ISO 10845-4:2011

INTERNATIONAL ISO
STANDARD 10845-4
First edition
2011-01-15

Construction procurement —
Part 4:
Standard conditions for the calling for
expressions of interest
Marchés de construction —
Partie 4: Conditions-types normalisées pour appel aux parties
intéressées




Reference number
ISO 10845-4:2011(E)
©
ISO 2011

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ISO 10845-4:2011(E)
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ISO 10845-4:2011(E)
Contents Page
Foreword .iv
Introduction.v
1 Scope.1
2 Terms and definitions .1
3 General requirements .3
3.1 Actions.3
3.2 Supporting documents .3
3.3 Interpretation .3
3.4 Communication and employer's agent .3
4 Respondent's obligations.3
4.1 Eligibility.3
4.2 Cost of submissions .4
4.3 Checking documents .4
4.4 Acknowledging addenda .4
4.5 Clarification meetings.4
4.6 Seeking clarification.4
4.7 Making a submission .4
4.8 Information and data to be completed .4
4.9 Closing time .4
4.10 Clarification of submission .5
5 Employer's undertakings.5
5.1 Responding to clarification .5
5.2 Issuing addenda .5
5.3 Late submissions .5
5.4 Opening of submissions.5
5.5 Non-disclosure .5
5.6 Grounds for rejection and disqualification.5
5.7 Test for responsiveness .5
5.8 Non-responsive submissions .6
5.9 Evaluation of responsive submissions.6
5.10 Providing written reasons for actions taken .6
Annex A (informative) Commentary.7
Annex B (informative) Submission data.14
Annex C (informative) Evaluating expressions of interest.18
Bibliography.20

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ISO 10845-4:2011(E)
Foreword
ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies
(ISO member bodies). The work of preparing International Standards is normally carried out through ISO
technical committees. Each member body interested in a subject for which a technical committee has been
established has the right to be represented on that committee. International organizations, governmental and
non-governmental, in liaison with ISO, also take part in the work. ISO collaborates closely with the
International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization.
International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2.
The main task of technical committees is to prepare International Standards. Draft International Standards
adopted by the technical committees are circulated to the member bodies for voting. Publication as an
International Standard requires approval by at least 75 % of the member bodies casting a vote.
Attention is drawn to the possibility that some of the elements of this document may be the subject of patent
rights. ISO shall not be held responsible for identifying any or all such patent rights.
ISO 10845-4 was prepared by Technical Committee ISO/TC 59, Buildings and civil engineering works.
ISO 10845 consists of the following parts, under the general title Construction procurement:
⎯ Part 1: Processes, methods and procedures
⎯ Part 2: Formatting and compilation of procurement documentation
⎯ Part 3: Standard conditions of tender
⎯ Part 4: Standard conditions for the calling for expressions of interest
⎯ Part 5: Participation of targeted enterprises in contracts
⎯ Part 6: Participation of targeted partners in joint ventures in contracts
⎯ Part 7: Participation of local enterprises and labour in contracts
⎯ Part 8: Participation of targeted labour in contracts

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ISO 10845-4:2011(E)
Introduction
Procurement is the process which creates, manages and fulfils contracts. Procurement can, as such, be
described as a succession of logically related actions occurring or performed in a definite manner and which
culminate in the completion of a major deliverable or the attainment of a milestone. Processes, in turn, are
underpinned by methods (i.e. a documented, systematically-ordered collection of rules or approaches) and
procedures (i.e. the formal steps to be taken in the performance of a specific task), which are informed and
shaped by the policy of an organization. Methods and procedures can likewise be documented and linked to
processes.
Expressions of interest request potential tenderers to register their interest in undertaking a specific contract
or to participate in a project or programme and to submit their credentials so that they can be invited to submit
a tender offer should they qualify or be selected to do so. Conditions for the calling for expressions of interest
are required to establish procedures from the time that expressions of interest are called for to the time that
respondents are invited to submit tender offers or are admitted to a database. Such conditions document the
procedures, the manner in which those engaged in these processes are to behave, the obligations of the
respondent, and the undertakings of the employer.

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INTERNATIONAL STANDARD ISO 10845-4:2011(E)

Construction procurement —
Part 4:
Standard conditions for the calling for expressions of interest
1 Scope
This part of ISO 10845 sets out standard conditions for the calling for expressions of interest which
a) bind the employer and respondent to behave in a particular manner,
b) establish what is required for a respondent to submit a compliant submission,
c) make known to respondents the evaluation criteria, and
d) establish the manner in which the employer conducts the process of calling for expressions of interest.
This part of ISO 10845 is intended for use in procurements relating to goods, services and construction works
and certain disposals other than by auction.
NOTE 1 Annex A contains commentary on the clauses in this part of ISO 10845. Annex B provides guidance on how to
develop the submission data for a call for expressions of interest using this part of ISO 10845.
NOTE 2 ISO 10845-2 establishes the manner in which calls for expressions of interest should be formatted and
compiled. The standard conditions contained in this part of ISO 10845 can, by reference, be incorporated in procurement
documents formatted and compiled in accordance with the provisions of ISO 10845-2.
2 Terms and definitions
For the purposes of this document, the following terms and definitions apply.
2.1
conflict of interest
any situation in which someone in a position of trust has competing professional or personal interests which
make it difficult for him to fulfil his duties impartially, an individual or organization is in a position to exploit a
professional or official capacity in some way for his personal or for corporate benefit, or incompatibility or
contradictory interests exist between an employee and the organization which employs that employee
[ISO 10845-1:2010, definition 3.8]
2.2
corrupt practice
offering, giving, receiving or soliciting of anything of value to influence the action of the employer or his staff or
agents in the tender process
NOTE Adapted from ISO 10845-1:2010, definition 3.13.
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ISO 10845-4:2011(E)
2.3
employer
person or organization intending to or entering into the contract with the contractor for the provision of goods,
services, or engineering and construction works
[ISO 10845-1:2010, definition 3.17]
2.4
expression of interest
request for respondents to register their interest in undertaking a specific contract or to participate in a project
or programme and to submit their credentials so they may, in terms of the organization's procurement
procedures, be invited to submit a tender offer should they qualify or be selected to do so
[ISO 10845-1:2010, definition 3.18]
2.5
fraudulent practice
misrepresentation of the facts in order to influence the tender process, or the award of a contract arising from
a tender offer to the detriment of the employer, including collusive practices intended to establish prices at
artificial levels
NOTE Adapted from ISO 10845-1:2010, definition 3.20.
2.6
organization
company, firm, enterprise, association or other legal entity, whether incorporated or not, or a public body
[ISO 10845-1:2010, definition 3.23]
2.7
quality
totality of features and characteristics of a product or service that bears on the ability of the product or service
to satisfy stated or implied needs
[ISO 10845-1:2010, definition 3.35]
2.8
respondent
person or organization that submits an expression of interest in response to an invitation to do so
[ISO 10845-1:2010, definition 3.36]
2.9
submission data
document that establishes the respondent's obligations in responding to a call for an expression of interest
and the employer's undertakings in administering the process of calling for and receiving expressions of
interest
[ISO 10845-1:2010, definition 3.39]
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ISO 10845-4:2011(E)
3 General requirements
3.1 Actions
The employer and each respondent submitting an expression of interest shall comply with the standard
conditions for calling for an expression of interest in this part of ISO 10845. In their dealings with each other,
they shall discharge their duties and obligations, as set out in Clauses 4 and 5, in a timely manner and with
integrity, behave equitably, honestly and transparently, comply with all legal obligations and not engage in
anti-competitive practices.
The employer and the respondent and all their agents and employees involved in the submission process
shall avoid conflicts of interest and where a conflict of interest is perceived or known, declare any such conflict
of interest, indicating the nature of such conflict. Respondents shall declare any potential conflict of interest in
their submissions. Employees, agents and advisors of the employer shall declare any conflict of interest to
whoever is responsible for overseeing the procurement process at the start of any deliberations relating to the
procurement process or as soon as they become aware of such conflict, and abstain from any decisions
where such conflict exists or recuse themselves from the procurement process, as appropriate.
The respondent shall not make a submission without having a firm intention and the capacity to proceed with
the next stage of the procurement process.
NOTE 1 A conflict of interest can exist even if there are no improper acts as a result of it. This can arise due to a
conflict of roles which might provide an incentive for improper acts in some circumstances or positions. A conflict of
interest can create an appearance of impropriety that can undermine confidence in the ability of that person to act properly
in said circumstance or position.
NOTE 2 Conflicts of interest with respect to those engaged in the procurement process include direct, indirect or family
interests in the tender or outcome of the procurement process and any personal bias, inclination, obligation, allegiance or
loyalty which can in any way affect any decisions taken.
3.2 Supporting documents
The documents issued by the employer for the purpose of obtaining expressions of interest are listed in the
submission data.
3.3 Interpretation
The submission data and additional requirements contained in the submission schedules that are included in
the returnable documents are deemed to be part of the conditions for the calling for expressions of interest.
3.4 Communication and employer's agent
Each communication between the employer and a respondent shall be to or from the employer's agent only,
and in a form that can be readily read, copied and recorded, and in the language stated in the submission
data. The employer shall not take any responsibility for non-receipt of communications from or by a
respondent. The name and contact details of the employer's agent are stated in the submission data.
4 Respondent's obligations
Respondents shall comply with the following obligations.
4.1 Eligibility
Submit an expression of interest only if the respondent satisfies the eligibility criteria stated in the submission
data and if the respondent or any of the respondent's principals is not under any restriction to do business with
the employer.
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ISO 10845-4:2011(E)
4.2 Cost of submissions
Accept that the employer does not compensate respondents for any costs incurred in the preparation and
delivery of a submission.
4.3 Checking documents
Check the submission documents on receipt and notify the employer of any discrepancy or omission.
4.4 Acknowledging addenda
Acknowledge receipt of addenda to the submission documents, which the employer may issue, and, if
necessary, apply for an extension to the closing time stated in the submission data, in order to take the
addenda into account.
4.5 Clarification meetings
Attend, where required, clarification meetings, the details of which are stated in the submission data, at which
respondents may familiarize themselves with the proposed work, services or supply (and location, etc.) and
raise questions.
4.6 Seeking clarification
Request clarification of the submission documents, if necessary, by notifying the employer at least five
working days before the closing time stated in the submission data.
4.7 Making a submission
Return all returnable documents and the number of copies of such documents stated in the submission data
to the employer after completing them in their entirety, either electronically (if they were issued in electronic
format) or by writing legibly in non-erasable ink.
Seal the original and each copy of the submission as separate packages, marking the packages as
“ORIGINAL” and “COPY”. Each package shall state, on the outside, the employer's address and identification
details stated in the submission data, as well as the respondent's name and contact address.
Accept that the employer does not assume any responsibility for the misplacement or premature opening of
the submission if the outer package is not sealed and marked as stated.
4.8 Information and data to be completed
Accept that submissions which do not provide all the data or information requested, completely and in the
form required, may be regarded by the employer as being non-responsive.
4.9 Closing time
Ensure that the employer receives the submissions at the address specified in the submission data not later
than the closing time stated in the submission data. Proof of posting shall not be accepted as proof of delivery.
The employer shall not accept submissions submitted by telegraph, telex, facsimile or e-mail, unless
otherwise stated in the submission data.
Accept that, if the employer extends the closing time stated in the submission data for any reason, the
requirements of the conditions for expressions of interest apply equally to the extended deadline.
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ISO 10845-4:2011(E)
4.10 Clarification of submission
Provide clarification of a submission in response to a request to do so from the employer during the evaluation
of submissions.
5 Employer's undertakings
The employer shall carry out the following undertakings.
5.1 Responding to clarification
Respond to a request for clarification received up to five working days before the submission closing time
stated in the submission data and notify all respondents who attended the clarification meetings, if any, of
those responses.
5.2 Issuing addenda
If necessary, issue addenda that may amend or amplify the submission documents to each respondent during
the period from the date of the calling for expressions of interest until three days before the closing time for
submissions stated in the submission data. If, as a result of the issuing of addenda, it is necessary to extend
the closing time stated in the submission data, grant such extension and notify all respondents accordingly.
5.3 Late submissions
Unless otherwise stated in the submission data, return submissions received after the closing time stated in
the submission data unopened, unless it is necessary to open a submission to obtain a forwarding address, to
the respondent concerned.
5.4 Opening of submissions
Record the name of each respondent whose submission is opened and acknowledge receipt of each
submission.
Make available the names of the respondents that made submissions before the closing time for submissions
to all interested persons upon request.
5.5 Non-disclosure
Do not disclose to respondents, or to any other person not officially concerned with such processes,
information relating to the evaluation and comparison of submissions until after the evaluation process is
complete.
5.6 Grounds for rejection and disqualification
Determine whether there has been any effort by a respondent to influence the process and instantly disqualify
a respondent if it is established that he engaged in corrupt or fraudulent practices.
5.7 Test for responsiveness
Determine, upon opening and before detailed evaluation, whether each submission received
a) complies with the requirements of the conditions for the calling for expressions of interest,
b) has all the substantive provisions properly and fully completed and signed, and
c) is responsive to the other requirements of the call for expressions of interest.
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ISO 10845-4:2011(E)
5.8 Non-responsive submissions
Reject all non-responsive submissions.
5.9 Evaluation of responsive submissions
Appoint an evaluation panel of not less than three persons to evaluate submissions using the evaluation
criteria established in the submission data.
Notify the respondents of the outcome of the evaluation process within two weeks of the evaluation report
being accepted by the employer.
5.10 Providing written reasons for actions taken
Provide, upon request, written reasons to respondents for any action that is taken in applying these conditions,
but withhold information which
a) is not in the public interest to be divulged,
b) is considered to prejudice the legitimate commercial interests of respondents, or
c) might prejudice fair competition between respondents.
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ISO 10845-4:2011(E)
Annex A
(informative)

Commentary
NOTE 1 This annex includes background information on this part of ISO 10845, guidance on its use and suggestions
on good practice. The paragraphs in the commentary refer directly to the respective clauses in this part of ISO 10845, e.g.
paragraph A.1 refers to Clause 1.
NOTE 2 Calls for expressions of interest are associated with the use of the nominated and qualified procedures as
described in ISO 10845-1 in order to admit respondents to an electronic database or shortlist or pre-qualify tenderers
(or both) so that they can be invited to submit tender offers in respect of a particular procurement.
NOTE 3 Calls for expressions of interest, when used to pre-qualify or shortlist tenderers, provide the market with an
advance warning of a tendering opportunity and give respondents time to become compliant with any of the
pre-qualification criteria. They also
a) give the employer time to finalize the procurement documents and eliminate the need for advertising tenders as only
those tenderers who are shortlisted are invited to submit tender offers,
b) ensure that tenders are only invited from tenderers who potentially have the necessary capabilities and capacities to
perform the contract,
c) ensure that a manageable number of respondents are invited to submit tender offers (usually not less than three),
and
d) allow quality aspects to be evaluated in two stages or to be omitted in the evaluation of tender offers.
A.1 Commentary on scope
The purpose of this part of ISO 10845 is to standardize the procurement processes, methods and procedures
where calls for expressions of interest are made to invite respondents to
a) apply for admission to an electronic database, or
b) register their interest in undertaking a specific contract or to participate in a project or programme and to
submit their credentials so they can, in terms of the employer's procurement procedures, be invited to
submit a tender offer should they qualify or be selected to do so.
The conditions for calling for expressions of interest are, by definition, the document that establishes a
respondent's obligations in responding to a call for an expression of interest, and the employer's undertakings
in administering the process of calling for and receiving expressions of interest. These conditions, as such,
establish the rules from the time a call for an expression of interest is advertised to the time that any
submission is evaluated. They are generic in nature and are made procurement-specific through the
submission data (see Annex B).
The standard conditions are based on a procurement system that is fair, equitable, transparent, competitive
and cost-effective and, subject to an organization's procurement policy, can promote social or development
(or both) objectives; and complies with the qualitative procurement system requirements identified in
Table A.1 (see also ISO 10845-1).
The standard conditions for calling for expressions of interest are referenced in the submission data section of
procurement documents (see ISO 10845-2).
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ISO 10845-4:2011(E)
Public sector procurement is frequently governed by local and international laws. These standard conditions
for the calling for expressions of interest do not purport to cover the provisions of all such laws. Employers
need to be aware that they are responsible for the correct application of these conditions and ensuring
consistency with prevailing legislation through the provision of additional clauses, the modification of certain
provisions and the formulation of submission data. Compliance with this part of ISO 10845 cannot confer
immunity from legal obligations. If doubt exists, legal advice should be sought.
Table A.1 ─ Qualitative procurement system requirements
Goal Qualitative interpretation of goal
Fair The process of offer and acceptance is conducted impartially without bias, providing timely access to the
same information.
Terms and conditions for performing the work do not unfairly prejudice the interests of the parties.
Equitable The only grounds for not awarding a contract to a tenderer who complies with all the requirements are
“blacklisting”, lack of capability or capacity, legal impediments and conflicts of interest.
Transparent The procurement process and criteria upon which decisions are to be made are publicized. Decisions
(award and intermediate) are made publicly available together with defensible reasons for such
decisions. It is possible to verify that criteria were applied.
The requirements of procurement documents are presented in a clear, unambiguous, comprehensive
and understandable manner.
Competitive The system provides for appropriate levels of competition to ensure cost-effective and best-value
outcomes.
Cost-effective The system is standardized with sufficient flexibility to attain best-value outcomes in respect of quality,
timing and price, and least resources to effectively manage and control procurement processes.
Promotion of The system may incorporate measures to promote social and development objectives associated with a
social and preferential procurement policy subject to qualified tenderers not being excluded and deliverables or
development preferencing criteria being measurable, quanti
...