政府采购法律政策(一):巴西【转贴】

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政府采购法律政策(一):巴西

作者：曹守同 编译 发布于：2015-11-05 15:14:08 来源：美国国会图书馆www.loc.gov/

1.引言
　　本报告探讨应用于巴西政府合同的法律法规，尤其是规范政府采购的有关法律。 报告提供了（巴西）希望参与政府招投标程序的公司和个人必须遵守的宪法准则和必要法律、支持国货的宪法条款以及应用于各种不同产业领域的补充采购条例。

　　II. 世界贸易组织（WTO）

（巴西风光，资料图）

　　巴西并非世贸组织多边政府采购协议（GPA）成员国，该协议的目的是面向国际竞争开放政府采购，其设计目的是建立一套规范政府采购以使其更透明的机制，以便外国竞争者确保在国际市场上获得公平待遇和平等准入。

　　III.宪法准则

　　A.立法权
　　1988年巴西宪法第22章第（XXVII）款规定，对于所有类型的公共招投标和合同的普通规则，联邦拥有最高立法权，不管何种形式，对于直属公共机构、公共公司以及联邦、各州、联邦区和直辖市的各种基金，按照该宪法规定可以适用第37章第（XXI）款，对于公共公司和混合资本公司，可以适用该宪法第173章第一节第（III）款。

　　B.公共投标
　　第37章第（XXI）款规定，除非法律规定的特别情况，公共工程、服务、货物采购和产权转移都必须通过公共招标程序订立合同，以保证对所有投标者一视同仁，而且必须附有建立支付义务的条款。必须保证投标环境的有效性，法律规定，只有确保履行义务的必要的技术和经济限制允许出现在资格要求中。

　　依照宪法第173章规定，除该宪法规定的例外情况，州只有在国家安全和法律界定的相关集体利益攸关时，才有权对公司经济活动进行直接调查。

　　另外，法律规定必须为参与如下经济活动的公共公司、合资公司以及它们的子公司建立法律规范：生产或经销货物或者服务，除其他外，参与公共工程、服务、购买货物以及产权转移方面的投标和契约行为，必须遵守公共管理各项规章。

　　C.特许和许可
　　宪法第175章特别规定，政府有责任提供公共事业服务，或直接提供，或通过特许和许可进行，但都必须经由公共招标获取。

　　D.国货
　　该宪法第170章第（IX）款规定，经济只需建立在尊重劳工、公司自由等价值观的基础上，目的是保证每个人有尊严的存在，根据必须遵守的社会公正原则，除其他领域以外，根据巴西法律，在该国境内建立总部并经营业务的小企业获得相应同等待遇。

　　而且，根据宪法第219章，国内市场是民族继承物的一部分，根据联邦法律规定，必须有助于本国文化、社会和经济发展、国民福利和国家的技术进步等。

　　IV相关法规

　　根据宪法第37章规定，1993年7月21日通过的8666号法令进行了具体细化。但8666号法令不适用于货物和服务形式的电脑和自动化有关采购，电脑软件、特定数码电子化装备或无限通讯设备的采购由1991年10月23日通过的8248号法令规范，该法令在2001年1月11日由10176号法令做出补充修订。

　　特许和许可由1995年2月13日通过的8987号法令进行规范。石油产业由1997年8月6日通过的9478号法令规范，它规定政府控制的石油公司-巴西石油（PETROBRáS）获取货物或服务的合同，必须实现经过一个简化的招标程序，该程序由1998年8月24日通过的2745号法令具体规定。


　　A.1993年7月21日的8666号法令

　　8666号法令是巴西规范政府采购的重要法律规范，该法确定了公共工程、服务方面公共招标和行政合同的普遍规则，包括联邦、各州、联邦区和直辖市范围内的公共事务、所有权转移和租借等。

　　B.适用范围

　　8666号法令适用于所有直属政府机关、特别基金、公共基金会、公共公司、混合所有制公司以及联邦、各州、联邦区和直辖市直接或间接控制的其他实体。

　　C.投标规则

　　公共招标的设计目的是确保与宪法的平等原则协调一致，选择对公共行政最有好处的投标，招标过程和结果必须严格遵守在法律、责任、道德、平等、公开、管理诚信、与招标公告一致以及评价客观等基础上形成的基本准则。

　　D.对公共代理机构加以限制

　　公共代理机构不允许在其招标公告中接受、解释、包含或容忍妥协折中、限制或阻碍其竞争特性的条款或条件；根据投标人的诞生地、总部所在地或永久居住地或其他与合同的特定目的无关的环境要素，设置优先照顾或者歧视；或者在巴西公司和外国公司之间，设置商业的、法律的、劳工、社会保险或任何其他性质的区别待遇，包括通用货币、付款方式和支付地点，甚至所涉及国际公司财务状况等内容，除非有8555号法令第三章第二节或者10月23日的8248号法令第三章所规定的特殊情况。

　　E.优先权

　　关于公共投标过程中投标者和同等环境之间的联系，顺次将给予巴西民族资本公司所生产的产品或提供的服务以优先权；还给予在巴西投资研究和技术发展的公司生产或提供的产品以优先权。

　　F.定义

　　8666号法令对执行公共招标程序的采购活动的集中情况、步骤等给出了详尽定义，包括什么被视为公共工程。公共服务、物资采购和所有权转移等；严禁直接或间接干扰投标程序；依法处置公共工程和服务的模式；技术和特定的专业服务；所有权的获得和转移等。

　　G.公告

　　8666号法令第21章规定，所有含有公共招投标信息的通知必须在官方公报（该州或地方联邦公报）以及发行量较大的报纸上进行公布。另外，投标公告必须写明感兴趣的投标者可以获取公告全复印件的地点，以及在各种不同的招投标方式下获取投标机会的最短期限。

　　H.投标方式

　　投标方式包括公开招标（公开投标）；询价；邀请招标；竞争性谈判以及拍卖。第22章的1-6段定义了每种招标方式。公开招标、询价和邀请招标都是根据将来签订合同估算的价值而决定的。

　　I.例外

　　8666号法令的第24章列举了公共投标中的例外情形，第25章规定了在那些情况下，不需要进行公共招标，因为竞争性的投标并不可行。

　　J.必要条件

　　投标者必须在该国合法成立或者有合法代理，有资格参与公共招标程序，签订政府合同。为参与公共招标程序必须仅仅呈交关于其合法地位的文件；技术资质证明；经济和财务资质证明；纳税情况说明以及与联邦宪法第7章第（XXXIII）款规定相一致的证明材料。

　　8666号法令的第28章专门规定了证明其合法地位的文件内容。有关纳税方面的证明文件在第29章中列出，第30章和31章分别处理有关技术和财务状况方面的证明文件。

　　K.文件

　　各种资质证明文件必须在招投标开始时递交，可以通过指定的登记官员或公务员公证拷贝，或者在官方媒体上进行公布。

　　当参加国际竞标时，不在国内经营业务的外国公司必须尽可能地符合8666号法令第32章各条款的规定。要求提交同类文件，由各自的领事证明真实性，并由官方翻译译出，公司必须在巴西有合法代理机构，获得正式授权可以接受服务并正式、合法地代表该公司。

　　L.合资企业

　　如果公共招标者允许企业团体（合资企业）参加竞标，以下规则是必须遵守的：

　　组成合资企业的公共或者私人承诺证明，参加方各企业必须签字证明；

　　能够代表在巴西营业的合资企业的公司经营方略必须与公共招标公告最初设立的招标目的相契合。

　　根据8666号法令第38章的规定，在巴西公司和外国公司形成的合资企业中，巴西公司必须居于领导地位；而且

　　在与政府签订合同之前，竞标成功的目的必须是有助于推动合资企业的形成和注册。这是8666号法令第33章第（I）节的规定所决定的。

　　V.结论

　　宪法准备规定政府采购必须通过联邦法律设定的公开招标程序，国货受到法律保护；巴西本土小企业享受优惠待遇；国内市场被认为是国家民族继承物的一部分。一些产业由特殊条款加以规范，但是没有政府实体免于公开招标程序。

　　联邦立法决定公开招标程序及其不同形式和方式、适用范围以及限制、例外情况和豁免。对于政府更有利的投标被给予合同。然而，如果发生竞争，巴西本土货物和服务被给予优惠。

　　与宪法原则相一致，巴西没有签署世界贸易组织多边政府采购协议（GPA）。然而，外国公司可以参加公开竞标程序并获得政府合同，只要它们在该国合法设立或有合法代表。

美国国会图书馆

附原文：
Government Procurement Law and Policy: Brazil
　
　　I. Introduction

　　This report discusses the Brazilian laws that apply to government contracts, more specifically the law that regulates government procurement.  The report provides the constitutional principles and statutory requirements that must be followed by people and companies who want to participate in government bidding processes, constitutional principles supporting domestic sourcing, and additional procurement regulations applicable to different industries.


　　II. World Trade Organization

　　Brazil is not a party to the World Trade Organization Plurilateral Agreement on Government Procurement.  The purpose of the agreement was to open government purchases to international competition[1] and was designed to make the instruments that regulate government procurement more transparent, so that foreign competitors can be assured fair treatment and equal access to international markets.[2]

　　III. Constitutional Principles

　　A. Power to Legislate

　　Article 22（XXVII） of the Brazilian Constitution of 1988 determines that the Union has exclusive power to legislate with respect to the general rules for all types of public tenders and contracts, in all of their forms, for the direct public administration, public companies, and foundations of the Union, states, Federal District, and municipalities, provided that the requirements of Article 37（XXI） of the Constitution are observed, and for public companies and mixed-capital companies, as provided for in Article 173（§1）（III） of the Constitution.[3]

　　B. Public Bidding

　　Section XXI of Article 37 states that, except for cases specified by law, public works, services, purchases, and transfers of ownership must be contracted through a process of public tender that assures equal conditions for all bidders, with clauses that establish payment obligations.  The effective conditions of the bid must be maintained, as provided by law, which may only allow requirements for technical and economic qualifications essential to secure performance of the obligations.[4]

　　Pursuant to Article 173, with the exception of the cases provided for in the Constitution, direct exploration of an economic activity by the State must only be permitted when necessary for the imperatives of national security or a relevant collective interest, as defined by law.[5]

　　In addition, the law must establish the legal regime of public companies, mixed-capital companies, and their subsidiaries that engage in economic activities of production or marketing of goods or services, dealing, inter alia, with[6] bidding and contracting of public works, services, purchases, and transfers of ownership, which must observe the principles of public administration.[7]

　　C. Concessions and Permits

　　Article 175 of the Constitution specifies that the government is responsible for providing public utility services, either directly or under a regime of concession or permission, which must always be done through public tender.[8]

　　D. Domestic Sourcing

　　Article 170（IX） of the Constitution, determines that the economic order is founded on the appreciation of the value of human labor and free enterprise and is intended to assure to everyone a dignified existence, according to the principles of social justice, which must observe, inter alia, preferential treatment for small companies organized under Brazilian law that have their headquarters and management in the country.[9]

　　Furthermore, according to Article 219 of the Constitution, the domestic market is part of the national patrimony and must be encouraged to enable the cultural, social and economic development, the well-being of the population and the technological autonomy of the country, as provided by federal law.[10]

　　IV. Regulation

　　Article 37 of the Constitution is regulated by Law No. 8,666 of June 21, 1993.[11]  Law No. 8,666 does not apply to the purchase of computers and automation either in the form of goods or services, computer software, specific digital electronic equipment or telecommunications equipment, which are regulated by Law No. 8,248 of October 23, 1991,[12] as amended by Law No. 10,176 of January 11, 2001.[13]

　　Concessions and permissions are regulated by Law No. 8,987 of February 13, 1995.[14]  The petroleum industry is regulated by Law No. 9,478 of August 6 1997,[15] which determines that the contracts for the acquisition of goods and services of the government-controlled petroleum company, PETROBRáS, must be preceded by a simplified tender process, which is regulated by Decree No. 2,745 of August 24, 1998.[16]

　　A. Law No. 8,666 of June 21, 1993

　　Law No. 8,666 is the main law regulating government procurement in Brazil.  The Law establishes the general rules for public tenders and administrative contracts regarding public works, services including publicity, transfers of ownership, and leasing within the ambit of the Union, states, Federal District, and municipalities.[17]

　　B. Applicability

　　Law No. 8,666 is applicable to all organs of the direct administration, special funds, public foundations, public companies, mixed-capital companies, and other entities that are directly or indirectly controlled by the Union, states, Federal District, and municipalities.[18]

　　C. Bidding Principle

　　Public tender was designed to ensure compliance with the constitutional principle of equality and to select the proposal most advantageous to the public administration and must be processed and judged in strict conformity with the basic principles of legality, anonymity, morality, equality, publicity, administrative probity, adherence to the tender announcement, and to its objective judgment.[19]

　　D. Restrictions Imposed on Public Agents

　　Public agents are not allowed to[20] accept, anticipate, include, or tolerate in the tender announcements clauses or conditions that compromise, restrict, or frustrate its competitive character; set preferences or distinctions by reason of place of birth, place of headquarters, or domicile of the bidders or any other circumstance irrelevant to the specific object of the contract;[21] or establish differential treatment of commercial, legal, labor, social security, or of any other nature, between Brazilian and foreign companies, including currency, mode, and place of payment, even when financing of international agencies is involved, except as provided in Article 3（§2） of Law No. 8,666 and Article 3 of Law No. 8,248 of October 23, 1991.[22]

　　E. Preference

　　In case of a tie between bidders in identical conditions during the public tender process, preference will be given, successively, to goods and services that are[23] produced or rendered by Brazilian companies of national capital;[24] produced in the country;[25] produced or rendered by Brazilian companies;[26] and produced or provided by companies that invest in research and technology development in Brazil.[27]

　　F. Definitions

　　Law No. 8,666 provides detailed definitions of several situations, steps, and procedures encompassed by the public tender process, including what is considered to be public works, services, purchases, and transfers of ownership;[28] prohibitions of direct or indirect participation in bidding processes;[29] modes of execution of public works and services;[30] technical and specialized professional services;[31] acquisitions[32] and transfer of ownership.[33]

　　G. Publication

　　Article 21 of Law No. 8,666 mandates that all notices with a summary of the public tenders must be published in the Official Gazettes （Diário Oficial da Uni?o, Diário Oficial do Estado ou do Distrito Federal） and in newspapers with a large circulation.[34]  In addition, the bidding announcement must indicate the place where the interested bidders may obtain a full copy of the bidding announcement[35] and the minimum period of time for the receipt of proposals in the many different modes of bidding.[36]

　　H. Bidding Modes

　　Bidding modes include bidding （concorrência）；[37] pricing （tomada de pre?os）；[38] invitation;[39] contest;[40] and auction.[41]  Paragraphs 1 to 6 of Article 22 define each bidding mode.  Bidding, pricing, and invitations are determined according to the estimated value of the future contract.[42]

　　I. Exemptions

　　Article 24 of Law No. 8,666 lists the situations that are exempt from public tender and Article 25 identifies the situations in which a public tender is not required because competitive bidding is not viable.

　　J. Requirements

　　Bidders must be legally established or represented in the country in order to qualify for participation in public tender processes for government contracts.  In order to participate in a public tender process, the interested parties must only present documentation regarding[43] legal authorization;[44] technical qualification;[45] economic and financial qualification;[46] tax compliance;[47] and compliance with the provisions of Article 7（XXXIII） of the Federal Constitution.[48]

　　Article 28 of Law No. 8,666 specifies the documentation required to prove legal authorization.  Documentation regarding tax compliance is listed in Article 29, and Article 30 and 31 deal respectively with documentation regarding technical and financial qualifications.

　　K. Documentation

　　The documentation required for qualification may be submitted in the original, by any means of copy notarized by a competent registrar office or civil servant, or by publication in the official press.[49]

　　When participating in international bidding, foreign companies that do not operate in the country must comply, as much as possible, with the provisions of Article 32 of Law No. 8,666 through similar documents, authenticated by the respective consulates and translated by an official translator, and must have legal representation in Brazil expressly authorized to receive service and to respond administratively or judicially.[50]

　　L. Joint Ventures

　　When the public tender allows the participation of companies in consortia （joint ventures）， the following rules must be observed:[51]

　　Proof of a public or private compromise to form a joint venture, which must be signed by the participating companies;[52]

　　Indication of the company that will be responsible for the joint venture in Brazil, which must meet the conditions of leadership as established in the public tender notice;[53]

　　In the joint venture of Brazilian companies and foreign companies, the leadership must necessarily be exercised by the Brazilian company, subject to the provisions of Article 33（II） of Law No. 8,666;[54] and

　　The winning bidder is obliged to promote, before the formation of the contract with the government, the formation and registration of the joint venture, in accordance with the compromise referred to in Article 33（I） of Law No. 8,666.[55]



　　V. Concluding Remarks

　　Domestic sourcing is justified under the Constitutional principles that determine that government procurement must be done through public tenders that are regulated by federal law; that small Brazilian companies enjoy preferential treatment; and that the domestic market is considered to be part of the national patrimony.  A few industries are regulated by specific norms, but no government entity is exempt from a public tender process.

　　Federal regulation defines the public tender process and its various modes and formats, its applicability, and its restrictions, exceptions, and exemptions.  The proposal that is more beneficial to the government is awarded the contract.  However, if a tie occurs, Brazilian goods and services are given preference.

　　Aligned with constitutional principles, Brazil did not sign the World Trade Organization Plurilateral Agreement on Government Procurement.  Nonetheless, foreign companies may participate in the bidding process for government contracts as long as they are legally established or represented in the country.




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