围内尽量货币化，或在招标文件的评标条款中给出相应的权重。

 

2.53 Under works and turnkey contracts, contractors are responsible for all duties, taxes, and other levies,  and bidders shall take these factors into account in preparing their bids. The evaluation and comparison of bids shall be on this basis. Bid evaluation for works shall be strictly in monetary terms. Any procedure under which bids above or below a predetermined assessment of bid values are automatically disqualified is not acceptable. If time is a critical factor, the value of early completion to the Borrower may be taken into account according to criteria presented in the bidding documents, only if the conditions of contract provide for commensurate penalties for noncompliance.

在工程和交钥匙合同中，承包商负责交纳所有关税、税收和其他税费 。投标人在准备其投标书时应考虑这些因素。对投标书的评审和比较应以此为基础。工程的评标应严格按货币化的方式进行。任何因投标超过或低于某一事先确定的投标估值即被自动淘汰的程序都是不能接受的。如果时间是个关键因素，那么，只有在合同条款中规定对未按期完工的承包商进行相应处罚的情况下，评标时才可根据招标文件中规定的标准把提前完工给借款人带来的价值考虑进去。

 

2.54 The Borrower shall prepare a detailed report on the evaluation and comparison of bids setting forth the specific reasons on which the recommendation is based for the award of the contract.

借款人应准备一份详细的评标报告，其中应说明作为授标建议依据的具体理由。

 

Domestic Preferences国内优惠

2.55 At the request of the Borrower, and under conditions to be agreed under the Loan Agreement and set forth in the bidding documents, a margin of preference may be provided in the evaluation of bids for:

应借款人的要求，并根据贷款协定中双方同意的条件和招标文件中的规定，评标时，一定幅度的优惠可给予：

 

(a)   goods manufactured in the country of the Borrower when comparing bids offering such goods with those offering goods manufactured abroad; and

在借款国国内制造的货物，当这些货物的投标与国外制造的货物的投标进行比较时；和

 

(b)   works in member countries below a specified threshold of GNP  per capita, when comparing bids from eligible domestic Contractors with those from foreign firms.

人均国民生产总值 低于规定限额的会员国的工程，当合格的国内承包商的投标与国外承包商的投标进行比较时。

 

2.56 Where preference for domestically manufactured goods or for domestic Contractors is allowed, the methods and stages set forth in Appendix 2 to these Guidelines shall be followed in the evaluation and comparison of bids.

如果允许给予国内制造的货物或国内承包商优惠的话，对投标书的评审和比较应按照本指南附录二中规定的方法和步骤进行。

 

Extension of Validity of Bids投标有效期的延长

2.57 Borrowers shall complete evaluation of bids and award of contract within the initial period of bid validity so that extensions are not necessary. An extension of bid validity, if justified by exceptional circumstances, shall be requested in writing from all bidders before the expiration date. The extension shall be for the minimum period required to complete the evaluation, obtain the necessary approvals, and award the contract. In the case of fixed price contracts, requests for second and subsequent extensions will be permissible only if the request for extension provides for an appropriate adjustment mechanism of the quoted price to reflect changes in the cost of inputs for the contract over the period of extension. Whenever an extension of bid validity period is requested, bidders shall not be requested or be permitted to change the quoted (base) price or other conditions of their bid. Bidders shall have the right to refuse to grant such an extension. If the bidding documents require a bid security, bidders may exercise their right to refuse to grant such an extension without forfeiting their bid security, but those who are willing to extend the validity of their bid shall be required to provide a suitable extension of bid security.

借款人应在原投标有效期内完成评标和授标工作，这样就不必延长投标有效期。如有意外情况必须延长投标有效期，那么，应在投标有效期截止日之前，以书面形式要求所有投标人延长投标有效期。延长期应为完成评标工作、获得必要的批准以及授予合同所需的最短时间。如果是固定价合同，第二次延期及随后的延期只有在延期请求中提供了适当的报价调整机制以反映延期期限内合同投入物成本变化的前提下才会得到允许。无论何时要求延长投标有效期，均不得要求或允许投标人改动其投标报价(基础报价)或其他投标条件。投标人有权拒绝延期。如果招标文件要求提交投标保证金，投标人有权拒绝延期而其投标保证金不被没收。但是，对于那些愿意延长投标有效期的投标人，应要求它们适当延长投标保证金的有效期。

 

Postqualification of Bidders对投标人的资格后审

2.58 If bidders have not been prequalified, the Borrower shall determine whether the bidder whose bid has been determined to offer the lowest evaluated cost has the capability and resources to effectively carry out the contract as offered in the bid. The criteria to be met shall be set out in the bidding documents, and if the bidder does not meet them, the bid shall be rejected. In such an event, the Borrower shall make a similar determination for the next-lowest evaluated bidder.

如果未对投标人进行资格预审，借款人应确定提供最低评标价投标的投标人是否有能力和资源按其投标所报条件有效地履行合同。要求达到的标准应在招标文件中规定，如投标人未达到这些标准，其投标应被拒绝。在这种情况下，借款人应对下一个提供最低评标价的投标人进行类似的审查。

 

Award of Contract授予合同

2.59 The Borrower shall award the contract, within the period of the validity of bids, to the bidder who meets the appropriate standards of capability and resources and whose bid has been determined (i) to be substantially responsive to the bidding documents and (ii) to offer the lowest evaluated cost.  A bidder shall not be required, as a condition of award, to undertake responsibilities for work not stipulated in the bidding documents or otherwise to modify the bid as originally submitted.

借款人应在投标有效期内将合同授予满足适当能力和资源标准的投标人，而且其投标已被确定为(i)实质性响应了招标文件的要求，并且(ii)提供了最低评标价 。不应要求投标人承担未在招标文件中规定的工作责任或修改其原提交的投标书，并将此作为授予合同的条件。

 

Publication of the Award of Contract公布合同授予的情况

2.60 Within two weeks of receiving the Bank’s “no objection” to the recommendation of contract award, the Borrower shall publish in UNDB online and in dgMarket the results identifying the bid and lot numbers and the following information: (a) name of each bidder who submitted a bid; (b) bid prices as read out at bid opening; (c) name and evaluated prices of each bid that was evaluated; (d) name of bidders whose bids were rejected and the reasons for their rejection; and (e) name of the winning bidder, and the price it offered, as well as the duration and summary scope of the contract awarded.

在收到世行对合同授予建议的“不反对”意见后两周内，借款人应在联合国发展商业报和发展门户网上在线公布评标结果，列明招标编号、合同编号及以下信息：(a)提交了投标书的每个投标人的名称，(b)开标时宣读的投标价，(c)经过评审的每一投标人的名称及其评标价，(d)投标书被拒绝的投标人的名称和拒绝的理由，(e)中标的投标人的名称及其中标价以及所授予合同的期限和范围。

 

Rejection of All Bids拒绝所有投标

2.61 Bidding documents usually provide that Borrowers may reject all bids. Rejection of all bids is justified when there is lack of effective competition, or bids are not substantially responsive or when bid prices are substantially higher than existing budget. Lack of competition shall not be determined solely on the basis of the number of bidders. Even when only one bid is submitted, the bidding process may be considered valid, if the bid was satisfactorily advertised and prices are reasonable in comparison to market values. Borrowers may, after the Bank’s prior approval, reject all bids. If all bids are rejected, the Borrower shall review the causes justifying the rejection and consider making revisions to the conditions of contract, design and specifications, scope of the contract, or a combination of these, before inviting new bids.

招标文件中通常规定借款人可拒绝所有投标。拒绝所有投标只有在缺乏有效竞争，或投标书未对招标文件做出实质性响应，或投标价大大高于现有的预算的情况下才是正当的。但是，缺乏竞争性不应仅仅以投标人的数量来确定。如果招标广告的刊登令人满意，而所报的价格与市场价格相比是合理的，即使只有一份投标书，招标过程也可以被认为有效。在获得世行批准后，借款人可以拒绝所有投标。如拒绝了所有投标，在重新招标之前，借款人应当审议拒标的原因，并考虑对合同条款、设计和技术规格、合同范围，或所有这些做出修改。

 

2.62 If the rejection of all bids is due to lack of competition, wider advertising shall be considered. If the rejection is due to most or all of the bids being nonresponsive, new bids may be invited from the initially prequalified firms, or with the agreement of the Bank from only those that submitted bids in the first instance.

如果拒绝所有投标是因为缺乏竞争性，应考虑扩大广告的范围。如果拒标是因为大部分或所有投标都没有响应招标文件的要求，可以邀请原来通过资格预审的公司，或在征得世行同意后只邀请那些在上次招标中提交了投标书的投标人提交新的投标书。

 

2.63 All bids shall not be rejected and new bids invited on the same bidding and contract documents solely for the purpose of obtaining lower prices. If the lowest evaluated responsive bid exceeds the Borrower’s pre-bid cost estimates by a substantial margin, the Borrower shall investigate causes for the excessive cost and consider requesting new bids as described in the previous paragraphs. Alternatively, the Borrower may negotiate with the lowest evaluated bidder to try to obtain a satisfactory contract through a reduction in the scope and/or a reallocation of risk and responsibility which can be reflected in a reduction of the contract price. However, substantial reduction in the scope or modification to the contract documents may require rebidding.

不允许单纯为了获得更低的价格而拒绝所有投标，而重新招标却又使用相同的招标文件和合同文件。如果具有响应性投标的最低评标价大大超过借款人的标前费用估算，借款人应调查费用过高的原因，并考虑按照前段所述重新招标。另一种方法是，借款人可与最低评标价的投标人进行谈判，以尝试通过缩小合同范围和/或重新分配风险和责任来获取满意的合同，而这些缩小和重新分配应能够降低合同价。但是，对合同范围的实质性缩小或对合同文件的实质性修改可能需要重新招标。

 

2.64 The Bank’s prior approval shall be obtained before rejecting all bids, soliciting new bids, or entering into negotiations with the lowest evaluated bidder.

在拒绝所有投标、重新招标或与最低评标价的投标人进行谈判之前，应征得世行的同意。

 

Debriefing事后情况说明

2.65 In the publication of Contract Award referred to in paragraph 2.60 the Borrower shall specify that any bidder who wishes to ascertain the grounds on which its bid was not selected, should request an explanation from the Borrower. The Borrower shall promptly provide an explanation of why such bid was not selected, either in writing and/or in a debriefing meeting, at the option of the Borrower. The requesting bidder shall bear all the costs of attending such a debriefing.

在根据第2.60段的规定公布合同授予的情况时，借款人应该说明：需要了解其投标没有中标原因的投标人，可以要求借款人进行解释。借款人应选择以书面的形式或召开情况说明会及时解释不中标的原因。提出要求的投标人应该承担事后情况说明的全部费用。

 

D. Modified ICB简化的国际竞争性招标

Operations Involving a Program of Imports涉及进口计划的项目

2.66 Where the loan provides financing for a program of imports, ICB with simplified advertising and currency provisions may be used for large-value contracts, as defined in the Loan Agreement.

在贷款资金是用于支付一项进口计划的情况下，应对贷款协定 中确定的大金额的合同的采购采用国际竞争性招标(ICB)，但有关刊登广告和货币的规定可予以简化。

 

2.67 The simplified provisions for notification of ICB procurement do not require a General Procurement Notice. Specific Procurement Notices shall be inserted in at least one newspaper of national circulation in the Borrower’s country (or in the official gazette, if any, or in an electronic portal with free access) in addition to UNDB online and dgMarket. The period allowed for submission of bids may be reduced to four weeks. Bidding and payment may be limited to one currency widely used in international trade.

经简化的国际竞争性招标不要求刊登总采购通告。具体采购通告除要在线刊登在联合国发展商业报和发展门户网上外，还应至少刊登在一份在借款国全国发行的报纸上(或官方公报上，如果有的话，或者刊登在可以免费进入的电子门户网站上)。允许提交投标的期限可以缩短到4周。招标和付款的货币可以仅限于一种国际贸易中广泛使用的货币。

 

Procurement of Commodities商品的采购

2.68 Market prices of commodities, such as grain, animal feed, cooking oil, fuel, fertilizer, and metals, fluctuate, depending upon the demand and supply at any particular time. Many are quoted in established commodity markets. Procurement often involves multiple awards for partial quantities to assure security of supply and multiple purchases over a period of time to take advantage of favorable market conditions and to keep inventories low. A list of prequalified bidders may be drawn up to whom periodic invitations are issued. Bidders may be invited to quote prices linked to the market price at the time of or prior to the shipments. Bid validities shall be as short as possible. A single currency in which the commodity is usually priced in the market, may be used for bidding and payment. The currency shall be specified in the bidding document. Bidding documents may permit telexed or faxed bids or bids submitted by electronic means, and in such cases either no bid security is required, or standing bid securities valid over a specified period of time have been submitted by prequalified bidders. Standard contract conditions and forms consistent with market practices shall be used.

一些商品的市场价格，如粮食、饲料、食用油、燃料、化肥以及金属等，随着当时的市场供求情况而波动。许多商品在所设立的商品市场上都有报价。采购经常涉及分批量多次授予合同以保证供货安全，还涉及在一定期限内多次购买以充分利用有利的市场条件并降低库存量。可以制定一份通过资格预审的投标人名单，定期向他们发出投标邀请。可邀请投标人报出与装运时或装运前的市场价格相关联的报价。投标有效期应尽可能短些。可使用通常在市场上给商品标价的某种单一货币进行招标和付款。该种货币应在招标文件中明确规定。招标文件可以允许采用电传、传真或电子文件的方式进行投标。这时，可以不要求提供投标保证金，或通过资格预审的投标人已提交的投标保证金在某一规定的期限内保持有效。应使用与市场惯例相一致的标准合同条款和格式。

 

III. Other Methods of Procurement其他采购方式

General总则

3.1   This Section describes the methods of procurement that can be used where ICB would not be the most economic and efficient method of procurement, and where other methods are deemed more appropriate.  The Bank’s policies with respect to margins of preference for domestically manufactured goods and works contracts do not apply to methods of procurement other than ICB. Paragraphs 3.2 to 3.7 describe the generally used methods in descending order of preference and the remaining paragraphs the methods used in specific circumstances.

本章说明在国际竞争性招标(ICB)不是最经济、最有效的采购方式而其他采购方式更加适宜时的采购方式 。世行关于给予国内制造的货物和国内承包商一定评标优惠幅度的政策不适用于国际竞争性招标(ICB)之外的其他采购方式。第3.2段－第3.7段按优先顺序说明了其他常用的采购方法，其余的段落说明特殊情况下的采购。

 

Limited International Bidding有限国际招标

3.2   Limited International Bidding (LIB) is essentially ICB by direct invitation without open advertisement. It may be an appropriate method of procurement where (a) there is only a limited number of suppliers, or (b) other exceptional reasons may justify departure from full ICB procedures. Under LIB, Borrowers shall seek bids from a list of potential suppliers broad enough to assure competitive prices, such list to include all suppliers when there are only a limited number. Domestic preferences are not applicable in the evaluation of bids under LIB. In all respects other than advertisement and preferences, ICB procedures shall apply, including the publication of the Award of Contract as indicated in paragraph 2.60.

有限国际招标(简称LIB)实质上是一种不公开刊登广告而直接邀请投标人投标的国际竞争性招标(ICB)。有限国际招标(LIB)作为一种合适的采购方式，适用于(a) 供货商数量有限， 或(b)有其他作为例外的理由，说明不完全按照国际竞争性招标(ICB)的程序进行采购是正当的。采用有限国际招标(LIB)时，借款人应从一份列有足够广泛的潜在供货商的名单中寻求投标，以保证价格具有竞争性。当供货商为数不多时，该名单应该包括所有供货商。国内优惠不适用于有限国际招标的评标。除了刊登广告和国内优惠两条之外，国际竞争性招标(ICB)的程序，包括第2.60段要求的公布合同授予情况的要求均适用于有限国际招标(LIB)。

 

National Competitive Bidding国内竞争性招标

3.3   National Competitive Bidding (NCB) is the competitive bidding procedure normally used for public procurement in the country of the Borrower, and may be the most appropriate way of procuring goods or works which, by their nature or scope, are unlikely to attract foreign competition. To be acceptable for use in Bank-financed procurement, these procedures shall be reviewed and modified  as necessary to assure economy, efficiency, transparency, and broad consistency with the provisions included in Section I of these Guidelines. NCB may be the most appropriate method of procurement where foreign bidders are not expected to be interested because (a) the contract values are small, (b) works are scattered geographically or spread over time, (c) works are labor intensive, or (d) the goods or works are available locally at prices below the international market. NCB procedures may also be used where the advantages of ICB are clearly outweighed by the administrative or financial burden involved.

国内竞争性招标(简称NCB))是借款国国内公共采购中通常采用的竞争性招标程序，而且可能是采购那些因其性质或范围不大可能吸引外国厂商和承包商参与竞争的货物和工程的最适当的方式。这种方式要想在世行贷款资助的采购中能够被接受，就必须对它的程序进行审查和进行必要的修改 ，以确保其经济性、有效性和透明度，并与本指南第一章的规定保持广泛的一致性。国内竞争性招标(NCB)可能是最适当的采购方式，当估计外国厂商会因为(a)合同的金额小，(b)工程的地点分散或工期过长，(c)工程为劳动密集型，或(d)当地可获取的货物或工程的价格低于国际市场价格，而对投标不会感兴趣时。当国际竞争性招标（ICB）所涉及的行政或财务负担明显超过所带来的好处时，也可以采用国内竞争性招标(NCB)。

 

3.4   Advertising may be limited to the national press or official gazette, or a free and open access website. Bidding documents may be only in a national language of the borrower’s country (or the language used nation-wide in the borrower’s country for commercial transactions), and the currency of the country of the Borrower is generally used for the purposes of bidding and payment. In addition, the bidding documents shall provide clear instructions on how bids should be submitted, how prices should be offered, and the place and time for submission of bids. Adequate response time for preparation and submission of bids shall be provided. The procedures shall provide for adequate competition in order to ensure reasonable prices, and methods used in the evaluation of bids and the award of contracts shall be objective and made known to all bidders in the bidding documents and not be applied arbitrarily. The procedures shall also include public opening of bids, publication of results of evaluation and of the award of contract and provisions for bidders to protest. If foreign firms wish to participate under these circumstances, they shall be allowed to do so.

国内竞争性招标(NCB)的广告仅限于刊登在全国发行的报纸或官方公报或可以免费进入的电子网站上。招标文件可只使用借款国语言(或借款国全国范围内商业交易使用的语言)，并且一般使用借款国货币作为招标和付款的货币。此外，招标文件应清楚地说明如何提交投标书、如何报价以及投标书送达的时间和地点。应给投标人提供充分的响应时间来准备并提交投标书。为了保证合理的价格，该程序应提供充分的竞争。评标和授予合同所采用的方法应客观并在招标文件中告知所有投标人，而不是任意乱用。国内竞争性招标(NCB)的程序也应该包括公开开标、公布评标结果和合同授予情况以及投标人的投诉程序。如果外国厂商愿意在这种情况下参加投标，应该允许他们参加。

 

Shopping询价采购

3.5   Shopping is a procurement method based on comparing price quotations obtained from several suppliers (in the case of goods) or from several contractors (in the case of civil works), with a minimum of three, to assure competitive prices, and is an appropriate method for procuring readily available off-the-shelf goods or standard specification commodities of small value, or simple civil works of small value. Requests for quotations shall indicate the description and quantity of the goods or specifications of works, as well as desired delivery (or completion) time and place. Quotations may be submitted by letter, facsimile or by electronic means. The evaluation of quotations shall follow the same principles as of open bidding. The terms of the accepted offer shall be incorporated in a purchase order or brief contract.

询价采购是对几个供货商(采购货物时)或几个承包商(采购工程时)提供的报价进行比较的一种采购方式。通常至少有三家报价，以确保价格具有竞争性。询价采购适合用于采购小金额的货架交货的现货或标准规格的商品或简单的小型工程。询价函上应对货物进行描述并注明数量，或工程的技术规范以及要求的交货(或完工)时间和地点。报价可以采用信函、传真或电子文件的形式提交。报价的评审原则与公开招标的评审原则相同。已接受的报价条件应包括在订单或简短的合同中。

 

Direct Contracting直接签订合同

3.6   Direct contracting is contracting without competition (single source) and may be an appropriate method under the following circumstances:

(a)   An existing contract for goods or works, awarded in accordance with procedures acceptable to the Bank, may be extended for additional goods or works of a similar nature. The Bank shall be satisfied in such cases that no advantage could be obtained by further competition and that the prices on the extended contract are reasonable. Provisions for such an extension, if considered likely in advance, shall be included in the original contract.

(b)   Standardization of equipment or spare parts, to be compatible with existing equipment, may justify additional purchases from the original Supplier. For such purchases to be justified, the original equipment shall be suitable, the number of new items shall generally be less than the existing number, the price shall be reasonable, and the advantages of another make or source of equipment shall have been considered and rejected on grounds acceptable to the Bank.

(c)   The required equipment is proprietary and obtainable only from one source.

(d)   The Contractor responsible for a process design requires the purchase of critical items from a particular Supplier as a condition of a performance guarantee.

(e)   In exceptional cases, such as in response to natural disasters.

直接采购是在没有竞争(单一来源)的情况下直接签订合同，可能是适用于下列情况的采购方式：

(a)对按照世行可接受的程序授予的现有货物或工程合同进行续签，以增购或增建类似性质的货物或工程。在这种情况下，应使世行满意地认为进一步的竞争不会得到任何好处，且续签合同的价格是合理的。如果事先考虑到有可能续签，原合同应包括有关续签合同的条款。

(b)为了与现有设备相配套，设备或零配件的标准化可作为向原供货商增加订货的正当理由。证明这种采购合理的条件是：原有设备必须是适用的，新增品目的数量一般应少于现有的数量，价格应该合理，并且已对从其他厂商或设备来源另行采购的好处进行了考虑并已予以否定，否定的理由是世行可以接受的。

(c)所需设备具有专利性质，并且只能从单一来源获得。

(d)负责工艺设计的承包商要求从特定供应商处采购关键部件，并以此作为性能保证的条件。

(e)特殊情况下，如应付自然灾害。

 

3.7   After the contract signature, the Borrower shall publish in UNDB online and in dgMarket the name of the contractor, price, duration, and summary scope of the contract. This publication may be done quarterly and in the format of a summarized table covering the previous period.

在合同签字后，借款人应在联合国发展商业报和发展门户网上在线公布合同商名称、价格、期限和合同范围。可以每季度公布一次，采用包括上一次情况的汇总表形式。

 

Force Account自营工程

3.8   Force account, that is, construction by the use of the Borrower’s own personnel and equipment,  may be the only practical method for constructing some kinds of works. The use of force account may be justified where:

(a)   quantities of work involved cannot be defined in advance;

(b)   works are small and scattered or in remote locations for which qualified construction firms are unlikely to bid at reasonable prices;

(c)   work is required to be carried out without disrupting ongoing operations;

(d)   risks of unavoidable work interruption are better borne by the Borrower than by a Contractor; and

(e)   there are emergencies needing prompt attention.

自营工程，即借款人使用自己的人员和设备 进行施工，这可能是承建某些种类工程的唯一实际可行的方法。在下列情况下，采用自营工程是正当的：

(a)无法事先确定所涉及的工程量；

(b)工程小而分散，或位于边远地区，有资格的工程公司不大可能以合理的价格投标；

(c)要求在不给日常运营造成混乱的情况下进行施工；

(d)不可避免的工作中断风险由借款人承担要比由承包商承担更合适；

(e)需要迅速采取行动的紧急情况。

 

Procurement from United Nations Agencies从联合国机构采购

3.9   There may be situations in which procurement directly from specialized agencies of the United Nations (UN), acting as suppliers, pursuant to their own procedures, may be the most appropriate way of procuring: (a) small quantities of off-the-shelf goods, primarily in the fields of education and health; and (b) specialized products where the number of suppliers is limited such as for vaccines or drugs.

在有些情况下，从作为供货商的联合国专门机构按其自己的程序进行采购，可能是最适当的采购方式。这种方式适用于：(1)小批量的货架交货的货物，主要是用于教育及卫生等领域的货物；(2)供货商有限的特殊产品，如疫苗或药品。

 

Procurement Agents采购代理

3.10 Where Borrowers lack the necessary organization, resources, and experience, Borrowers may wish (or be required by the Bank) to employ, as their agent, a firm specializing in handling procurement. The agent shall follow all the procurement procedures provided for in the Loan Agreement and as further elaborated in the Procurement Plan approved by the Bank on behalf of the Borrower, including use of Bank SBDs, review procedures, and documentation. This also applies in cases where UN agencies act as procurement agents.  Management Contractors may be employed in a similar manner for a fee to contract for miscellaneous works involving reconstruction, repairs, rehabilitation, and new construction in emergency situations, or where large numbers of small contracts are involved.

当借款人缺乏必要的机构、资源和经验时，借款人可能希望(或世行要求借款人)聘请一家专门从事采购的公司作为其代理。采购代理必须代表借款人遵循贷款协定及经世行批准的采购计划中进一步详细规定的所有采购程序，包括使用世行的标准招标文件(SBD)、遵循审查程序和文件要求。这一条也适用于联合国机构作为采购代理的情况 。可以采取类似的方法聘请管理承包商，通过向其付费让其承包涉及在紧急情况下重建、修复、恢复和新建的零散工程，或涉及大量小合同的工程。

 

Inspection Agents检验代理

3.11 Preshipment inspection and certification of imports is one of the safeguards for the Borrower, particularly where the country has a large import program. The inspection and certification usually covers quality, quantity, and reasonableness of price. Imports procured through ICB procedures shall not be subject to price verification, but only verification for quality and quantity. However, imports not procured through ICB may additionally be subjected to price verification. The inspection agents are ordinarily paid for on a fee basis levied on the value of the goods. Costs for certification of imports shall not be considered in the evaluation of bids under ICB.

装运前的检验和进口的验收是保护借款人的措施之一，特别是对那些有大量进口计划的国家而言更是如此。检验和验收通常包括质量、数量和价格的合理性。国际竞争性招标(ICB)程序采购的进口货物不应进行价格核定，而只核定质量和数量。但是，对不是通过国际竞争性招标(ICB)采购的进口货物可以另外进行价格核定。对检验代理通常根据货物的价值付费。国际竞争性招标(ICB)的评标中不得考虑进口货物的验收费用。

 

Procurement in Loans to Financial Intermediaries中间金融机构贷款的采购

3.12 Where the loan provides funds to an intermediary institution such as an agricultural credit institution or a development finance company, to be re-lent to beneficiaries such as individuals, private sector enterprises, small and medium enterprises, or autonomous commercial enterprises in the public sector for the partial financing of subprojects, the procurement is usually undertaken by the respective beneficiaries in accordance with established private sector or commercial practices, which are acceptable to the Bank. However, even in these situations, ICB may be the most appropriate procurement method for the purchase of large single items or in cases where large quantities of like goods can be grouped together for bulk purchasing.

在贷款是发放给一家中间金融机构的情况下，如农业信贷机构或开发金融公司，由该机构再转贷给受益人，如个人、私营部门的企业、中小型企业或公共部门的自主经营的的商业性企业，作为对子项目的部分融资，采购通常由相应的受益人按照世行可接受的那些当地私营部门通用的或商业惯例进行。不过，即使在这种情况下，对于那些单个品目数量很大的采购或大量的相近货物可打捆进行大批量采购的情况，国际竞争性招标(ICB)可能是最适当的采购方式。

 

Procurement under BOO/BOT/BOOT, Concessions and Similar Private Sector Arrangements

BOO/BOT/BOOT、特许经营和类似的私营部门参与融资的采购

 

3.13 Where the Bank is participating in financing the cost of a project procured under a BOO/BOT/ BOOT,  concessions or similar type of private sector arrangement, either of the following procurement procedures shall be used, as provided for in the Loan Agreement and further elaborated in the Procurement Plan approved by the Bank:

在世行参与对一个项目进行资助，而该项目是BOO/BOT/BOOT 、特许经营或类似的私营部门参与融资的情况下，应采用以下任何一种采购程序，该程序在贷款协定和经世行批准的采购计划中有更详细的规定。

 

(a)   The concessionaire or entrepreneur under the BOO/BOT/ BOOT or similar type of contract  shall be selected under ICB procedures acceptable to the Bank, which may include several stages in order to arrive at the optimal combination of evaluation criteria, such as the cost and magnitude of the financing offered, the performance specifications of the facilities offered, the cost charged to the user or purchaser, other income generated for the Borrower or purchaser by the facility, and the period of the facility’s depreciation. The said entrepreneur selected in this manner shall then be free to procure the goods, works, and services required for the facility from eligible sources, using its own procedures. In this case, the Project Appraisal Document , and the Loan Agreement shall specify the type of expenditures incurred by the said entrepreneur towards which Bank financing will apply.

在BOO/BOT/BOOT或相似类型合同 项下的特许权获得者或企业家，应按照世行可接受的国际竞争性招标(ICB)程序选择。选择工作可能包括几个阶段，以便实现评价标准的最佳组合，包括：所提出的成本和融资量、所提出的设施的性能规格、向使用者或购买者收取的费用、该设施能给借款人或购买者带来的其他收入以及该设施的折旧期限。按照这种方式选定的企业家接下来可采用自己的程序从合格来源自由地采购建设这些设施所需的货物、工程和服务。在此情况下，项目评估文件和贷款协定应规定可由世行贷款支付给该企业家的所发生费用的种类。

 

       Or, 或者，

(b)   If the said concessionaire or entrepreneur has not been selected in the manner set forth in subparagraph (a) above, the goods, works, or services required for the facility and to be financed by the Bank shall be procured in accordance with ICB procedures defined in Section II.

如果特许权获得者或企业家不是按照上述(a)段规定的方式选择的，设施所需的并将由世行贷款资助的货物、工程或服务应该按照第二章定义的国际竞争性招标(ICB)程序进行采购。

 

Performance-Based Procurement基于性能的采购

3.14 Performance Based Procurement,  also called Output-Based Procurement, refers to competitive procurement processes (ICB or NCB) resulting in a contractual relationship where payments are made for measured outputs instead of the traditional way where inputs are measured. The technical specifications define the desired result and which outputs will be measured including how they will be measured. Those outputs aim at satisfying a functional need both in terms of quality, quantity and reliability. Payment is made in accordance with the quantity of outputs delivered, subject to their delivery at the level of quality required. Reductions from payments (or retentions) may be made for lower-quality level of outputs and, in certain cases, premiums may be paid for higher quality level of outputs. The bidding documents do not normally prescribe the inputs, nor a work method for the contractor. The contractor is free to propose the most appropriate solution, based on mature and well proven experience and shall demonstrate that the level of quality specified in the bidding documents will be achieved.

基于性能的采购 ，又称基于产出的采购，系指竞争性采购程序(如国际竞争性招标(ICB)或国内竞争性招标(NCB))所产生的一种合同关系，付款是以可计量的产出为依据的，而不是传统的以投入为计量的依据。技术规格定义了所要求的结果和对产出的计量及其计量方法。产出的目的是在质量、数量和可靠性方面达到满意的功能。如果产出满足了要求的质量水平，那么，支付则依据完成的数量。如果产出的质量低，则需扣减支付额(或保留金)，在某些情况下，对高质量的产出可以给予奖励。招标文件一般不说明承包商的投入，也不限制承包商的工作方法。根据工程的性质和实践证明的成功经验，承包商可以自由选择最适当的方案，并证明可以满足招标文件规定的质量标准。

 

3.15 Performance Based Procurement (or Output Based Procurement) can involve: (a) the provision of services to be paid on the basis of outputs; (b) design, supply, construction (or rehabilitation) and commissioning of a facility to be operated by the borrower; or (c) design, supply, construction (or rehabilitation) of a facility and provision of services for its operation and maintenance for a defined period of years after its commissioning .   For the cases where design, supply and/or construction are required, prequalification is normally required and the use of Two-Stage Bidding as indicated in paragraph 2.6 shall apply.

基于性能的采购(或基于产出的采购)可以用于：(a)以产出为基础进行支付的服务；(b)由借款人负责运营的设施的设计、供应、施工(或恢复)和调试；或者(c) 设施的设计、供应、施工(或恢复)和调试以及为其在调试后的一段时间内的经营和维护提供服务  。如需要设计、供应和/或施工，一般要进行资格预审，并按第2.6段的规定采用两步法进行招标。

 

Procurement under Loans Guaranteed by the Bank由世行提供担保的贷款项下的采购

3.16 If the Bank guarantees the repayment of a loan made by another lender, the goods and works financed by the said loan shall be procured with due attention to economy and efficiency and in accordance with procedures which meet the requirements of paragraph 1.5.

如果世行对另一贷款人贷款的偿还提供担保，那么，由该贷款资助的货物和工程应按照经济性和有效性的原则并按照第1.5段要求的程序进行采购。

 

Community Participation in Procurement社区参与采购

3.17 Where, in the interest of project sustainability, or to achieve certain specific social objectives of the project, it is desirable in selected project components to (a) call for the participation of local communities and/or nongovernmental organizations (NGOs) in the delivery of services, or (b) increase the utilization of local know-how and materials, or (c) employ labor-intensive and other appropriate technologies, the procurement procedures, specifications, and contract packaging shall be suitably adapted to reflect these considerations, provided these are efficient and are acceptable to the Bank. The procedures proposed and the project components to be carried out by community participation shall be outlined in Loan Agreement and further elaborated in the Procurement Plan or the relevant project implementation document approved by the Bank.

出于对项目可持续性的关注，或为实现项目特定的社会目的，在选定的项目内容中有必要(a)请当地社区和/或非政府组织参与提供服务，或(b)增加当地的专有技术和材料的使用，或(c)使用密集型劳动和其他合适的技术。在此情况下，采购程序、技术规格和合同包的使用应适当地反映这些考虑，但前提是这些是有效率的并被世行所接受。建议使用的程序和由社区参与实施的项目部分应在贷款协定中明确规定，并在经世行批准的采购计划或世行批准的有关项目实施文件中进一步详细规定。

 

Appendix 1: Review by the Bank of Procurement Decisions附录一：世行对采购决定的审查

Scheduling of Procurement采购计划安排

1.    The Bank shall review the procurement arrangements proposed by the Borrower in the Procurement Plan for its conformity with the Loan Agreement and these Guidelines. The Procurement Plan shall cover an initial period of at least 18 months. The Borrower shall update the Procurement Plan on an annual basis or as needed always covering the next 18 months period of project implementation. Any revisions proposed to the Procurement Plan shall be furnished to the Bank for its prior approval.

世行应对借款人在采购计划中提议的采购安排进行审查，以确保其符合贷款协定和本指南的规定。采购计划应该至少涵盖项目开始之初的18个月。借款人应每年或根据需要更新采购计划，并总是涵盖项目实施中随后18个月的活动。对采购计划的任何修改都必须提交给世行，以获得世行的事前批准。

 

Prior Review事前审查

2.    With respect to all contracts  which are subject to the Bank’s prior review:

对于须经世行事前审查的所有合同 ：

 

(a)   In cases where prequalification is used, the Borrower shall, before prequalification submissions are invited, furnish the Bank with the draft documents to be used, including the text of the invitation to prequalify, the prequalification questionnaire, and the evaluation methodology, together with a description of the advertising procedures to be followed, and shall introduce such modifications in said procedure and documents, as the Bank shall reasonably request. The report evaluating the applications received by the Borrower, the list of proposed prequalified bidders, together with a statement of their qualifications and of the reasons for the exclusion of any applicant for prequalification, shall be furnished by the Borrower to the Bank for its comments before the applicants are notified of the Borrower’s decision, and the Borrower shall make such additions to, deletions from, or modifications in the said list as the Bank shall reasonably request.

需进行资格预审的，借款人应在发出资格预审邀请之前，将拟使用的文件草本，包括资格预审邀请的内容、资格预审问题清单以及评审的方法，连同拟采用的刊登广告的程序说明一起报送世行。在世行提出合理要求时，借款人应按要求对上述程序和文件做出修改。借款人在将资格预审的结果通知申请者之前，应把对收到的申请书的评审报告和建议的通过资格预审的投标人名单，连同一份他们的资格声明和预审中拒绝申请者的理由一起报送世行，征求意见，并在世行提出合理要求时，对该名单进行增删或修改。

 

(b)   Before bids are invited, the Borrower shall furnish to the Bank for its comments, draft bidding documents, including the invitation to bid; instructions to bidders, including the basis of bid evaluation and contract award; and the conditions of contract and specifications for the civil works, supply of goods, or installation of equipment, etc., as the case may be, together with a description of the advertising procedures to be followed for the bidding (if prequalification has not been used), and shall make such modifications in the said documents as the Bank shall reasonably request. Any further modification shall require the Bank’s approval before it is issued to the prospective bidders.

在投标邀请前，借款人应将招标文件草稿，包括投标邀请、投标人须知(包括评标的基础和授标的标准)以及工程、供货或设备安装等等(视具体情况而定)的合同条款和技术规格，连同招标拟采用的刊登广告的程序(如未进行资格预审的话)，一并报送世行征求意见。在世行提出合理要求时，借款人应对该文件作相应的修改。对招标文件做出的任何进一步的修改，在向潜在的投标人发出之前，均应征得世行批准。

 

(c)   After bids have been received and evaluated, the Borrower shall, before a final decision on the award is made, furnish to the Bank, in sufficient time for its review, a detailed report (prepared, if the Bank shall so request, by experts acceptable to the Bank), on the evaluation and comparison of the bids received, together with the recommendations for award and such other information as the Bank shall reasonably request. The Bank shall, if it determines that the intended award would be inconsistent with the Loan Agreement and/or the Procurement Plan, promptly inform the Borrower and state the reasons for such determination. Otherwise, the Bank shall provide its no objection to the recommendation for contract award. The Borrower shall award the contract only after receiving the “no objection” from the Bank.

借款人应在收到投标书和完成评标之后，在做出授予合同的最后决定之前，将关于对所收到的投标书进行评审和比较的详细评标报告(如果世行要求的话，由世行所接受的专家来编制)，与授标建议和世行合理要求的其他材料一起报送世行，报送时应考虑给世行留出足够的时间进行审议。如果认定授标意向不符合贷款协定和/或采购计划的规定，那么，世行应立即通知借款人，并说明做出该认定的理由。否则，世行应对授予合同的建议发出不反对意见。借款人只能在获得世行“不反对”意见后才能授予合同。

 

(d)   If the Borrower requires an extension of bid validity to complete the process of evaluation, obtain necessary approvals and clearances, and to make the award, it should seek the Bank’s prior approval for the first request for extension, if it is longer than four weeks, and for all subsequent requests for extension, irrespective of the period.

借款人如果要求延长投标有效期以便完成评标、获得必要的批准和澄清以及授予合同，那么，当第一次延期超过4周时，应获得世行的事前批准，并且对于以后的所有延期要求，不管期限多长，都应事前征得世行的同意。

 

(e)   If after publication of the results of evaluation, the Borrower receives protests or complaints from bidders, a copy of the complaint and a copy of the Borrower’s response shall be sent to the Bank for information.

在公布了评标结果之后，借款人如果收到了投标人的抗议或投诉，则必须向世行提交一份投诉的复印件和借款人答复的复印件。

 

(f)   If as result of analysis of a protest the borrower changes its contract award recommendation, the reasons for such decision and a revised evaluation report shall be submitted to the Bank for no objection. The Borrower shall provide a republication of the contract award in the format of paragraph 2.60 of these Guidelines.

在分析了投标人的抗议后，借款人如果改变了授予合同的建议，则必须向世行提交修改的原因和修改过的评标报告，以征得世行的不反对意见。借款人必须按照本指南第2.60段的要求和内容重新公布授予的合同。

 

(g)   The terms and conditions of a contract shall not, without the Bank’s prior approval, materially differ from those on which bids were asked or prequalification of Contractors, if any, was invited.

未经世行事前批准，合同条款和条件不得与招标时或资格预审时(如果有的话)的合同条款和条件有实质性的出入。

 

(h)   One conformed copy of the contract shall be furnished to the Bank promptly after its execution and prior to delivery to the Bank of the first application for withdrawal of funds from the Loan Account in respect of such contract. Where payments for the contract are to be made out of a Special Account (SA), a copy of the contract shall be furnished to the Bank prior to the making of the first payment out of the SA in respect of such contract.

在合同生效后，并在第一次为该合同向世行申请从贷款帐户中提款之前，一份与正本完全一致的合同副本应报送世行。在从专用帐户中对合同进行付款的情况下，应在从专用帐户中为该合同支付第一笔款项之前，将一份合同副本报送世行。

 

(i)    All evaluation reports shall be accompanied by a summary of the procurement on a form provided by the Bank. The description and amount of the contract, together with the name and address of the successful bidder, shall be subject to release by the Bank upon receipt of the signed copy of the contract.

所有评标报告都应按世行提供的格式附上一份采购摘要。一旦收到经签字的合同副本，世行即可对外发布该合同的描述和金额以及中标人的名称和地址。

 

3.    Modifications. In the case of contracts subject to prior review, before granting a material extension of the stipulated time for performance of a contract, agreeing to any modification or waiver of the conditions of such contract, including issuing any change order or orders under such contract (except in cases of extreme urgency) which would in aggregate increase the original amount of the contract by more than 15 percent of the original price, the Borrower shall seek the Bank’s no objection to the proposed extension, modification, or change order. If the Bank determines that the proposal would be inconsistent with the provisions of the Loan Agreement and/or Procurement Plan, it shall promptly inform the Borrower and state the reasons for its determination. A copy of all amendments to the contract shall be furnished to the Bank for its record.

修改。对于需要事前审查的合同，在对规定的合同履行期给予实质性的延长之前、在同意对该合同的条款做出修改或放弃之前，包括在该合同下发布的任何使原合同金额的累计增加超过原合同价百分之十五(15％)的任何一项变更或多项变更(特别紧急的情况除外)，借款人应取得世行对所建议的延期、修改或变更的不反对意见。世行如果认定该建议与贷款协定和/或采购计划的规定不符的话，则应立即通知借款人并说明其作出认定的理由。所有合同修改书的副本都应报送世行备案。

 

4.    Translations. If a contract awarded under ICB procedures is subject to prior-review and is written in the national language,  (or the language used nation-wide in the borrower’s country for commercial transactions) a certified translation of the contract in the internationally used language specified in the bidding documents (English, French, or Spanish) shall be furnished to the Bank together with the conformed copy of the contract. Such certified translations shall also be furnished to the Bank, for any subsequent modifications of such contracts.

翻译。如果通过国际竞争性招标(ICB)程序授予的合同是需要世行事前审查而且是以借款人本国语言(或借款国全国范围内商业交易使用的语言)签订的 ，应将一份经核证的用招标文件中规定的国际语言(英语、法语或西班牙语)翻译后的翻译本，连同与正本完全一致的合同副本报给世行。如果后来对该合同进行了任何修改，也应将修改后的、经核证的翻译本报送世行。

 

Post Review事后审查

5.    The Borrower shall retain all documentation with respect to each contract not governed by paragraph two during Project implementation and up to two years after the closing date of the Loan Agreement. This documentation would include, but not be limited to, the signed original of the contract, the analysis of the respective proposals, and recommendations for award, for examination by the Bank or by its consultants. The Borrower shall also furnish such documentation to the Bank upon request. If the Bank determines that the goods, works or services were not procured in accordance with the agreed procedures, as reflected in the Loan Agreement and further detailed in the Procurement Plan approved by the Bank or that the contract itself is not consistent with such procedures, it may declare misprocurement as established in paragraph 1.12 of the Guidelines. The Bank shall promptly inform the Borrower the reasons for such determination.

至于不受上述第2段约束的合同，借款人应在项目实施期间和贷款帐户关闭后的2年之内保存与每一份合同有关的全部采购文件。这些文件包括，但不限于：签字的合同原件、对相关建议书的分析以及授标建议，以备世行及其所聘请的咨询顾问的审查。在世行要求时，借款人还应该向世行提交这些文件。如果世行认定所采购的货物、工程或服务与贷款协定或世行批准的采购计划所规定的经双方同意的程序不符，或合同本身不符合这些程序，世行可以按照本指南第1.12段的规定宣布为错误采购。世行将立即通知借款人并说明作出该认定的理由。

 

Appendix 2: Domestic Preferences附录二：国内优惠

Preference for Domestically Manufactured Goods对于国内制造货物的优惠

1.    The Borrower may, with the agreement of the Bank, grant a margin of preference in the evaluation of bids under ICB procedures to bids offering certain goods manufactured in the country of the Borrower, when compared to bids offering such goods manufactured elsewhere. In such cases, bidding documents shall clearly indicate any preference to be granted to domestic manufactured goods and the information required to establish the eligibility of a bid for such preference. The nationality of the manufacturer or Supplier is not a condition for such eligibility. The methods and stages set forth hereunder shall be followed in the evaluation and comparison of bids.

经世行同意，在国际竞争性招标(ICB)的评标过程中，当提供借款国国内制造货物的投标与提供他国制造货物的投标进行比较时，借款人可向其提供一定幅度的优惠。在此情况下，招标文件应明确说明将对国内制造的货物所给予的优惠以及享受该优惠所需的投标合格性信息。制造商或供货商的国籍不是该合格性的条件。在对投标进行评审和比较时应遵从以下规定的方法和步骤。

 

2.    For comparison, responsive bids shall be classified in one of the following three groups:

(a)   Group A: bids exclusively offering goods manufactured in the country of the Borrower if the bidder establishes to the satisfaction of the Borrower and the Bank that (i) labor, raw material, and components from within the country of the Borrower will account for 30 percent or more of the EXW price of the product offered, and (ii) the production facility in which those goods will be manufactured or assembled has been engaged in manufacturing/assembling such goods at least since the time of bid submission.

(b)   Group B: all other bids offering goods manufactured in the country of the Borrower.

(c)   Group C: bids offering goods manufactured abroad that have been already imported or that will be directly imported.

为便于比较，应将具有响应性的投标分类归入下列三组标中的任何一组：

(a)A组：投标提供的完全是借款国国内制造的货物，而且投标人已向借款人和世行满意地证明(i)来自借款国国内的劳务、原材料和部件将占该产品出厂价的30％以上，以及(ii)将要制造或组装该货物的生产设施至少从提交投标书之日起已开始制造或组装该类货物。

(b)B组：提供借款国国内制造货物的所有其他投标。

(c)C组：提供国外制造的并且已经进口或将要直接进口的货物的投标。

 

3.    The price quoted for goods in bids of Groups A and B shall include all duties and taxes paid or payable on the basic materials or components purchased in the domestic market or imported, but shall exclude the sales and similar taxes on the finished product. The price quoted for goods in bids of Group C shall be on CIP (place of destination), which is exclusive of customs duties and other import taxes already paid or to be paid.

A组和B组的投标价中应包括在国内市场上购买的或进口的基本材料或部件已缴纳或将要缴纳的所有关税和其他税收，但不包括对制成品征收的销售税和类似的税。C组的投标价应是运费及保险费付至(目的地)价(CIP)，不包括已付或将要付的关税和其他进口税。

 

4.    In the first step, all evaluated bids in each group shall be compared to determine the lowest bid in each group. Such lowest evaluated bids shall be compared with each other and if, as a result of this comparison, a bid from Group A or Group B is the lowest, it shall be selected for the award.

第一步，应在本组内对组内所有经评审的投标进行比较，以确定本组内最低评标价的投标。每组内的最低评标价再进行相互比较，如果比较的结果是A组或B组中投标的评标价最低，则应选择该最低评标价的投标授予合同。

 

5.    If as a result of the comparison under paragraph four above, the lowest evaluated bid is a bid from Group C, the lowest evaluated bid from Group C shall be further compared with the lowest evaluated bid from Group A after adding to the evaluated price of goods offered in the bid from Group C, for the purpose of this further comparison only, an amount equal to 15 percent of the CIP bid price. The lowest evaluated bid determined from this last comparison shall be selected.

按照上述第4段比较的结果，如果最低评标价的投标出自C组，则C组中的这个投标价应加上15％的该种货物的运费及保险费付至(目的地)价(CIP)，这样做只是为了进一步的比较。然后再与A组中的最低评标价投标进行比较。这次比较得出的最低评标价的投标即应授予合同。

 

6.    In the case of single responsibility or turnkey contracts for the supply of a number of discrete items of equipment as well as major installation and/or construction services no margin of preference shall apply.  However, with Bank’s “no objection”, bids for such contracts may be invited and evaluated on the basis of DDP  (named place of destination) prices for goods manufactured abroad.

对于提供大量分散品目的设备以及含有主要安装和/或施工服务的单一责任制或交钥匙合同，国内优惠不适用 。但是，在世行“不反对”的前提下，这种合同的投标可以邀请对国外制造的货物报完税后交货(指定目的地)价(DDP) 并以此为基础进行评标。

 

Preference for Domestic Contractors对国内承包商的优惠

7.    For contracts for works to be awarded on the basis of ICB, eligible Borrowers may, with the agreement of the Bank, grant a margin of preference of 7.5 percent to domestic contractors,  in accordance with, and subject to, the following provisions:

对于通过国际竞争性招标(ICB)授予的工程合同，合格的借款人可在世行同意的条件下，向国内承包商 提供7.5％的优惠，但应根据并取决于下列条件：

 

(a)   Contractors applying for such preference shall be asked to provide, as part of the data for qualification,  such information, including details of ownership, as shall be required to determine whether, according to the classification established by the Borrower and accepted by the Bank, a particular contractor or group of contractors qualifies for a domestic preference. The bidding documents shall clearly indicate the preference and the method that will be followed in the evaluation and comparison of bids to give effect to such preference.

应该要求申请享受国内优惠的承包商提供包括所有权在内的有关详细资料，作为其资格文件的一部分 。根据借款人制定并为世行所接受的分类方法，这些资料将用来确定一个特定的承包商或一组承包商是否有资格享受国内优惠。招标文件应明确规定国内优惠，以及在对投标进行评审和比较时给予国内优惠的方法。

 

(b)   After bids have been received and reviewed by the Borrower, responsive bids shall be classified into the following groups:

       (i)    Group A: bids offered by domestic contractors eligible for the preference.

       (ii)   Group B: bids offered by other contractors.

For the purpose of evaluation and comparison of bids, an amount equal to 7.5 percent of the bid amount shall be added to bids received from Contractors in Group B.

 (b)借款人在收到投标书和完成评标之后，应将具有响应性的投标按下列类别分组：

(i)A组：有资格享受国内优惠的国内承包商提交的投标。

(ii)B组：其他承包商提交的投标。

为便于对投标进行评审和比较，对B组的投标应加上相当于其投标金额7.5％的金额。

 

Appendix 3: Guidance to Bidders附录三：投标人指南

Purpose目的

This Appendix provides guidance to potential bidders wishing to participate in Bank-financed procurement.

本附录向愿意参加世行贷款资助的采购的潜在投标人提供指导。

 

Responsibility for Procurement采购的责任

 

2.    The responsibility for the implementation of the project, and therefore for the payment of goods, works, and services under the project, rests solely with the Borrower. The Bank, for its part, is required by its Articles of Agreement to ensure that funds are paid from a Bank loan only as expenditures are incurred. Disbursements of the proceeds of a loan are made only at the Borrower's request. Supporting evidence that the funds are used in accordance with the Loan Agreement and/or the Procurement Plan shall be submitted with the Borrower's withdrawal application. Payment may be made (a) to reimburse the Borrower for payment(s) already made from its own resources, (b) directly to a third party (usually to a supplier or contractor), or (c) to a commercial bank for expenditures against a World Bank Special Commitment covering a commercial bank's letter of credit.  As emphasized in paragraph 1.2 of the Guidelines, the Borrower is legally responsible for the procurement. It invites, receives, and evaluates bids, and awards the contract. The contract is between the Borrower and the supplier or contractor. The Bank is not a party to the contract.

项目实施和对项目项下采购的货物、工程和咨询服务进行支付的责任完全在借款人。世行本身按照其协定的要求需保证资金只用于支付已经发生的费用。贷款资金只能根据借款人的要求进行支付。借款人在提交支付申请时应该提供支持材料，说明资金的使用符合贷款协定和/或采购计划的要求。世行的支付用于(a)回补借款人已经用自己的资源垫支的部分，(b)直接支付给第三方(通常是供货商或承包商)，或(c)支付给商业银行用于世行特别承诺下通过信用证付款的支出 。正如本指南第1.2段所强调的，借款人在法律上对采购负责。它负责邀请、接收和评审投标并授予合同。合同是借款人和供货商或承包商之间签订的。世行不是合同的一方。

 

Bank’s Role世行的作用

3.    As stated in paragraph 1.11 of the Guidelines, the Bank reviews the procurement procedures, documents, bid evaluations, award recommendations, and the contract to ensure that the process is carried out in accordance with agreed procedures, as required in the Loan Agreement. In the case of major contracts, the documents are reviewed by the Bank prior to their issue, as described in Appendix 1. Also, if, at any time in the procurement process (even after the award of contract), the Bank concludes that the agreed procedures were not followed in any material respect, the Bank may declare misprocurement, as described in paragraph 1.12. However, if a Borrower has awarded a contract after obtaining the Bank’s “no objection,” the Bank will declare misprocurement only if the “no objection” was issued on the basis of incomplete, inaccurate, or misleading information furnished by the Borrower. Furthermore, if the Bank determines that corrupt or fraudulent practices were engaged in by representatives of the Borrower or of the bidder, the Bank may impose the applicable sanctions set forth in paragraph 1.14 of the Guidelines.

.正如本指南第1.11段所述，世行负责审查采购程序、文件、评标、授标建议和合同，以确保采购是按照贷款协定中所规定的双方同意的程序进行的。如果是大型合同，根据本指南附录一的规定，文件在发出之前要经过世行审查。而且，在采购过程中的任何时刻(甚至在授予合同之后)，如果世行认定双方同意的程序在实质性方面没有得以遵守，按本指南第1.12段的规定，世行可以宣布其为错误采购。然而，既使借款人在收到世行“不反对”意见后已经授予了合同，如果“不反对”意见是在借款人提供的不完整、不准确或误导性信息情况下做出的，世行仍可能会宣布其为错误采购。而且，如果世行认定借款人或投标人的代表从事腐败或欺诈活动，世行将根据本指南第1.14段规定的行使相应的制裁措施。

 

4.    The Bank has published Standard Bidding Documents (SBDs) for various types of procurement. As stated in paragraph 2.12 of the Guidelines, it is mandatory for the Borrower to use these documents, with minimum changes to address country- and project-specific issues. The prequalification and bidding documents are finalized and issued by the Borrower.

世行已为各种类型的采购出版了标准招标文件(SBD)。正如本指南第2.12段所述，借款人必须强制性使用这些招标文件，且只可根据本国和具体项目的情况做最小的改动。资格预审文件和招标文件由借款人负责定稿和对外发布。

 

Information on Bidding招标信息

5.    Information on bidding opportunities under ICB may be obtained from the General Procurement Notice and the Specific Procurement Notices as described in paragraphs 2.7 and 2.8 of the Guidelines. General guidance on participation, as well as advance information on business opportunities in upcoming projects, may be obtained from the World Bank website  as well as from the Infoshop.  Project Appraisal Documents (PAD) are also available from the Infoshop and on the Bank’s website upon approval of the loan.

国际竞争性招标(ICB)中招标机会的信息，正如本指南第2.7段和第2.8段所说明的，可以从总采购通告和具体采购通告中获得。关于参与竞争的一般指南和未来项目中商业机会的预先信息可以通过世行的网站 以及从公共信息中心获得 。项目评估文件(PAD)在贷款批准后也可以从公共信息中心和世行的网站中得到。

 

Bidder’s Role投标人的作用

6.    Once a bidder receives the prequalification or bidding document, the bidder should study the documents carefully to decide if it can meet the technical, commercial, and contractual conditions, and if so, proceed to prepare its bid. The bidder should then critically review the documents to see if there is any ambiguity, omission, or internal contradiction, or any feature of specifications or other conditions which are unclear or appear discriminatory or restrictive; if so, it should seek clarification from the Borrower, in writing, within the time period specified in the bidding documents for seeking clarifications.

投标人一旦收到资格预审文件或招标文件，应认真地进行研究，以确定自己是否能满足技术、商务和合同条件。如果能够满足，就可以着手准备投标书。然后，投标人应着重审查这些文件中是否有含糊不清、遗漏或自相矛盾的地方、或者有不明确或带有歧视性或限制性的技术规格或其他条件，如果有的话，投标人应要求借款人以书面的形式在招标文件中规定的时间内予以澄清。

 

7.    The criteria and methodology for selection of the successful bidder are outlined in the bidding documents, generally under Instructions to Bidders and Specifications. If these are not clear, clarification should be similarly sought from the Borrower.

.选择中标人的标准和方法在招标文件中有明确规定，一般写在投标人须知和技术规格中。如果这些规定不清楚的话，投标人应同样要求借款人予以澄清。

 

8.    In this connection it should be emphasized that the specific bidding documents issued by the Borrower govern each procurement, as stated in paragraph 1.1 of the Guidelines. If a bidder feels that any of the provisions in the documents are inconsistent with the Guidelines, it should also raise this with the Borrower.

关于这一点，应该着重强调的是借款人发布的具体招标文件只是针对某一项具体采购，这在本指南第1.1段中已有规定。如果投标人觉得文件中的一些规定与本指南不相符合，他也应向借款人提出来。

 

9.    It is the responsibility of the bidder to raise any issue of ambiguity, contradiction, omission, etc., prior to the submission of its bid, to assure submission of a fully responsive and compliant bid, including all the supporting documents requested in the bidding documents. Noncompliance with critical (technical and commercial) requirements will result in rejection of the bid. If a bidder wishes to propose deviations to a noncritical requirement, or propose an alternative solution, the bidder should quote the price for the fully compliant bid and then separately indicate the adjustment in price that can be offered if the deviation is accepted. Alternative solutions should be offered only when authorized in the bidding documents. Once bids are received and publicly opened, bidders will not be required or permitted to change the price or substance of a bid.

投标人的责任是在提交投标书之前，指出招标文件中含糊不清、相互矛盾、遗漏等问题，以保证提交一份完全符合要求的投标书，包括招标文件中要求的辅助证明文件。不满足主要(技术和商务)要求的投标将被拒绝。如果投标人希望对非关键性的要求提出偏离或提出替代性解决方案，投标人应该先对完全符合要求的投标提出报价。然后，再单独注明，如所提出的偏离被接受，他能够做出的价格调整。备选方案只有在招标文件允许的情况下才能提交。一旦借款人收到投标书并已公开拆封，就不得要求或允许投标人改变其投标价格或投标的实质内容。

Confidentiality保密性

10.   As stated in paragraph 2.47 of the Guidelines, the process of bid evaluation shall be confidential until the publication of contract award . This is essential to enable the Borrower and Bank reviewers to avoid either the reality or perception of improper interference. If at this stage a bidder wishes to bring additional information to the notice of the Borrower, the Bank, or both, it should do so in writing.

正如本指南第2.47段所述，在公布合同授予情况之前，评标的过程应该是保密的。这样做的主要目的是使借款人和世行的审查人员能够避免事实上或感觉上的不正当的干预。如果在这一阶段某投标人希望向借款人、世行或两者提供额外的资料以引起他们的注意的话，它应该以书面形式提供。

 

Action by the Bank世行采取的行动

11.   Bidders are free to send copies of their communications on issues and questions with the Borrower to the Bank or to write to the Bank directly, when Borrowers do not respond promptly, or the communication is a complaint against the Borrower. All such communications should be addressed to the Task Team Leader for the project, with a copy to the Country Director for the borrowing country and to the Regional Procurement Adviser. Names of Task Team Leaders are available in the PAD.

投标人可以把向借款人提出问题的函电抄送给世行，或者在借款人没有迅速做出答复或函电是抱怨借款人时，投标人也可以直接写信给世行。所有这些函电都应发给该项目的项目经理，并抄送给该借款国的国家局局长和地区采购顾问。在项目评估文件(PAD)中有项目经理的名字。

 

12.   References received by the Bank from potential bidders, prior to the closing date for submission of the bids, will, if appropriate, be referred to the Borrower with the Bank’s comments and advice, for action or response.

.在投标截止期之前收到的这些函电，如适当，世行将会把收到的函电连同世行的意见和建议转交给借款人来采取行动或做出答复。

 

13.   Communication received from bidders after the opening of the bids, will be handled as follows. In the case of contracts not subject to prior review by the Bank, the communication will be sent to the Borrower for due consideration and appropriate action, if any, and these will be reviewed during subsequent supervision of the project by Bank staff. In the cases of contracts subject to the prior review process, the communication will be examined by the Bank, in consultation with the Borrower. If additional data is required to complete this process, these will be obtained from the Borrower. If additional information or clarification is required from the bidder, the Bank will ask the Borrower to obtain it and comment or incorporate it, as appropriate, in the evaluation report. The Bank’s review will not be completed until the communication is fully examined and considered.

在开标以后收到的投标人的函电将作如下处理：如果合同不需要世行事前审查，函电将送交借款人供其认真考虑和采取适当的行动(如可采取的话)，并且，世行人员在随后的项目监督时将对这些函电的处理情况进行检查。如果是需要事前审查的合同，世行将对这些函电进行审查，并与借款人进行磋商。如果完成审查还需要额外的信息，应从借款人处得到。如需从投标人处取得额外的信息或澄清，世行将要求借款人获取这些信息，并将这些信息资料写入评标报告或在评标报告中加以评论。在对这些往来函电进行了全面的审查和考虑之后，世行的审查工作才告完成。

 

14.   Except for acknowledgment, the Bank will not enter into discussion or correspondence with any bidder during the evaluation and review process of the procurement, until award of the contract is published.

除了告知已收到这些函电外，在公布合同授予的结果之前，世行在评标和审查过程中不得与任何投标人进行的讨论或通信往来。

 

Debriefing事后情况说明

15.   As stated in paragraph 2.65, if, after notification of award, a bidder wishes to ascertain the grounds on which its bid was not selected, it should address its request to the Borrower. If the bidder is not satisfied with the explanation given and wishes to seek a meeting with the Bank, it may do so by addressing the Regional Procurement Adviser for the borrowing country, who will arrange a meeting at the appropriate level and with the relevant staff. In this discussion, only the bidder’s bid can be discussed and not the bids of competitors.

.根据第2.65段的规定，在发出中标通知书之后，如果投标人希望知道他的投标为什么没有被选中，他应该向借款人提出要求。如果投标人对答复不满意并希望和世行开会的话，它可以向借款国所属地区的地区采购顾问提出，地区采购顾问将安排在适当的级别上召开会议，有关人员也将参加开会。在讨论中，只能讨论该投标人的投标，而不讨论其竞争对手的投标。