BS 8534-2011 Construction procurement policies strategies and procedures Code of practice《工程采购政策 策略和程序 实施规范》.pdf

1、raising standards worldwideNO COPYING WITHOUT BSI PERMISSION EXCEPT AS PERMITTED BY COPYRIGHT LAWBSI Standards PublicationBS 8534:2011Constructionprocurement policies,strategies and procedures Code of practicePublishing and copyright informationThe BSI copyright notice displayed in this document ind

2、icates when the documentwas last issued. BSI 2011ISBN 978 0 580 67893 6ICS 03.100.99The following BSI references relate to the work on this standard:Committee reference CB/500Draft for comment 11/30203837 DCPublication historyFirst (present) edition, August 2011Amendments issued since publicationDat

3、e Text affectedBS 8534:2011 BRITISH STANDARDContentsForeword ii0 Introduction 11 Scope 12 Normative references 23 Terms and definitions 34 Policy 45 Initiation 56 Procurement strategy 107 Procurement tactics 228 Managing performance and delivery 35AnnexesAnnex A (informative) Recommended reading 42A

4、nnex B (informative) Construction Procurement Regulations 45Bibliography 48List of figuresFigure 1 Procurement cycle 2Figure2Time, cost and performance triangle 6Figure 3 Planned working stages 10Figure 4 Identifying procurement methods 16Figure 5 Performance management system 36List of tablesTable1

5、Variables in procurement 13Table 2 Illustrative example of selection mechanism 28Table 3 Illustrative example of award mechanism 33Table 4 Indicative ranges of quality/price ratios for various types of project 34Table B.1 Construction Procurement Regulations 45Summary of pagesThis document comprises

6、 a front cover, an inside front cover, pages i to iv,pages 1 to 50, an inside back cover and a back cover.BRITISH STANDARD BS 8534:2011 BSI 2011 iForewordPublishing informationThis British Standard is published by BSI and came into effect on 31 August2011. It was prepared by Technical Committee CB/5

7、00, Procurement. A list oforganizations represented on this committee can be obtained on request to itssecretary.Relationship with other publicationsThis British Standard is complementary to BS ISO 10845-1 and BS ISO 10845-21),which cover construction procurement in relation to processes, methods an

8、dprocedures, as well as the formatting and compilation of procurementdocumentation.NOTE There are other sources, see Annex A, that provide operational guidance.The remaining parts of the ISO 10845 series (Part 3 to Part 8) have not beenadopted as British Standards. If clients wish to use them they a

9、re encouraged tocheck their compliance with EU procurement law. European Standards for theprocurement of engineering consultancy services for building, infrastructure andindustrial units are in development.BS ISO 15686-5 deals with property life cycle costing and impacts on constructionprocurement,

10、notably on major investment and Private Finance Initiative (PFI)and Public-Private Partnership (PPP) projects. However, it also impacts on thedesign of new buildings through clients desire to set the right budgets andoptimize their life cycle costs from a whole-life value and sustainabledevelopment

11、perspective.BS 8903 gives guidance to organizations and individuals on how to consider andimplement sustainable practices within their procurement processes and ongoingmanagement of their respective supply chains.Information about this documentIn May 2006 a strategic workshop was held to establish w

12、hat drives value in theconstruction industry. It and a subsequent series of specialist workshops weresponsored by the then Department of Trade and Industry and its successor, theDepartment for Innovation, Universities and Skills, under the heading“Rethinking Standards in Construction” and organized

13、by BSI and ConstructingExcellence in the Built Environment. The main conclusion was that there wasdefinite potential for a new standard on procurement, provided it used theOffice of Government Commerce process (see Annex A) as a baseline.Users might find it useful to cite BS 8534 in any BS EN ISO 90

14、01 documentationand in their contracts. In this way, adoption of BS 8534 can be promoted.There are a number of sections in this British Standard where a distinction isdrawn between procurement by public sector bodies and other procurements(i.e. those by non-public sector bodies). It is important to

15、do so becauseprocurement by public sector bodies is governed by the Public ContractsRegulations 2006 (the Regulations) 1, which reflect EU Directives, see Annex B.The Regulations 1 apply to most procurements that have a value above thethresholds set out in the Regulations 1. In procurements to which

16、 theRegulations 1 apply, the procuring body takes a number of mandatory stepsand the effect of the Regulations 1 is to constrain the structure of theprocurement process. Best practice for a particular procurement in the privatesector not constrained by the Regulations 1 might be reflected by adoptin

17、g adifferent structure.1)BS ISO 10845-1 and BS ISO 10845-2 are in development.BRITISH STANDARDBS 8534:2011ii BSI 2011NOTE Attention is drawn to the legal and regulatory constraints of England anddevolved administrations, the rules of public procurement and any specificregulatory regimes that apply t

18、o the sectors the procurer is engaged in (e.g. energyor transportation).Use of this documentAs a code of practice, this British Standard takes the form of guidance andrecommendations. It should not be quoted as if it were a specification andparticular care should be taken to ensure that claims of co

19、mpliance are notmisleading.Any user claiming compliance with this British Standard is expected to be able tojustify any course of action that deviates from its recommendations.Presentational conventionsThe provisions in this standard are presented in roman (i.e. upright) type. Itsrecommendations are

20、 expressed in sentences in which the principal auxiliaryverb is “should”.Commentary, explanation and general informative material is presented insmaller italic type, and does not constitute a normative element.Contractual and legal considerationsThis publication does not purport to include all the n

21、ecessary provisions of acontract. Users are responsible for its correct application.Compliance with a British Standard cannot confer immunity from legalobligations.BRITISH STANDARD BS 8534:2011 BSI 2011 iiiBRITISH STANDARDBS 8534:2011This page deliberately left blankiv BSI 20110 IntroductionIn procu

22、rement systems such as those used by the World Bank, the UnitedNations Commission on International Trade Law (UNCITRAL) and the EuropeanUnion, each category of procurement is dealt with separately with the provisionof its own implementation guidelines or regulations. ISO took the view that thiscompa

23、rtmentalized approach caused confusion and made procurementunnecessarily complex. Therefore, ISO 10845 (all parts) introduced an alternativeapproach of first developing a generic procurement system and then identifyingthe methods and procedures best suited to particular categories.The objective of t

24、he ISO 10845 series is to provide a generic and standard set ofprocesses, procedures and methods for a procurement system that is fair,equitable, transparent, competitive and cost effective. The standards apply topublic or private sector client organizations in the development of theirprocurement sy

25、stems and their principles are intended to apply down the supplychain. The main objective is the creation of a framework for the development ofprocurement systems that facilitate fair competition, reduce the possibilities ofabuse, improve predictability of outcome and allow the demonstration of best

26、value. In particular, ISO 10845: establishes basic requirements for the conduct of an organizationsprocurement, including integrity and the avoidance of conflicts of interest; creates a framework for the development of an organizations procurementpolicy; and describes generic methods and procedures

27、for procurement, including adetailed consideration of the alternatives available, including negotiation,competitive selection, competitive negotiation and electronic auction.The ISO 10845 series covers operational process, whereas this standard dealswith policy in establishing a procurement strategy

28、 and setting up a system.1 ScopeThis British Standard gives recommendations and guidance on the developmentwithin a public or private sector organization of policies, strategies andprocedures for the procurement of construction in the built environment usingthe structure shown in Figure 1.It does no

29、t cover the procurement of associated engineering services andoffshore construction works or the procurement of facilities management as astand alone service.BRITISH STANDARD BS 8534:2011 BSI 2011 12 Normative referencesThe following referenced documents are indispensable for the application ofthis

30、document. For dated references, only the edition cited applies. For undatedreferences, the latest edition of the referenced document (including anyamendments) applies.BS 6079-1, Project management Part 1: Principles and guidelines for themanagement of projectsBS 8903, Principles and framework for pr

31、ocuring sustainably GuideBS 31100, Risk management Code of practiceBS EN 12973, Value managementBS ISO 10845-1:2010, Construction procurement Part 1: Processes, methods andproceduresBS ISO 10845-2, Construction procurement Part 2: Formatting and compilationof procurement documentationBS EN ISO 9001,

32、 Quality management systems RequirementsPAS 91, Construction related procurement Prequalification questionnairesFigure 1 Procurement cycleBusinesscase, 5.2Businessneed, 5.1Managingdelivery, 8.2Managingperformance,8.1Notification ofaward, debriefingand mandatorystandstill period,7.5The awardstage, 7.

33、4Appointingthe team,7.3Terms ofengagement/forms ofcontract7.2Outlinebusinesscase,6.7Supportingprocesses,6.6Marketengagment,6.5Workpackages,6.4Procurementmethods,6.3Clientbrief,6.2FeasibilityVM study,6.1Gatereviewprocess,5.3Initiation,Clause 5Procurementstrategy,Clause 6Procurementtactics,Clause 7Man

34、agingperformanceand delivery,Clause 8Policy,Clause 4BRITISH STANDARDBS 8534:20112 BSI 20113 Terms and definitionsFor the purposes of this British Standard, the terms and definitions given inBS ISO 10845-1 and BS ISO 10845-2 and the following apply.3.1 base costestimated cost of the element without a

35、ny risk allowance included3.2 built environmentany building, structure or external works3.3 business caseobjective of the procurement in terms of what the procuring organization seeksto achieveNOTE The business case is intended to be iterative and developmental. A goodbusiness case can take maximum

36、advantage of early involvement of designers,contractors and suppliers.3.4 business needoverall purpose in relation to the clients business3.5 client briefformal statement of the objectives and functional and operational requirementsof the finished projectNOTE The purpose of the brief is to provide a

37、 firm foundation for the initiation ofthe project.3.6 construction procurement strategyplan of action for funding, organization, management, selection and paymentof supply chains for the design, fabrication and which may include the operationof constructed facilities to achieve a desired objective3.

38、7 contracting authoritybodies whose procurements are governed by the Regulations 1; the applicationof construction procurement regulations is set out in Annex B3.8 initial business casestatement from the procurer that sets out the policy framework and thepurpose of the procurement3.9 outline busines

39、s casebusiness case that results from taking the initial business case to the design andsupply chains for advice about how best to meet the needs of the procurer3.10 procurement policypolicy which details the overarching strategic principles and objectives forprocurement of construction projects; sp

40、anning the whole project life cycle fromidentification of needs through to the end of the useful life of an asset3.11 project insuranceconsolidated policy for all insurable project risks on a project specific basis3.12 risk allowancesum calculated as part of a formal risk analysis to allow for ident

41、ified risksBRITISH STANDARD BS 8534:2011 BSI 2011 33.13 stakeholdersgroups or individuals who are directly involved in the project and/or are affectedby itNOTE They might also include top management, operational staff, trade unions,suppliers, business partners and members of the public as end-users.

42、3.14 sustainabilityprovision for the environmental, social and economic factors that constructionprojects impact onNOTE If the projects are managed with sustainability in mind from the outset, theycan play an important part in meeting sustainability targets. There are manydefinitions of sustainabili

43、ty. A widely used and internationally accepted definition ofsustainable development is “development that meets the needs of the presentwithout compromising the ability of future generations to meet their own needs”(see Brundtland 2).3.15 value for money (VFM)optimum combination of whole-life cost an

44、d quality to meet the usersrequirementNOTE This means that awarding contracts on the basis of lowest price tendered forconstruction works might not provide the best value for money. Long-term valueover the life of the asset is a much more reliable indicator. It is the relationshipbetween long-term c

45、osts and the benefit achieved that represents value for money.3.16 value management (VM)structured approach to the assessment and development of a project to increasethe likelihood of achieving the objectives at optimum whole-life value formoney4 PolicyThe procurer should develop and document a proc

46、urement policy whichincludes, as a minimum consideration, appropriate provisions for:a) those items listed in BS ISO 10845-1:2010, 4.3;b) issues of bribery and anti-competitive practice;NOTE 1 Attention is drawn to the Prevention of Corruption Act 3 and theBribery Act 4.c) conflict of interest;d) di

47、spute resolution;e) methods of identification and management of risk;f) issues of payment and financial management;g) issues of stakeholders in particular funds and their impact on procurementand third party rights;h) cost management to include best value, key performance indicators (KPIs)and incent

48、ivization;i) corporate social responsibility;j) health and safety;NOTE 2 Attention is drawn to the Health and Safety at Work etc. Act 5.k) environmental sustainability; andl) intellectual property.BRITISH STANDARDBS 8534:20114 BSI 2011The procurer should consider the best practice available on these

49、 topics(see Annex A) in arriving at its policies. This should be recorded and publicizedon the procurers website or otherwise made available to all tenderers.In addition to these specifically identified topics where best practice is identified,arriving at its procurement policy, the procurer should include its response andposition to:1) public procurement rules;2) sector based constraints;3) Housing Grants, Construction and Regeneration Act 6;4) tax and VAT position;5) planning; and6) Building Regul