日本建筑（资料图）
一.基本架构
《会计法》中规定了涉及国家级政府采购合约的基本条款。日本没有专门的采购机构。每个政府机关负责管理各自的政府采购合约，每个政府机关都有自己的合同管理条例。《地方自治法》规范了地方政府采购事宜。本文着重论述国家级政府采购。对于大宗政府采购合同，适用世界贸易组织（WTO）政府采购协议（GPA），还可以适用内阁特别命令，本报告最后部分将做出论述。
A.公开招标
根据《会计法》规定，公开招标是标准的政府采购方式。然而，当合同金额很小时，也可以避免使用公开招标。参加公开招标的公司通常需要资格预审。政府部门通常针对各种类型的招标协议公布资格预审条件，包括建筑工程、制造业和货物销售。政府机构要公布通过了资格预审的供应商名单。另外，如果有必要，根据特别采购项目性质和目的的要求，政府部门还可以对供应商进行专业资格预审。为使招标程序更有效率，2001年，日本政府统一了参加制造业和产品销售有关的招标合同供应商的资格预审程序。中央政府通过一个网站提供招投标信息、接受投标申请。
政府采购公告在官方公报（官报，日语Kanpo）和其他媒体（比如：新闻报纸）或者政府网站上发布，公示期直到开标前一天。在最近期的案例中，这个公示期可以缩短到5天。参加招标的供应商必须按照采购项目估价的5%或更多向采购机关缴纳保证金。如果参与者不能有效执行合同也能保证政府机关的利益，此情况下政府机关也可以免除投标参与者的保证金；或者当只有唯一通过资格预审的供应商能参与投标时，政府机关也可以免除所有投标参与者的保证金。
政府机关必须在招标之前确定一个“期望价格”（编者按：类似中国的“最高限价”），这个价格必须书面公布，公布文书必须放置在招标场所的显眼位置，以便投标者阅览。在政府机关为所需服务和货物付款的采购项目中，这个期望价格起到最高限价的作用；在政府机关收费的采购（拍卖）项目中，这个期望价格起到最低限价（起拍价）的作用。当期望价格作为最低起拍价的时候，投标者投出高于此期望价格的最高价者获胜；当期望价格作为最高限价时，投标者给出低于此期望价格的最低价者获胜。在后者情况下，有几种有限的情况，当采购项目是建设工程或者制造业项目，且期望价格在1000万日元（11万美元）或以上时，政府部门可以将合同授予投出第二低价格的投标者：这些情况包括（1）投标价太低，投标者可能提供不了相应品质的服务或产品，或者（2）授予该投标者合同会产生不公平或者阻碍市场公平竞争。举例来说，这种情况可能发生在一个投标者出于荣誉感（比如，被授予一个为皇家建房屋的合同是非常光荣的），投出了比合理商业价格低得多的价格时，如果按照这个价格，竞标者很可能会牺牲质量，因为他根本负担不起低价带来的损失。
当政府机关出售动产时，采购可以通过拍卖的形式进行。当政府机关的代表和投标（拍卖）优胜者达成协议后，除非合同数额很小，一般都会签署政府采购合同。签订合同双方必须缴纳合同金额的10%作为保证金。如果合同的执行确有保证，或者竞标者预先经过资格预审，保证金也可以免于支付。[!--empirenews.page--]
B.限制招标
当供应商数量有限或者公开招标对政府机关不利时，可以使用限制招标方式。在实践中，在WTO政府采购协议（GPA）在日本生效之前，公开招标方式很少使用，而限制招标在政府采购过程中通常使用。根据相关法律，那时非常有限数目的公司拥有许可证，因此，典型的情况是只有有限数量的公司参加采购。比如，当采购一架飞机的建造项目时，日本并没有很多家飞机制造商持有相关许可证。
公开招标会对有关政府机关不利的典型情况如下：
（1）竞争者私下串通；
（2）非常难以检查建筑物或货物的质量，因为它们非常特殊；以及
（3）合同内容透露将给政府事业带来严重损失。
当某政府机关因上述以外的原因采用限制招标采购方式时，该机关必须就相关事宜与大藏省（财务省）进行协商。政府机关指定可以参加限制招标的公司。类似于公开招标的资格预审程序，政府机关必须为各种类型政府采购设定可以参加投标的竞标者条件，并公布适当标准。政府机关应当公布通过了资格预审的限制招标参与竞标者的名单；如果存在如下情况，也可以不公布通过了资格预审者的名单：
如果一项限制招标项目参与者的条件要求与某公开招标项目的要求相同；
如果该类型政府采购中仅有很小采购金额需要紧急招标；或者
存在其他特殊原因。
政府机关必须设定招标标准并在招标程序中指明，还要将此标准报告给财务大臣（大藏大臣）。如有可能，各机关必须指定10个或更多可以参加限制招标的投标者。限制招标的具体程序和公开招标通常是一样的。
C.直接磋商（谈判）
当采购项目不适合竞争，或者时间紧迫无法使用其他采购方式，或者使用公开招投标方式有明显损害时，可以使用直接谈判方式。另外，如果一个招投标项目已连续失败两次，政府机关可以在招标各项条件要求框架内，与供应商进行直接谈判。如果竞标优胜者没有进入签订合同，政府机关也可以直接谈判。在政府机关与供应商进行正式谈判之前，政府机关必须和公开招标一样，事先估算出期望价格。如有可能，政府机关官员必须了解两家或以上供应商的估价。政府机关决定授予合同后，必须在书面合约上签字。
D.反串标立法
2000年，公共工程采购领域一系列贿赂和串标案件被公诸于众之后，国会（日本的众议院）通过了《公共建设工程投标及合同适正化促进法》，该法案同时规范国家和地方的公共工程采购。法案更加强调公共工程信息公开，并为公共工程采购设定了指导原则。2002年，《排除和禁止政府官员卷入串标法》得以通过，该法对策动、帮助或合作进行串标的政府官员进行惩罚，包括监禁等。
E.中小企业
《中小企业基本法》规定，中央政府采取措施，通过向中小企业提供更多政府采购机会的方式，增加中小企业的商业机会。在这部法律的基础上，经济产业省起草了《确保中小企业获取政府和公共实体订单法案》，要求政府机关制定有利于中小企业获取政府合同的政策。这个法案实施以后，政府每年都会发布关于中小企业获取政府合同的指导目录。在每个财政年度结束时，每个政府机关都必须汇报与中小企业签订合同的情况。[!--empirenews.page--]
二.采购本国产品的要求
日本没有采购本国产品的特别要求。
三.豁免行业
日本没有豁免于《会计法》之外的产业门类。
四.与世贸组织指导原则的结合
日本是关贸总协定（GATT）政府采购协议（GPA）成员方，因而也成为WTO政府采购协议（GPA）成员方。政府发布了内阁令和部长条例，以实施该协议。国家级政府采购项目适用《促进政府采购特定产品或专业服务的内阁令》，该内阁令为迎合WTO协议的需要，对《有关预算、结算和会计的内阁令》做出了例外规定。地方政府采购适用《促进地方政府实体采购特定产品或专业服务的内阁令》。当政府采购项目的估价达到或超过日本在该协定的附录1中规定的相应门槛价时，适用GPA规定。防务省的采购或涉及国家安全的采购项目排除在协议和这些内阁令适用范围之外。
《促进政府采购特定产品或专业服务的内阁令》规范外国供应商参加政府采购招投标事宜。在财政年度开始时，每个政府机关都被要求公布预先进行资格审查的广告，每年都会进行几次资格预审。公开招标的公告必须在招标之前至少40天发布，在紧急情况下可以缩短为10天。根据下文介绍的“政府行动计划”，40天的最短公示期增加到了50天。在限制招标的情况下，除了超级计算机、电信、医疗技术和非研究开发目的卫星采购项目的需求论证和公示期为40天以外，一般最低公示期为20天。根据GPA定义的情况，某些适用GPA条款的采购项目可以使用直接谈判的采购方式。内阁令要求根据《会计法》应用直接谈判采购方式的项目要与WTO协议衔接一致。
除了内阁令要求政府采购实施GPA，日本政府还自发扩大了国外公司进入政府采购程序的入口。日本试图为国外供应商扩大市场准入，比1985年通过的“提高市场准入行动计划”中关贸总协定要求的市场入口更大。1985年的行动计划规定了6大领域的行动，包括海关、进口限制以及政府采购等。行动计划实施推进委员会管理该项目的进程，其中三个项目已于1988年完成实施。委员会继续监督剩余其他三个项目，包括标准和认证、进口程序以及政府采购等。
1991年，委员会制订了《政府采购安排方案》，该方案包括财年初的预审公告、公告期的延长等等以及其他安排。日本政府还通过降低关贸协定签署初期制定的应用政府采购的预估门槛价，扩大了GPA要求的范围。
自从1993年公共工程领域很多串标案件浮出水面，以及面临来自美国方面要求提高政府采购公平性的压力，委员会于1994年制定通过了《政府采购相关行动计划和政府采购货物指导方案》。1995年GPA生效前夕，该委员会又进一步通过了旨在与该协议相接轨的《政府采购服务指导方案》。这些指导方案的目标是提高政府采购程序的透明、公平和竞争性，以及改进公告方式方法。指导方案创设了政府采购监督委员会，接受一定门槛价以上的中央政府机关采购项目的有关投诉。总之，日本立法向外国开放其政府采购市场的程度比WTO协议的规定更大。（本材料由外国高级法律专家梅田百合子提供） [!--empirenews.page--]
附原文：Government Procurement Law and Policy: Japan
I. Basic Framework
The Accounts Law[1] contains the basic provisions concerning national government procurement agreements. There are no specialized procurement bodies in Japan. Each government agency administers its own procurement agreement.[2] Each agency has its own contract administrative rules. The Local Autonomy Law[3] regulates local government procurement. This article focuses on the national government procurement. For large government contracts, the World Trade Organization (WTO) Agreement on Government Procurement is applied, and special Cabinet Orders are applied, as stated in the last part of this report.
A. Open Tendering
Under the Accounts Law, open tendering is the standard method of government procurement.[4] When the contract value is small, however, open tendering can be avoided.[5] Prequalification is generally required to participate in tendering. Government agencies publish the conditions for prequalification for each type of agreement, i.e. construction, manufacturing, and sales of goods.[6] Agencies publish the list of prequalified suppliers.[7] In addition, agencies can require prequalification for specific procurement if it is necessary because of the nature and the purpose of the procurement.[8] In order to make the tendering process more efficient, in 2001, the national government unified the qualifications for participating in tendering contracts that relates to the manufacture and sale of products. The national government provides information and accepts application through a website.[9]
Government procurement opportunities are advertised in the official gazette (Kanpo) and other media (e.g. newspapers) as well as government websites,[10] until ten days before the open tendering. In urgent cases, this advertisement period can be shortened to five days.[11] Participants in a tender must deposit 5% or more of their estimated price of the procurement with the procuring agency.[12] The government agencies can exempt the deposit requirement from a participant if the participant has insurance that provides that the government agency is a beneficiary when the participant fails to perform the agreement, or may exempt all participants from the deposit requirement when only qualified participants can participate in the tender.[13]
A government agency must set an “expected price” before the tender, write that price on a paper, and place the paper at the place of the tender in such a way that the price is invisible.[14] With a procurement that requires that government agency pay for service or goods, the expected price operates as the maximum price. For a procurement where a government agency receives money, the expected price operates as the minimum price.[15] When the expected price operates as the minimum price, the participant who tendered highest price above the expected price is the winner. When the expected price operates as the maximum price, the participant who tendered the lowest price below the expected price is the winner.[16] In the case of the latter, in limited cases when the procurement is regarding construction or manufacturing and the expected price is 10 million yen (US$ 110,000) or more, the government agency can award the participant who tendered the second lowest price.[17] These cases are: (1) when the price is too low, so that it is expected that the participant cannot provide the quality of service or products; or (2) it is unfair to award the contract to the participant and the awarding would obstruct fair trade practices.[18] This may occur, for example, when the participant has tendered a much lower price than the reasonable commercial price for the honor (i.e. it is very honorable to be awarded a contract for imperial house construction), but it is expected that the participant will not sacrifice the quality because the participant can afford the loss.[19]
When a government agency sells movable property, the procurement may be done through auction.[20] The government procurement agreement is made when the agency representative and the winner sign the agreement unless the contract amount is small.[21] The contractor must submit 10 % of the contract amount as a deposit.[22] Payment of the deposit can be exempted in cases where the contractor has an insurance or where tender participants were pre qualified.[23]
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B. Restricted Tendering
Restricted tendering may be used when there are only a limited number of suppliers or when there would be a disadvantage to the government have an open tendering.[24] In reality, open tendering has been rarely used, and restricted tendering has generally been used for government procurement, that is until the WTO Agreement on Government Procurement became effective in Japan.[25] A limited number of supplier exists typically where a limited number of firms have a license under the relevant law. For example, when the procurement concerns the manufacture of an airplane, there are not very many licensed airplane manufacturers in Japan.[26] Typical indicating the existence of disadvantages to have an open tendering are:
(1) Some competitors conspire;
(2) Extreme difficulty in examining the quality of buildings or goods because they are very special; and,
(3) A breach of the contract will cause severe damage to the government undertaking.[27]
When an agency has restricted tendering for reasons other than those listed above, the agency must discuss the matter with the Minister of Finance.[28] Agencies designate those who may be participants in restricted tendering. Similar to prequalification for open tendering, agencies must establish the conditions which will apply to the participants in a restricted tendering and publish the applicable conditions for each type of agreement.[29] While agencies are required to publish the list of qualified suppliers for restricted tendering the agency is not required to publish the list of suppliers where one of the following situations exist:
If the conditions for the participants in an open tender and restricted tender are the same;
If only a small amount of procurement occurs for the type of procurement needed for the agency; or,
If there is any other special reason.[30]
Agencies must establish the standards that it would designate at a tendering and report those standards to the Minister of Finance.[31] Agencies must designate ten or more restricted tendering participants, if possible.[32] The procedures for restricted tendering are generally the same as open tendering.[33]
C. Direct Negotiation
When the procurement is not suitable for competition, when severe time constraints render other methods impractical, or when there is a disadvantage to having an open tendering, direct negotiation may be used.[34] Additionally, when tendering has been unsuccessful twice, an agency may negotiate directly with a supplier within the framework of conditions of the tendering.[35] An agency may also negotiate directly when a winner of a tendering did not enter into a contract.[36] Before an agency official negotiates with a supplier, the agency must estimate the expected price in the same way it does before tendering.[37] An agency officer must have two or more suppliers’ estimates, if possible.[38] After the agency determines the contractor, a written agreement is signed.[39]
D. Anti-Bid-Rigging Legislation
After many bribery and bid-rigging cases concerning public works procurement became public, in 2000, the Diet (Japanese Parliament) passed the Act for Promoting Properness of Bidding and Contracting in Public Works.[40] This Act regulates both national and local public work procurement. This Act made additional public works information public and established guidelines on public works procurement. In 2002, the Act Concerning Exclusion and Prevention of Bid Rigging Involving Government Officials was enacted.[41] The Act introduced penalties, including imprisonment, for government officials who initiate, assist, or coordinate bid rigging.
E. Small and Medium-Sized Enterprises
The Small and Medium-sized Enterprises Basic Law provides that the national government must take measures to increase the opportunities for small and medium-sized enterprises to be awarded government procurement contracts.[42] Based on this Law, the Act to Secure Small and Medium-sized Enterprises to Receive Orders from Government and Public Entities requires the government to determine government contract policies concerning small and medium-sized enterprises, which must be drafted by the Ministry of Economy, Trade and Industry.[43] Each year since the enactment of this Act the government has released the Guidelines on Government Contracts Concerning Small and Medium-sized Enterprises.[44] At the end of the fiscal year, each government agency must report regarding contracts with small and medium-sized enterprises.[45][!--empirenews.page--]
II. Domestic Sourcing Requirements
There is no particular requirement in Japan for domestic sourcing.
III. Exempted Industries
No industry in Japan is exempted from application of the Accounts Law.
IV. Cohesion With World Trade Organization Guidelines
Japan was a party to the GATT Agreement on Government Procurement, and is a party to the WTO Agreement on Government Procurement. The government issued cabinet orders and ministerial ordinances to implement the Agreement. National government procurement is governed by the Cabinet Order Stipulating Special Procedures for Government Procurement of Products or Specified Services.[46] This Cabinet Order created exceptions to the Cabinet Order Concerning the Budget, Settlement of Account and Accounting[47] in order to meet the WTO Agreement requirements. Local government procurement is governed by the Cabinet Order Stipulating Special Procedures for Government Procurement of Products and Specified Services in Local Government Entities.[48] The WTO Agreement on Government Procurement is applied to government procurement where the estimated value is the relevant threshold or more that is specified in Japan’s Appendix 1 to the Agreement. Procurements of the Ministry of Defense or government procurements that involve national secret are excluded from the application of the WTO Agreement and this Order.[49]
The Cabinet Order Stipulating Special Procedures for Government Procurement of Products or Specified Services facilitates the participation of foreign suppliers in government procurement tendering. Requirements for prequalification are advertised at the beginning of the fiscal year by each agency, and a prequalification examination is done any time.[50] Advertisement of open tendering procurement is done at least forty days before the tendering, though this can be reduced to ten days in case of urgency.[51] The 40 day minimum advertisement period was extended to 50 days by the Government Action Program that is explained below. In case of restricted tendering, the period for minimum advertisement is 20 days, except for procurement in the field of supercomputers, telecommunications, medical technology and satellites not for research and development purpose. These procurements require an advertisement period of 40 days. Direct negotiation can be used for procurement under the WTO Government Procurement Agreement in situations defined in the Agreement. The Cabinet Order requires the direct negotiation that is available under the Accounts Law and regulations in conformity with the WTO Agreement.[52]
In addition to the Cabinet Order which implemented the WTO Agreement on Government Procurement, the Japanese government has voluntarily improved the access that foreign suppliers have to the government procurement process. Japan tried to open access for foreign suppliers to more than those contained in the GATT requirements by enacting the Action Program to Improve Market Access in 1985. The Action Program had programs in six areas, which included customs, import restrictions, and government procurement. The Action Program Implementation Promotion Committee monitored the progress of the programs, and implementation of the programs was completed in 1988.[53][!--empirenews.page--]
The Committee continued to review three areas of programs; standards and certifications, import process, and government procurement. In 1991, the Committee adopted the Arrangement on Government Procurement. This Arrangement included requirements concerning beginning of fiscal year advertisement, extension of advertisement period, among others.[54] The government also expanded the scope of government procurement required by the GATT Agreement by lowering the threshold estimated value of applicable procurement that the GATT Agreement assigned.[55]
After many bid-rigging cases of public works surfaced in 1993 and pressure came from the United States to improve fairness of government procurement, the Committee adopted the Action Program Concerning Government Procurement and the Guidelines on Government Procurement on Goods in 1994.[56] Further, the Committee adopted the Guidelines on Government Procurement on Services in conformity with the WTO Agreement in 1995, just before the WTO Agreement became effective. The goal of these guidelines was to increase the clarity, fairness and competitiveness of the government procurement procedure, and improve advertisement methods. The Guidelines created the Government Procurement Review Board to hear complaints about procurement over a certain threshold by central government agencies.[57] Overall, Japanese regulations opened government procurement for foreign suppliers more than that required by the WTO Agreement.
Prepared by Sayuri Umeda
Senior Foreign Law Specialist
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