政府采购法律与政策(四):印度【转贴】

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政府采购法律与政策(四):印度

作者：曹守同 编译 发布于：2015-12-14 16:44:11 来源：美国国会图书馆网站

印度风情

　　
　　一.组织框架
　　印度有关政府采购的机构和法律框架从根本上源自该国宪法，宪法将印度联邦的行政权力都授予印度总统，总统根据其命令以及印度政府发布的各项法令，将财政权授予该国财政部。根据1949年发布、2005年修订的总财政法，这些权力逐级授予了财政部下属机关。

　　《总财政法》（GFR）由印度财政部拟定，该法规定了一般财政管理和政府采购程序的基本原则。该法第六章所含各条涉及货物和服务采购，而第八章强调了合同管理，所有政府采购行为都必须严格遵守GFR中规定的各项原则。《有关货物采购程序之政策手册》则规定了货物采购方面的指导原则。
　　印度没有规范政府采购的专门中央立法。广义的有关法令和指令包含在2005年《总财政法》和《财政权授权法》（DFPR）内，更广义的法律框架还包含在1872年《合同法》、1930年的《货物出售法》、《仲裁及限制法》以及最近的2005版《信息权法》内。

　　印度是一个联邦制国家，每个邦（包括联邦区）都有自己的采购法令、采购指南以及相应的立法体系。各邦政府和中央各类公共事业单位（CPSUs）都有自己的财政条令，这些条令是各邦根据《总财政法》的大致原则制定的。一些邦甚至引进了专门的政府采购法，比如泰米尔纳德邦和卡纳塔克邦。

　　宪法指定总检查和审计署（CAG）监督联邦和各邦的财政账户。CAG关于联邦账户的报告向印度议会各院呈报，而关于各邦账户的报告则呈报给各邦立法会的相应立法机构，这些报告当然也包括采购项目。各邦议会账目委员会（PAC）、其常委会和账目立法委员会监督财政行政权力的执行效果。为保证印度各级政府的透明度，该国成立了地方政府本地基金审计所。各地审计所的报告会呈递给各邦立法会议。

　　有关腐败的投诉和中央政府的行政监察工作是由中央监察委员会实施的，这是根据2003年通过的《中央监察法》建立的法定机关。作为联合国反腐败公约的签字国，印度还保证致力参与“对腐败零容忍”行动。



　　二.采购指南

　　根据《总财政法》规定的普遍原则衍生出的各类采购政策和法律框架的一个重要目标是保证负责、可计量、效率和经济性。这些政策还确保透明、公平、给各供应商平等待遇以及保证促进公共采购领域的竞争等。根据2006年8月31日发布的《货物采购程序和政策手册》的规定，任何公共采购，无论是购置特定品质的货物还是服务，都必须遵守公平、公正和透明基础上的价格最具竞争力原则。

　　相关政府机关约请招投标的目的是采购货物和服务。希望参与竞争的供应商，包括外国公司，到供应和分发局长处进行集中登记，提交投标书，同意提供具备所需专业要素的商品。想代表其外国制造商或代理商直接报价的印度公司也需要向相应机关注册登记，以便递交投标文书。

　　采购管理最重要的领域之一是对收到的投标文书进行评价。整个评价过程以及合同授予必须是透明的。采购办公室必须对接收到的投标文书进行摘要并做比较陈述，然后才能接受投标。所有投标者都必须根据邀请招投标的公告所列项目和条件进行逐一评估。在投标评估环节，不能加入新的条件和要求，这样就保证没有投标者享受不公正的优惠待遇。

　　如果投标审查的过程中发现任何细微的不正式、不规矩的地方，采购办公室都可能宣布投标无效，即便这不影响其他投标者。然而，所有这些同意投标或者投标无效的决定都必须由相应的招标机关加以确认。详细审查环节结束后，投标文件都被整合进一个整体报告，按照报价顺序倒序排列，这样，各个投标者的位次及其相对财务状况就一目了然了。

　　在授予最低报价投标者合同之前，采购组织必须确认其价格是合理的。这可以通过对比最近同类采购项目的合同价格、目前市场价格、原材料价格、从各种资料获得竞争性供应商的收据以及所用原材料的数量等来决定。

　　在和成功中标的投标者签订单之前，后者接到书面通知：其投标已经被接受，要在指定时间内做出供应执行保证。提交了投标书的任何单个供应商都可以进行投诉，投诉内容可以是程序不合法，或者是招投标详审等操作过程中发生的任何不合法行为。　　（本文材料由外国高级法律专家克里斯汗·尼赫拉提供）

附原文： Government Procurement Law and Policy: India

　　I. Organization Framework

　　The institutional and legal framework for procurement in India is derived from the Constitution of India.  The Constitution vests the executive powers of the Union of India in the President of India.[1]  The President, by his order, and issuance of allocation rules of the Government of India,[2] vested the financial powers of the Indian Government in the Ministry of Finance.  These powers in turn are delegated to the subordinate authorities under the 1947 General Financial Rules, which were revised in 2005.[3]

　　The General Financial Rules (GFR), developed by the Ministry of Finance, establish the principles for general financial management and procedures for government procurement.  The rules contained in chapter 6 concern the procurement of goods and services, while chapter 8 addresses contract management.  All government purchases must strictly adhere to the principles outlined in the GFRs.  The Manual on Policies and Procedures for Purchase of Goods[4] contains guidelines for the purchase of goods.

　　There is no central legislation governing procurement in India.  Comprehensive rules and directives in this regard are contained in the GFR 2005 and Delegation of Financial Powers Rules (DFPR).  A broader framework is also provided by the Contract Act, 1872,[5] the Sale of Goods Act, 1930,[6] the Law on Arbitration[7] and Limitation[8] and the recent Right to Information Act, 2005.[9]

　　As India is a union of states, each state, including the Union Territories, have their own rules, guidelines or legislation on procurement.  State governments and Central Public Sector Units (CPSUs) have their own general financial rules, which are based on the broad principles outlined in the GFR.  Some states have even introduced legislation for procurement, e.g., Ta mil Nadu and Karnataka.

　　The constitutionally appointed Comptroller and Auditor General (CAG) oversee the accounts of the Union and states.[10]  The reports of the CAG on Union accounts are presented to each house of the Indian Parliament, while those relating to the accounts of the states are presented to the legislature of each state assembly.  These reports also cover procurement.  The Parliamentary Accounts Committee (PAC), the Standing Committees and the Legislative Accounts Committees in the states oversee the functioning of the executive power. To ensure transparency in the process at each level of the Indian Government, a local fund audit for local bodies has been established.  Reports on the audits are presented to each state legislative assembly.

　　Complaints of corruption and the vigilance administration of the central government are investigated by the Central Vigilance Commission, a statutory body founded as a result of the enactment of the Central Vigilance Commission Act, 2003.[11]  As a signatory to the U.N. Convention against Corruption, internationally, India has also pledged its commitment to the zero tolerance of corruption.

　　II. Procurement Guidelines

　　One of the objectives of the various procurement policies under the framework of the general principles contained in the GFR is to ensure responsibility, accountability, efficiency and economy.  The policies also ensure the transparent, fair and equitable treatment of suppliers and the promotion of competition in public procurement.  The cardinal principle in any public buying is to procure the materials and/or services of the specified quality, at the most competitive prices in a fair, just and transparent manner, as outlined in the Manual on Policies and Procedures for purchase of Goods,[12] issued on August 31, 2006.

　　The competent authority invites tenders with a view to purchase goods and services.  Suppliers, including foreign companies, who are centrally registered with the Director General of Supplies and Disposal (DGS&D) and willing to compete, may submit tenders agreeing to supply goods of the requested specifications.  Indian agents who desire to quote directly on behalf of their foreign manufacturers/principals are also required to register themselves with the appropriate authority for submission of tenders.

　　Evaluation of the tenders received is one of the most significant areas of purchase management.  The entire process of evaluation and contract awarding must be transparent.  The Purchase Officer is required to prepare a comparative statement of quotations received, in the order in which the tenders were received.  All tenders must be evaluated solely on the terms and conditions incorporated in the invitation for tenders.  No new conditions may be added at the tender evaluation stage; in this way no bidder may have an unfair advantage.

　　If a minor informality/irregularity is found while scrutinizing the proposals, the purchase officer may waive the same provided it does not affect other bidders.  However, all such actions must be waived or approved by the competent authority.  Upon completion of the scrutiny, tenders are consolidated into a statement, in ascending order of the evaluated prices, so as to get a clear picture of their standing as well as comparative financial impact.

　　Before awarding a contract to the lowest evaluated responsive tender, the purchase organization must ensure that the price to be paid is reasonable.  This may be determined by comparing the contract price with the price last paid for such item, the current market price, the price of raw materials, receipt of competitive offers from different sources, and the quantity of materials involved.

　　Before placing an order with the successful bidder, the latter is informed in writing of the acceptance of his proposal and the time within which he is required to furnish performance security.  An individual who has submitted a tender for the contract may also complain about a grievance and be heard regarding any irregularity in procedure or otherwise which occurred while scrutiny of the tenders was being conducted.(　　Prepared by Krishan Nehra　　Senior Foreign Law Specialist)

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