英文版世界银行采购指南

标准招标文件货物采购世界银行2004年5月2005年5月, 2006年9月, 2007年5月修改本文件为世界银行2004年5月出版，2005年5月，2006年9月和2007年5月修改的?标准采购文件—货物采购?的中译文，仅供参考。

中译文中如有与英文不一致之处，以英文为主。

修改2007年5月2007年5月的修改稿包括对第一章“投标人须知”分条款3.1，4.4和21.7的修改及对第七章合同通用条款中第3条和第11条的修改。

本次修改使以上条款在文字上反映了2006年10月出版的“采购指南”中欺诈与腐败定义的变化。

该变化是根据2006年8月世行董事会通过的“世界银行处罚制度改革”相关文件做出的。

2006年9月(i) 合同通用条件(第37条)中增加了出口限制条款。

2005年5月：(i) “投标人须知”14.2条修改后删去了与评标有关的内容。

(ii) “投标人须知”26.1条包括了“授权书”。

(iii) “投标人须知”27.2条修改后为没有适当的文件而撤回投标是不能接受的。

(iv) “投标人须知”36.3(a)条关于品目或合同包评审的选择，回应“投标资料表”中关于在进行合同包评审时，如何对缺项的响应性投标进行比较的澄清。

(v) 专用条款涉及到通用条款第21.1条关于装运文件。

2004年5月：反映了2004年5月采购指南的内容。

前言由世界银行编制的本货物采购招标文件(Procurement of Goods)适用于全部或部分使用世界银行贷款采用国际竞争性招标方式进行的货物采购。

本文件的规定与2004年5月[版本]“国际复兴开发银行贷款和国际开发协会信贷采购指南(Guidelines for Procurement under IBRD Loan and IDA Credit)的规定一致。

本标准招标文件以多边开发银行和国际金融机构于2001年10月编制的“货物采购主导招标文件和用户指南(Master Bidding Document for Procurement of Goods and User’s Guide)”为基础。

BANQUE MONDIALE DIRECTIVES POUR LES DéCAISSEMENTSAPPLICABLES AUX PROJETS世界银行项目支付指南Département des Prêts贷款部Table des Matières目录1. Objet/目的2. Méthodes de décaissement/支付方式3. Retrait des fonds du prêt /贷款资金的提取4. Pièces justifi catives requises/支持文件要求5. Comptes désignés/ Comptes désignés6. Conditions applicables aux avances/适用于预付款的规则7. Dépenses non autorisées/不合格费用8. Remboursements/退款Banque mondialeDirectives pour les décaissementsapplicables aux projets世界银行项目支付指南1. Objet1.1 Les présentes Directives ont pour but de définir les procédures de décaissement par la Banque des prêts accordés pourles projets.1 Plus précisément, elles expliquent a) les différentesméthodes que la Banque applique au décaissement desfonds des prêts ; b) les conditions à remplir pour effectuerdes retraits du Compte de Prêt ; c) les types de pièces justifi catives qu’il peut être demandé à l’emprunteur de fournirpour démontrer l’utilisation des fonds du prêt aux fi ns de fi -nancement des dépenses éligibles ; d) les critères d’ouvertureet de tenue des comptes désignés ; e) les conditions applicables aux avances ; f) les types de mesures que la Banquepeut prendre si elle considère que les fonds du prêt ne sontpas nécessaires ou ont servi à des fi ns non autorisées ; et g)la conséquence des remboursements.1. 目的1.1 本指南的目的是建立世界银行的项目贷款资金支付程序。

58668国际复兴开发银行贷款和国际开发协会信贷与赠款世界银行借款人货物、工程和非咨询服务采购指南2011 年1 月2011 年所有国家复兴开发银行/世界银行.DOC 版本.美国华盛顿特区西北区 H 街 1818 号邮政编码：204332011 年 1 月2012 年 3 月第一次印刷说明本文为世界银行 2011 年 1 月出版的《世界银行借款人货物、工程和非咨询服务采购指南》的中译文，仅供参考。

中译文如有与英文不一致之处，请以英文为准。

目 录一、概述 ............................................................................................................................. (1)1.1 目的.......................................................................................................................................... 1 1.2 一般考虑因素 .................................................................................................................... (1)1.5 指南的适用性 .................................................................................................................... (2)1.6 利益冲突 .................................................................................................................... (2)1.8 合格性 ........................................................................................................................ (3)1.11 提前签订合同与追溯贷款 .................................................................................................... 3 1.12 联营体 ........................................................................................................................ (3)1.13世行的审查 .................................................................................................................. (4)1.14错误采购 ................................................................................................................................. 4 1.15 对世行的提法 .................................................................................................................. (4)1.16 欺诈和腐败 ........................................................................................................................ (4)1.18 采购计划 .............................................................. ................................................................ ... 6 二、国际竞争性招标 ............................................................. .. (7)(一)总则 ........................................................................................................................ (7).DOC 版本.2.1 概述 .................................................................................................................... (7)2.2 合同的类型和规模 .................................................................................................................. 7 2.6 两阶段招标 .................................................................................................................... (7)2.7 招标通知和公告 ........................................................... (8)2.9 对投标人的资格预审 .............................................................................................................. 8 (二)招标文件 .................................................................................................................................. 9 2.11 总则 .................................................................................................................... (9)2.13 投标有效期和投标保证金 ........................................................... (9)2.15 语言.................................................................................................................. (9)2.16 招标文件的明晰性 ........................................................ (10)2.19 标准 .................................................................................................................. (10)2.20品牌的使用 ................................................................................................................ (10)2.21报价 ....................................................................................................................................... 11 2.24 调价 ................................................................................................................ (11)2.26 运输和保险 ........................................................... ................................................................ 11 2.28 货币规定 ........................................................... .................................................................... 12 2.29 投标货币 ........................................................... ............................................................. (12)2.31为比较投标价格进行的货币转换 ........................................................ (12)2.32付款货币 .................................................................................................................. (13)2.34 付款条件和方法 ........................................................... .. (13)2.37 备选方案投标 ........................................................... ............................................................13 2.38 合同条款 ........................................................... ............................................................. (13).DOC 版本.2.39 履约保证金和保留金 ........................................................... (13)2.41 罚款和奖励条款 (14)2.42 不可抗力 .................................................................................................................. (14)2.43 适用的法律和争端的解决 ................................................................................................... 14 (三)开标、评标和授标 . (14)2.44 投标书的准备时间 (14)2.45 开标程序 .................................................................................................................. (14)2.46 对投标书的澄清或修正 ....................................................................................................... 15 2.47 XX 性 .................................................................................................................. (15)2.48 投标书的核查 .............................................................................................................. (15)2.49对投标书的评审和比较 ...................................................... (15)2.55 国内优惠 ............................................................................................................................... 16 2.57 投标有效期的延长 ............................................................................................................... 162.58 对投标人的资格后审 ........................................................................................................... 16 2.59 授标 ....................................................................................................................................... 16 2.60 公示授标结果 .................................................................................................................... (16)2.61 所有投标被废标 ........................................................... (17)2.65 废标原因通报会 ........................................................... (17)(四)简化的国际竞争性招标 ........................................................................................................ 17 2.66 单纯进口 ........................................................................................................................ (17)2.68 农产品和矿产品的采购 .............................................................. ......................................... 18 三、其它采购方式............................................................... . (19).DOC 版本.3.1 总则 ........................................................................................................................................ 19 3.2 有限国际招标 (19)3.3 国内竞争性招标 ........................................................... (19)3.5 询价采购 .................................................................................................................... (20)3.6 框架协议 .................................................................................................................... (20)3.7 直采........................................................................................................................................ 20 3.9 自营 .................................................................................................................... (21)3.10 从联合国机构采购 .............................................................................................................. 21 3.11 采购代理和代建方 ............................................................................................................... 22 3.12 商检代理 .............................................................................................................. (22)3.13 向中间金融机构和实体提供贷款的采购 ........................................................................... 22 3.14 公私合作模式的采购 ...................................................... (23)3.16 基于结果的采购 .............................................................................................................. (23)3.18由世行提供担保的贷款项下的采购 .......................................................... . (24)3.19社区参与的采购 ........................................................... .. (24)3.20采用借款国自己的采购程序 ........................................................... .................................... 24 附录一：世行对采购的审查以及授标公示 ........................................................... .. (25)1.采购计划与安排 .......................................................... .............................................................252.事前审查 .......................................................... ............................................................ . (25)5.事后审查 ........................................................... ............................................................. .. (26)6.从事后审查变为事前审查 ........................................................... .. (26)7.公示授标结果 ........................................................... ............................................................. (26).DOC版本. 8.对被世行制裁的公司或个人参加投标或正在履行现有合同的处理办法............................ 26 附录二：国内优惠.........................................................................................................................281. 对于国内制造货物的优惠 .......................................................... (28)8. 对国内承包商的优惠 ............................................................. .................................................. 29 附录三：投标人指南 ............................................................. .. (30)1.目的 ...................................................................................................................... (30)2.采购的责任方 ...................................................................................................................... (30)3.世行的角色 ...................................................................................................................... (30)5.招标标讯 ...................................................................................................................... (30)6.投标人的角色 ...................................................................................................................... (30)10.XX性 .................................................................................................................... (31)11.世行采取的行动 .....................................................................................................................3115. 废标情况通报会 ........................................................... (33)缩写词英文缩写英文全称中文全称BOO Build, own, operate 建设－拥有－经营BOOT Build, own, operate, transfer 建设－拥有－经营－转让BOT Build, own, transfer建设－拥有－转让CDD munity Driven Development 社区主导型发展CIF Cost, Insurance, and Freight 到岸价CIP Carriage andInsurance Paid (placeof destination)运费及保险费付至(目的地)CPT Carriage Paid to(named place of destination)运费付至(指定目的地)DDP Delivered Duty Paid 完税后交货EXW Ex works, Ex factory, or Offthe Shelf 工厂交货价FA Framework Agreements 框架协议FCA Free Carrier (named place) 货交承运人(指定地点).DOC 版本.FPA Fiduciary Principles Accord 信用原则协议 GNP Gross National Product国民生产总值IBRD International Bank forReconstruction and Development (World Bank) 国际复兴开发银行 (世界银行) ICB International petitive Bidding 国际竞争性招标 ICC International Chamber of merce 国际商会 ICSID International Centre for Settlement of Investment Disputes解决投资争端国际中心 IDAInternational Development Association国际开发协会IFC International Finance Corporation国际金融公司LIB Limited International Bidding 有限国际招标 MDTF Multi Donor Trust Fund 多方捐赠者信托基金MIGA Multilateral Investment Guarantee Agency多边投资担保机构NCB National petitive Bidding 国内竞争性招标 NGO Nongovernmental organization 非政府组织 PAD Project Appraisal Document 项目评估文件 PPA Project Preparation Advance 项目准备基金 PPP Public Private Partnership 公私合作 PPR Procurement Post Review 采购后审 SA Special Account专用账户 SBDsStandard Bidding Documents标准招标文件SWAp Sector Wide Approach 行业贷款UCS Use of Country Systems 使用借款国自己的采购程序UN United Nations 联合国UNDB United Nations DevelopmentBusiness 联合国发展商业报.DOC版本. 一、概述目的1.1 本指南的目的在于使项目实施人员了解项目所需货物、工程和非咨询服务的采购政策，而这些项目是全部或部分地由国际复兴开发银行(简称 IBRD)贷款、国际开发协会(简称IDA)1 ( PPA)信贷或赠款、项目筹备垫款简称、世行赠款或由世行管理由受益人实施的信托基2 3金资助的。

G UIDELINES P ROCUREMENT U NDER IBRD L OANS A NDIDA C REDITSMay 2004Revised October 1, 2006I. Introduction (6)1.1 Purpose (6)1.2 General Considerations (6)1.5 Applicability of Guidelines (8)1.6 Eligibility (8)1.9 Advance Contracting and Retroactive Financing (9)1.10 Joint Ventures (10)1.11 Bank Review (10)1.12 Misprocurement (10)1.13 References to Bank (10)1.14 Fraud and Corruption (11)1.16 Procurement Plan (13)II. International Competitive Bidding (15)A. General (15)2.1 Introduction (15)2.2 Type and Size of Contracts (15)2.6 Two-Stage Bidding (16)2.7 Notification and Advertising (16)2.9 Prequalification of Bidders (17)B. Bidding Documents (18)2.11 General (18)2.13 Validity of Bids and Bid Security (19)2.15 Language (19)2.16 Clarity of Bidding Documents (20)2.19 Standards (21)2.20 Use of Brand Names (21)2.21 Pricing (22)2.24 Price Adjustment (22)2.26 Transportation and Insurance (23)2.28 Currency Provisions (24). .. .2.29 Currency of Bid (24)2.31 Currency Conversion for Bid Comparison (25)2.32 Currency of Payment (25)2.34 Terms and Methods of Payment (25)2.37 Alternative Bids (26)2.38 Conditions of Contract (26)2.39 Performance Security (26)2.41 Liquidated Damages and Bonus Clauses (27)2.42 Force Majeure (27)2.43 Applicable Law and Settlement of Disputes (28)C. Bid Opening, Evaluation, and Award of Contract (28)2.44 Time for Preparation of Bids (28)2.45 Bid Opening Procedures (29)2.46 Clarifications or Alterations of Bids (29)2.47 Confidentiality (29)2.48 Examination of Bids (29)2.49 Evaluation and Comparison of Bids (30)2.55 Domestic Preferences (31)2.57 Extension of Validity of Bids (32)2.58 Postqualification of Bidders (32)2.59 Award of Contract (32)2.60 Publication of the Award of Contract (33)2.61 Rejection of All Bids (33)2.65 Debriefing (34)D. Modified ICB (34)2.66 Operations Involving a Program of Imports (34)2.68 Procurement of Commodities (34)III. Other Methods of Procurement (36)3.1 General (36)3.2 Limited International Bidding (36)3.3 National Competitive Bidding (36)3.5 Shopping (37)3.6 Direct Contracting (38)3.8 Force Account (38)3.9 Procurement from United Nations Agencies (39)3.10 Procurement Agents (39)3.11 Inspection Agents (39)3.12 Procurement in Loans to Financial Intermediaries..403.13 Procurement under BOO/BOT/BOOT, Concessions and SimilarPrivate Sector Arrangements (40)3.14 Performance-Based Procurement (41)3.16 Procurement under Loans Guaranteed by the Bank (42)3.17 Community Participation in Procurement (42)Appendix 1: Review by the Bank of Procurement Decisions. 431. Scheduling of Procurement (43)2. Prior Review (43)5. Post Review (45)Appendix 2: Domestic Preferences (47)1. Preference for Domestically Manufactured Goods (47)7. Preference for Domestic Contractors (48)Appendix 3: Guidance to Bidders (50)1. Purpose (50)2. Responsibility for Procurement (50)3. Bank’s Role (50)5. Information on Bidding (51)6. Bidder’s Role (51)10. Confidentiality (52)11. Action by the Bank (52)15.Debriefing (53). .AcronymsBOO Build, own, operateBOOT Build, own, operate, transferBOT Build, operate, transferCIF Cost, Insurance, and FreightCIP Carriage and Insurance Paid (place of destination) CPT Carriage Paid To (named place of destination)DDP Delivered Duty PaidEXW Ex works, Ex factory, or Off the ShelfFCA Free Carrier (named place)GNP Gross National ProductIBRD International Bank for Reconstruction and Development (World Bank)ICB International Competitive BiddingIDA International Development AgencyLIB Limited International BiddingNCB National Competitive BiddingNGO Nongovernmental organizationPAD Project Appraisal DocumentSA Special AccountSBDs Standard Bidding DocumentsUN United NationsUNDB United Nations Development Business. .I. IntroductionPurpose1.1 The purpose of these Guidelines is to inform those carrying out a project that is financed in whole or in part by a loan from the International Bank for Reconstruction and Development (IBRD) or a credit or grant from the International Development Association (IDA),1 of the policies that govern the procurement of goods, works, and services (other than consultant services) 2 required for the project. The Loan Agreement governs the legal relationships between the Borrower and the Bank, and the Guidelines are made applicable to procurement of goods and works for the project, as provided in the agreement. The rights and obligations of the Borrower and the providers of goods and works for the project are governed by the bidding3 documents, and by the contracts signed by the Borrower with the providers of goods and works, and not by these Guidelines or the Loan Agreements. No party other than the parties to the Loan Agreement shall derive any rights therefrom or have any claim to loan proceeds.General Considerations1.2 The responsibility for the implementation of the project, and therefore for the award and administration of contracts under the project, rests with the Borrower.4 The Bank, for its part, is required by its Articles of Agreement to “ensure that the proceeds of any loan are used only for the purposes for which the loan was granted, with due attention to considerations of economy and efficiency and without regard to political or other non-economic influences or considerations,”5 and it has established detailed procedures for this purpose. While in practice the specific procurement rules and procedures to be followed in1 Procurement requirements of IBRD and IDA are identical, and references in these Guidelines to the Bank include both IBRD and IDA, and references to loans include IBRD Loans as well as IDA credits or grants and project preparation advances (PPAs). References to Loan Agreement includes Development Credit Agreement, Development Financing Agreement, Development Grant Agreement, and Project Agreement. References to “Borrower” include the recipient of an IDA Grant.2 Refere nces to “goods” and “works” in these Guidelines include related services such as transportation, insurance, installation, commis sioning, training, and initial maintenance. “Goods” includes commodities, raw material, machinery, equipment, and industrial plant. The provisions of these Guidelines also apply to services which are bid and contracted on the basis of performance of ameas urable physical output, such as drilling, mapping, and similar operations. These Guidelines do not refer to Consultants’ serv ices, to which the current Guidelines: Selection and Employment of Consultants by World Bank Borrowers apply (referred to herein as Consultant Guidelines).3For the purposes of these Guidelines, the words “bid” and “tender” shall have the same meaning.4 In some cases, the Borrower acts only as an intermediary, and the project is carried out by another agency or entity. References in these Guidelines to the Borrower include such agencies and entities, as well as Sub-Borrowers under on-lending arrangements.5The Bank’s Articles of Agreement; Article III, Section 5(b) and IDA’s Articles of Agreement; Article V, Section 1(g).. .the implementation of a project depend on the circumstances of the particular case, four considerations generally guide the Bank’s requirements:(a) the need for economy and efficiency in the implementation of theproject, including the procurement of the goods and works involved;(b) the Bank’s interest in giving all eligible bidders from developedand developing countries 6 the same information and equalopportunity to compete in providing goods and works financed by the Bank;(c) the Bank’s interest in encouraging the development of domesticcontracting and manufacturing industries in the borrowing country;and(d) the importance of transparency in the procurement process.1.3 Open competition is the basis for efficient public procurement. Borrowers shall select the most appropriate method for the specific procurement. In most cases, International Competitive Bidding (ICB), properly administered, and with the allowance for preferences for domestically manufactured goods and, where appropriate, for domestic contractors7 for works under prescribed conditions is the most appropriate method. In most cases, therefore, the Bank requires its Borrowers to obtain goods, works and services through ICB open to eligible suppliers and contractors.8 Section II of these Guidelines describes the procedures for ICB.1.4 Where ICB is not the most appropriate method of procurement, other methods of procurement may be used. Section III describes these other methods of procurement and the circumstances under which their application would be more appropriate. The particular methods that may be followed for procurement under a given project are provided for in the Loan Agreement. The specific contracts to be financed under the project, and their method of procurement, consistent with the Loan Agreement, are specified in the Procurement Plan as indicated in paragraph 1.16 of these Guidelines.6 See para. 1.6, 1.7, and 1.8.7For purposes of these Guidelines, “Contractor” refers only to a firm providing construction services.8 See para. 1.6, 1.7, and 1.8.. .Applicability of Guidelines1.5 The procedures outlined in these Guidelines apply to all contracts for goods and works financed in whole or in part from Bank loans.9 For the procurement of those contracts for goods and works not financed from a Bank loan, the Borrower may adopt other procedures. In such cases the Bank shall be satisfied that the procedures to be used will fulfill the Borrower’s obligations to cause the project to be carried outdiligently and efficiently, and that the goods and works to be procured:(a) are of satisfactory quality and are compatible with the balance ofthe project;(b) will be delivered or completed in timely fashion; and(c) are priced so as not to affect adversely the economic and financialviability of the project.Eligibility1.6 To foster competition the Bank permits firms and individuals from all countries to offer goods, works, and services for Bank-financed projects. Any conditions for participation shall be limited to thosethat are essential to ensure the firm’s capability to fulfill the contract in question10.1.7 In connection with any contract to be financed in whole or in part from a Bank loan, the Bank does not permit a Borrower to deny pre- or post-qualification to a firm for reasons unrelated to its capability and resources to successfully perform the contract; nor does it permit a Borrower to disqualify any bidder for such reasons. Consequently, Borrowers should carry out due diligence on the technical and financial qualifications of bidders to be assured of their capabilities inrelation to the specific contract.1.8 As exceptions to the foregoing:(a) Firms of a country or goods manufactured in a country may beexcluded if, (i) as a matter of law or official regulation, theBorrower’s country prohibits commercial relations with thatcountry, provided that the Bank is satisfied that such exclusiondoes not preclude effective competition for the supply of goods or works required, or (ii) by an act of compliance with a decision of9 This includes those cases where the Borrower employs a procurement agent under para. 3.10.10 The Bank permits firms and individuals from Taiwan, China, to offer goods, works, and services for Bank-financed projects.. .the United Nations Security Council taken under Chapter VII of the Charter of the United Nations, the Borrower’s country prohibitsany import of goods from, or payments to, a particular country,person, o r entity. Where the Borrower’s country prohibits payments to a particular firm or for particular goods by such an act ofcompliance, that firm may be excluded.(b) A firm which has been engaged by the Borrower to provide consultingservices for the preparation or implementation of a project, andany of its affiliates, shall be disqualified from subsequentlyproviding goods, works, or services resulting from or directlyrelated to the firm’s consulting s ervices for such preparation or implementation. This provision does not apply to the various firms (consultants, contractors, or suppliers) which together areperforming the contractor’s obligations under a turnkey or design and build contract.11(c) Government-owned enterprises in the Borrower’s country mayparticipate only if they can establish that they (i) are legallyand financially autonomous, (ii) operate under commercial law, and (iii) are not dependent agencies of the Borrower or Sub-Borrower.12 (d) A firm declared ineligible by the Bank in accordance withsubparagraph (d) of paragraph 1.14 of these Guidelines or inaccordance with the World Bank Group Anti-Corruption policies13shall be ineligible to be awarded a Bank-financed contract duringthe period of time determined by the Bank.Advance Contracting and Retroactive Financing1.9 The Borrower may wish to proceed with the initial steps of procurement before signing the related Bank loan. In such cases, the procurement procedures, including advertising, shall be in accordance with the Guidelines in order for the eventual contracts to be eligiblefor Bank financing, and the Bank shall review the process used by the Borrower. A Borrower undertakes such advance contracting at its own risk, and any concurrence by the Bank with the procedures, documentation, or proposal for award does not commit the Bank to make a loan for theproject in question. If the contract is signed, reimbursement by the Bank of any payments made by the Borrower under the contract prior to11 See para. 2.5.12 Other than Force Account units, as permitted under para. 3.8.13 For purposes of this sub-paragraph, the relevant World Bank Group Anti-Corruption policies are set forth in the Guidelines On Preventing and Combating Fraud and Corruption in Projects financed by IBRD Loans and IDA Credits and Grants, and in the Anti-corruption Guidelines for IFC, MIGA, and World Bank Guarantee Transactions.. .loan signing is referred to as retroactive financing and is only permitted within the limits specified in the Loan Agreement.Joint Ventures1.10 Any firm may bid independently or in joint venture confirming joint and several liability, either with domestic firms and/or with foreign firms, but the Bank does not accept conditions of bidding which require mandatory joint ventures or other forms of mandatory association between firms.Bank Review1.11 The Bank reviews the Borrower’s procurement procedures, do cuments, bid evaluations, award recommendations, and contracts to ensure that the procurement process is carried out in accordance with the agreed procedures. These review procedures are described in Appendix 1. The Procurement Plan approved by the Bank14 shall specify the extent to which these review procedures shall apply in respect of the different categories of goods and works to be financed, in whole or in part, from the Bank loan.Misprocurement1.12 The Bank does not finance expenditures for goods and works which have not been procured in accordance with the agreed provisions in the Loan Agreement and as further elaborated in the Procurement Plan.15 In such cases, the Bank will declare misprocurement, and it is the policyof the Bank to cancel that portion of the loan allocated to the goodsand works that have been misprocured. The Bank may, in addition,exercise other remedies provided for under the Loan Agreement. Even once the cont ract is awarded after obtaining a “no objection” from t he Bank, the Bank may still declare misprocurement if it concludes that the “no objection” was issued on the basis of incomplete, inaccurate, or misleading information furnished by the Borrower or the terms and conditions of the contract had been modified without Bank’s approval.References to Bank1.13 If the Borrower wishes to refer to the Bank in procurement documents, the following language shall be used:14 See paragraphs 1.16.15 See paragraph 1.16.. .“(name of Borrower) has received (or in appropriate cases ‘hasapp lied for’) a [loan] from the [International Bank forReconstruction and Development] (the “Bank”) in an amountequivalent to USD toward the cost of (name of project), andintends to apply a portion of the proceeds of this [loan] toeligible payments under this contract. Payment by the Bank will be made only at the request of (name of Borrower or designate) andupon approval by the Bank, and will be subject, in all respects, to the terms and conditions of the [Loan] Agreement. The [Loan]Agreement prohibits a withdrawal from the [Loan] Account for thepurpose of any payment to persons or entities, or for any import of goods, if such payment or import, to the knowledge of the Bank, is prohibited by a decision of the United Nations Security Counciltaken under Chapter VII of the Charter of the United Nations16. No party other than (name of Borrower) shall derive any rights fromthe Loan Agreement or have any claim to the proceeds of the[loan].”17Fraud and Corruption1.14 It is the Bank’s policy to require that Borrowers (including beneficiaries of Bank loans), as well as bidders, suppliers, and contractors and their subcontractors under Bank-financed contracts, observe the highest standard of ethics during the procurement and execution of such contracts. 18 In pursuance of this policy, the Bank:(a) defines, for the purposes of this provision, the terms set forthbelow as follows:(i) “corrupt practice”19 is the offering, giving, receiving orsoliciting, directly or indirectly, of anything of value toinfluence improperly the actions of another party;(ii) “fraudulent practice”20 is any act or omission, including a misrepresentation, that knowingly or recklessly misleads, or16IBRD’s General Conditions Applicable to Loans and Guarantee Agreements; Article V; Section 5.01 and IDA’s General Conditions Applicable to Development Credit Agreements; Article V; Section 5.0117Substitute “credit,” “International Development Association,” and “Credit Agreement,” as appropriate.18 In this context, any action taken by a bidder, supplier, contractor, or a sub-contractor to influence the procurement process or contract execution for undue advantage is improper.19For the purpose of these Guidelines, “another party” refers to a public official acting in relation to the procurement process or contract execution]. In this context, “public official” includes World Bank staff and emp loyees of other organizations taking or reviewing procurement decisions.. .attempts to mislead, a party to obtain a financial or otherbenefit or to avoid an obligation;(iii) “collusive practice”21 is an arrangement between two or more parties designed to achieve an improper purpose, includingto influence improperly the actions of another party;(iv) “coercive practice”22 is impairing or harming, or threatening to impair or harm, directly or indirectly, any party or theproperty of the party to influence improperly the actions of aparty;(v) “obstructive practice” is(aa) deliberately destroying, falsifying, altering orconcealing of evidence material to the investigation ormaking false statements to investigators in order tomaterially impede a Bank investigation into allegationsof a corrupt, fraudulent, coercive or collusive practice;and/or threatening, harassing or intimidating any partyto prevent it from disclosing its knowledge of mattersrelevant to the investigation or from pursuing theinvestigation, or(bb) acts intended to materially impede the exercise of the Bank’s inspection and audit rights provided for underpar. 1.14 (e) below.(b) will reject a proposal for award if it determines that the bidderrecommended for award has, directly or through an agent, engaged in corrupt, fraudulent, collusive, coercive or obstructive practices in competing for the contract in question;(c) will cancel the portion of the loan allocated to a contract if itdetermines at any time that representatives of the Borrower or of a beneficiary of the loan engaged in corrupt, fraudulent, collusive, or coercive practices during the procurement or the execution ofthat contract, without the Borrower having taken timely and20For the purpose of these Guidelines, “party” refers to a public official; the terms “benefit” and “obligation” relate to the procurement process or contract execution; and the “act or omission” is intended to influence the procurement process or contract execution.21For the purpose of these Guidelines, “parties” refers to participants in the procurement process (including public officials) attempting to establish bid prices at artificial, non competitive levels.22For the purpose of these Guidelines, “party” refers to a participant in the procurement proces s or contract execution.. .appropriate action satisfactory to the Bank to address such practices when they occur;(d) will sanction a firm or individual, including declaring ineligible,either indefinitely or for a stated period of time, to be awarded a Bank-financed contract if it at any time determines that the firmhas, directly or through an agent, engaged in corrupt, fraudulent, collusive, coercive or obstructive practices in competing for, orin executing, a Bank-financed contract; and(e) will have the right to require that a provision be included inbidding documents and in contracts financed by a Bank loan, aprovision be included requiring bidders, suppliers and contractors to permit the Bank to inspect their accounts and records and other documents relating to the bid submission and contract performanceand to have them audited by auditors appointed by the Bank.1.15. With the specific agreement of the Bank, a Borrower may introduce, into bid forms for large contracts financed by the Bank, an undertaking of the bidder to observe, in competing for and executing a contract, the country's laws against fraud and corruption (including bribery), as listed in the bidding documents.23 The Bank will accept the introduction of such undertaking at the request of the Borrowing country, provided the arrangements governing such undertaking are satisfactory to the Bank.Procurement Plan1.16. As part of the preparation of the project the Borrower shall prepare and, before loan negotiations, furnish to the Bank for its approval, a Procurement Plan24 acceptable to the Bank setting forth: (a) the particular contracts for the goods, works, and/or services required to carry out the project during the initial period of at least 18 months;(b) the proposed methods for procurement of such contracts that are permitted under the Loan Agreement, and (c) the related Bank review procedures25. The Borrower shall update the Procurement Plan annually or23As an example, such an undertaking might read as follows: “We undertake that, in competing for (and, if the award is made to us,in executing) the above contract, we will strictly observe the laws against fraud and corruption in force in the country of the [Purchaser] [Employer], as such laws have been listed by the [Purchaser] [Employer] in the bidding d ocuments for this contract.”24 If the Project includes the selection of consulting services, the Procurement Plan should also include the methods for selection of consulting services in accordance with the Guidelines: Selection and Employment of Consultants by World Bank Borrowers. TheBank will disclose the initial Procurement Plan to the public after the related loan has been approved; additional updates will be disclosed after the Bank has approved them.25 See Appendix 1. .as needed throughout the duration of the project. The Borrower shall implement the Procurement Plan in the manner in which it has been approved by the Bank.. .II. International Competitive BiddingA. GeneralIntroduction2.1 The objective of International Competitive Bidding (ICB), as described in these Guidelines, is to provide all eligible prospective bidders26 with tim ely and adequate notification of a Borrower’s requirements and an equal opportunity to bid for the required goods and works.Type and Size of Contracts2.2 The bidding documents shall clearly state the type of contract to be entered into and contain the proposed contract provisions appropriate therefor. The most common types of contracts provide for payments on the basis of a lump sum, unit prices, reimbursable cost plus fees, or combinations thereof. Reimbursable cost contracts are acceptable to the Bank only in exceptional circumstances such as conditions of high risk or where costs cannot be determined in advance with sufficient accuracy. Such contracts shall include appropriate incentives to limit costs.2.3 The size and scope of individual contracts will depend on the magnitude, nature, and location of the project. For projects requiring a variety of goods and works, separate contracts generally are awarded for the supply and/or installation of different items of equipment andplant27 and for the works.2.4 For a project requiring similar but separate items of equipment or works, bids may be invited under alternative contract options that would attract the interest of both small and large firms, which could be allowed, at their option, to bid for individual contracts (slices) orfor a group of similar contracts (package). All bids and combinations of bids shall be received by the same deadline and opened and evaluated simultaneously so as to determine the bid or combination of bidsoffering the lowest evaluated cost to the Borrower.282.5 In certain cases the Bank may accept or require a turnkey contract under which the design and engineering, the supply and installation of26 See para. 1.6, 1.7 and 1.8.27For purposes of these Guidelines, “plant” refers to installed equipment, as in a production facility.28 See paras. 2.49 2.54 for the bid evaluation procedures.. .equipment, and the construction of a complete facility or works are provided under one contract. Alternatively, the Borrower may remain responsible for the design and engineering, and invite bids for a single responsibility contract for the supply and installation of all goods and works required for the project component. Design and build, and management contracting29 contracts are also acceptable whereappropriate.30Two-Stage Bidding2.6 In the case of turnkey contracts or contracts for large complex facilities or works of a special nature or complex information and communication technology, it may be undesirable or impractical toprepare complete technical specifications in advance. In such a case, a two-stage bidding procedure may be used, under which first unpriced technical proposals on the basis of a conceptual design or performance specifications are invited, subject to technical as well as commercial clarifications and adjustments, to be followed by amended bidding documents31 and the submission of final technical proposals and priced bids in the second stage.Notification and Advertising2.7 Timely notification of bidding opportunities is essential in competitive bidding. For projects that include ICB the Borrower is required to prepare and submit to the Bank a draft General Procurement Notice. The Bank will arrange for its publication in UN Development Business online(UNDB online) and in the Development Gateway’s dgMarket).32 The Notice shall contain information concerning the Borrower (or prospective Borrower), amount and purpose of the loan, scope of procurement under ICB, and the name, telephone (or fax) number, and address of the Borrower’s agency responsible for procurement and the address of the Website where specific procurement notices will be posted. If known, the scheduled date for availability of prequalification or29 In construction, a management contractor usually does not perform the work directly but contracts out and manages the work ofother contractors, taking on the full responsibility and risk for price, quality, and timely performance. Conversely, a construction manager is a consultant for, or agent of, the Borrower, but does not take on such risks. (If financed by the Bank, the services of the construction manager should be procured under the Consultant Guidelines. See footnote 2.)30 Also see paras. 3.14 and 3.15 for performance-based contracting.31 In revising the bidding documents in the second stage the Borrower should respect the confidentiality of the bidders’ technical proposals used in the first stage, consistent with requirements of transparency and intellectual property rights.32 UNDB is a publication of the United Nations. Subscription information is available from: Development Business, United Nations, GCPO Box 5850, New York, NY 10163-5850, USA (Website: ; e-mail: dbsubscribe@); Development Gateway Market is an electronic portal of Development Gateway Foundation, 1889 F Street, N.W. Washington, DC 20006, USA (Website: ).。

第一章对投标人的说明Purchaser 翻译成：“业主”或“招标人”A.投标总则1.招标范围(Scope of Bid)1.1结合招标书，业主将根据第7章的“要求明细表（Schedule of Requirements）”发行产品和服务的招标文件。

名称、定义、合同编号、国际竞争招标（ICB）采购在BDS里有详细说明。

关于招标范围的详细描述在本招标文件的合同专用条件、技术规范、工程量表、图纸以及投标书附录中，要求投标人在规定的合同期限内完成工程。

1.2在整个招标文件中:(a)“书面”表示有收到证明的书面通讯（如邮件、电子邮件、传真、电传）。

(b) 单数具有复数的意义(c)“日”代表日历日。

2.资金的来源(Source of Funds)2.1 招标方已经收到，或者申请了来自世界银行（即国际复兴开发银行IBRD和国际开发协会IDA）的大额资金（BDS上写的是3500万美金）。

招标方已经决定把其中的一部分资金用于SSMP项目。

2.2 项目的款项将会在世界银行受理了招标人的申请之后，以及和借款协议核对正确无误的情况下进行支付。

借款协议禁止借款人挪用借款用于私人或者实体，或者任何被联合国安全理事会所禁止的进口货物以及其他款项。

只有借款人（赞比亚政府）对借款协议拥有相应的权利和收益。

3.腐败和欺诈(Corrupt Practices)3.1银行需要服从在第6章所罗列的关于禁止腐败和欺诈的政策。

3.2为了长期履行（可持续）政策，投标者需准许银行去查验相关人（自身的代理，分包商，顾问，服务商，供应商）的银行账号、记录以及其它的相关文件（曾经上传的申请，曾经的投标，以及履约记录）。

这些都必须被银行方的审计员去审计。

4.合格的投标商（Eligible Bidders）4.1投标人可以是私人单位、国有单位（符合ITB4.5）、或者任何有实质合资协议的联营体，又或者有合资意向的意向书。

如果是联营体，所有的合伙人都需参与并对合同的结果负责。

58668国际复兴开发银行贷款和国际开发协会信贷与赠款世界银行借款人货物、工程和非咨询服务采购指南2011年1月P u b l i c D i s c l o s u r e A u t h o r i z e dP u b l i c D i s c l o s u r e A u t h o r i z e d2011年版权所有国家复兴开发银行/世界银行美国华盛顿特区西北区H街1818号邮政编码：204332011年1月2012年3月第一次印刷说明本文为世界银行2011年1月出版的《世界银行借款人货物、工程和非咨询服务采购指南》的中译文，仅供参考。

中译文如有与英文不一致之处，请以英文为准。

目录一、概述 (1)1.1 目的 (1)1.2 一般考虑因素 (1)1.5 指南的适用性 (2)1.6 利益冲突 (2)1.8 合格性 (3)1.11 提前签订合同与追溯贷款 (3)1.12 联营体 (3)1.13 世行的审查 (4)1.14 错误采购 (4)1.15 对世行的提法 (4)1.16 欺诈和腐败 (4)1.18 采购计划 (6)二、国际竞争性招标 (7)(一)总则 (7)2.1 概述 (7)2.2 合同的类型和规模 (7)2.6 两阶段招标 (7)2.7 招标通知和公告 (8)2.9 对投标人的资格预审 (8)(二)招标文件 (9)2.11 总则 (9)2.13 投标有效期和投标保证金 (9)2.15 语言 (9)2.16 招标文件的明晰性 (10)2.19 标准 (10)2.20 品牌的使用 (10)2.21 报价 (11)2.24 调价 (11)2.26 运输和保险 (11)2.28 货币规定 (12)2.29 投标货币 (12)2.31 为比较投标价格进行的货币转换 (12)2.32 付款货币 (13)2.34 付款条件和方法 (13)2.37 备选方案投标 (13)2.38 合同条款 (13)2.39 履约保证金和保留金 (13)2.41 罚款和奖励条款 (14)2.42 不可抗力 (14)2.43 适用的法律和争端的解决 (14)(三)开标、评标和授标 (14)2.44 投标书的准备时间 (14)2.46 对投标书的澄清或修正 (15)2.47 保密性 (15)2.48 投标书的核查 (15)2.49 对投标书的评审和比较 (15)2.55 国内优惠 (16)2.57 投标有效期的延长 (16)2.58 对投标人的资格后审 (16)2.59 授标 (16)2.60 公示授标结果 (16)2.61 所有投标被废标 (17)2.65 废标原因通报会 (17)(四)简化的国际竞争性招标 (17)2.66 单纯进口 (17)2.68 农产品和矿产品的采购 (18)三、其它采购方式 (19)3.1 总则 (19)3.2 有限国际招标 (19)3.3 国内竞争性招标 (19)3.5 询价采购 (20)3.6 框架协议 (20)3.7 直采 (20)3.9 自营 (21)3.10 从联合国机构采购 (21)3.11 采购代理和代建方 (22)3.12 商检代理 (22)3.13 向中间金融机构和实体提供贷款的采购 (22)3.14 公私合作模式的采购 (23)3.16 基于结果的采购 (23)3.18 由世行提供担保的贷款项下的采购 (24)3.19 社区参与的采购 (24)3.20 采用借款国自己的采购程序 (24)附录一：世行对采购的审查以及授标公示 (25)1. 采购计划与安排 (25)2. 事前审查 (25)5. 事后审查 (26)6. 从事后审查变为事前审查 (26)7. 公示授标结果 (26)8. 对被世行制裁的公司或个人参加投标或正在履行现有合同的处理办法 (26)附录二：国内优惠 (28)1. 对于国内制造货物的优惠 (28)8. 对国内承包商的优惠 (29)附录三：投标人指南 (30)1. 目的 (30)2. 采购的责任方 (30)3. 世行的角色 (30)5. 招标标讯 (30)10. 保密性 (31)11. 世行采取的行动 (31)15. 废标情况通报会 (33)缩写词英文缩写英文全称中文全称BOO Build, own, operate 建设－拥有－经营BOOT Build, own, operate, transfer 建设－拥有－经营－转让BOT Build, own, transfer 建设－拥有－转让CDD Community Driven Development 社区主导型发展CIF Cost, Insurance, and Freight 到岸价CIP Carriage and Insurance Paid(place of destination)运费及保险费付至(目的地)CPT Carriage Paid to(named place of destination)运费付至(指定目的地)DDP Delivered Duty Paid 完税后交货EXW Ex works, Ex factory, or Off the Shelf 工厂交货价FA Framework Agreements 框架协议FCA Free Carrier (named place) 货交承运人(指定地点) FPA Fiduciary Principles Accord 信用原则协议GNP Gross National Product 国民生产总值IBRD International Bank for Reconstruction andDevelopment (World Bank)国际复兴开发银行(世界银行)ICB International Competitive Bidding 国际竞争性招标ICC International Chamber of Commerce 国际商会ICSID International Centre for Settlement of InvestmentDisputes解决投资争端国际中心IDA International Development Association 国际开发协会IFC International Finance Corporation 国际金融公司LIB Limited International Bidding 有限国际招标MDTF Multi Donor Trust Fund 多方捐赠者信托基金MIGA Multilateral Investment Guarantee Agency 多边投资担保机构NCB National Competitive Bidding 国内竞争性招标NGO Nongovernmental organization 非政府组织PAD Project Appraisal Document 项目评估文件PPA Project Preparation Advance 项目准备基金PPP Public Private Partnership 公私合作PPR Procurement Post Review 采购后审SA Special Account 专用账户SBDs Standard Bidding Documents 标准招标文件SWAp Sector Wide Approach 行业贷款UCS Use of Country Systems 使用借款国自己的采购程序UN United Nations 联合国UNDB United Nations Development Business 联合国发展商业报一、概述目的1.1 本指南的目的在于使项目实施人员了解项目所需货物、工程和非咨询服务的采购政策，而这些项目是全部或部分地由国际复兴开发银行(简称IBRD)贷款、国际开发协会(简称IDA)1信贷或赠款、项目筹备垫款(简称PPA)、世行赠款或由世行管理由受益人实施的信托基金2资助的。

世界银行《采购指南》世界银行《采购指南》《采购指南》的背景世界银行的主要活动是为发展项目提供资金，为借款的会员国提供技术援助，因此项目贷款是其主要的活动。

由于世行的资金来自各会员国以及从国际资本市场的借贷资金，协定条款专门列有这样一条，即要求世行保证它贷出的款项只能用于提供贷款所规定的目的，并且要讲求节约和效率。

它还负有监督资金使用的责任，这是世界银行决定制定采购规则的主要原因。

因为虽然世界银行成员有180多个，但世行的工作人员是有限的,他们不可能参与每一项招标活动,因此通过制定《采购指南》,明确采购方式、采购条件、供应商资格审查等程序的标准化，可以使得世行的贷款项目都能够按规定执行，实现世行贷款的目标。

然而，世界银行放贷有其自身的特点。

其中包括，由世界银行批准的项目，其规划、设计和实施均由借款国负责。

这包括借款方有责任签订有关合同，如实施项目所需的土建、物资设备供应以及提供咨询服务等合同。

这意味着借款方(而不是世界银行)是必须执行采购规则的一方。

即使这些规则被称作"世界银行采购指南"，只要项目是由世界银行提供资金的，借款方就必须遵循这些程序。

所有这些因素一起构成了世界银行采购规则的基础。

由于世界银行属于多边性质，为全体会员国所有。

因此，采购规则必须为所有会员国的公司提供赢得合同的公平机会。

又鉴于各会员国对世界银行借出并负责管理的资金都拥有自已的利益，因此，对这些资金严加监督确保其合理使用，显得尤为重要。

协定条款要求制定能节约资金和提高效率的程序。

由于采购的种类繁多、数量巨大，制定能适合各种情况的基本规则显得尤为重要。

最后，由于世界银行的工作重点是在为项目提供资金上，因此需要制定适合于缔结实施项目所需的物资、工程和服务合同的采购程序。

《采购指南》的主要内容(一)概述明确《采购指南》的目的、适用范围、投标商资格审查、世界银行的审查范围等问题，主要目的是使项目实施人员了解和利用世行贷款安排的有关货物和土建工程(包括相关服务)采购所遵循的政策和规则。

1.了解招标方式在不同的法规体系下，对招标方式（type of tendering）的规定不尽相同，归纳如下：•《世界银行采购指南》定义了13类招标/采购方式- 国际竞争性招标（international comparative bidding）- 有限国际招标（limited international bidding）- 国内竞争性招标（domestic comparative bidding）- 询价采购（shopping）- 直接签订合同（direct contracting）- 等等•《世贸组织政府采购协议（WTO GPA）》定义了3类招标方式：- 公开招标（open tendering）- 择性招标（selective tendering）- 局限性招标（limited tendering）•《香港特别行政区政府采购》规则定义了4类招标方式- 公开招标（open tendering）- 选择性招标（selective tendering）- 资格预审招标（prequalified tendering）- 单一招标或局限性招标（single or restricted tendering）•《中华人民共和国招投标法》定义了2类招标方式- 公开招标（open tendering）- 邀请招标（selective tendering）2.关于招投标主体及相关专业术语的翻译招投标专业术语翻译是招投标文件翻译中比较容易混淆的内容，主要原因是由于tender (及其变体 tenderer和 tendering) 和 bid （及其变体bidder和bidding）在英语词义上都具有招标和投标的双重含义，而且参考以上国际性文件，不同的文本对这两个词选取了相反的含义。

•在《世界银行采购指南》中，招投标主体及相关专业术语如下：- 招标人：tenderee- 投标人：bidder, tenderer- 联营体：joint venture- 招标代理：bidding agency- 采购公告：procurement notice- 招标公告：notification of bidding- 招标文件：bidding documents- 招标号：bidding no.- 投标邀请：invitation for bids- 招标资料表：bidding data sheet- 投标人须知： instruction to bidders- 招标附录：appendix to tender- 投标保证金：bid security- 履约保证金：performance security- 投标书：bid- 投标书的提交: submission of bid- 开标：bid opening- 评标：bid evaluation- 授予合同：award of contract- 中标通知：notification of award•而在《世贸组织政府采购协议（WTO GPA）》中，招投标主体及相关术语如下：- 招标人：contracting party, contracting authority, employer- 投标人：tenderer- 招标文件：tender documentations, tender documents- 投标邀请：invitation to tenders- 招标公告：tender notice- 招标资料表：tendering data sheet- 投标人须知： instruction to tenderers- 招标附录：appendix to bid- 投标保证金：tender security- 履约保证金：performance security- 投标书：tender- 投标书的提交: submission of tender- 开标：tender opening, opening of tender- 评标：tender evaluation, evaluation of tender- 授予合同：award of contract- 中标：award of tender由此可见，在不同法规体系的招投标书中，对于专业词汇的使用具有较大区别，甚至招标和投标用词完全颠倒的情况。