俄罗斯人千方百计保护采购国产货
但效果不理想
一.采购体系基本原则
（俄罗斯）94号联邦法，即2005年7月21日通过的《为国家和各市需求购置货物、工程和服务的订货法》（以下简称订货法），是俄罗斯联邦规范政府合同和采购系统的主要文件。该法自2006年1月1日实施以来，已经修改过18次，从而创建了全国范围统一的采购体系。该法还建立了全联邦、各省和市级采购委托代理机构，授权他们缔结由联邦、省级和市级支付的相应采购合同。根据该法规定，政府合同要满足俄罗斯联邦及其组成部分的需要，包括国防、安全和其他重要政府职能领域，合同的缔结还要适应国际、联邦和省级项目计划实施的需要。政府机构对货物和履行职能所必需的服务之需求，都在联邦需求中统一考虑，并通过政府合同加以涵盖。
俄罗斯采购系统包括如下要素：明确政府需求、产生订货单并进行排序处理、缔结政府（采购）合同以及完成合同履约。当合同金额低于俄罗斯中央银行设定的合法实体之间最低转账限制标准时，可以不适用该法规定。
这部法律规范与合同的授予和签订有关的问题。合同的起草和执行遵循《俄联邦民法和预算法典》的原则。政府采购政策和实务都必须遵守《竞争和限制垄断行为联邦法》的条款，在联邦反托拉斯局下设立的一个特别部门负责在政府采购领域执行“订货法”。
在处理合同工程中违反上述程序是一种行政违法行为，将被处以相当于200个月最低劳动工资数额的罚款（大约3万美元）。如果政府采购人拖延交款，合同人可以要求按未付金额收取利息。
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二.合同程序
订货法专门规定了政府合同公告和授予的方式，包括：
公开投标；
竞标拍卖，包括电子化方式；
邀请招标；
向单一供应商授予合同；以及
如果合同价格超过500万卢布（约合17万美元），可以向商业交易所发出订货。
为了获得节省预算的效果，同一个政府用户对同种货物或服务的多次订货可以同时操作。绝大多数情况下，招标邀请和竞标/拍卖都必须是公开的。当合同要求所供货物、工程的建设、服务、信息的提供等被定义为涉密时，允许进行闭门拍卖（秘密竞标）。
公开招标和竞标/拍卖的区别是，当宣布邀请进行公开招标时，合同必须授予承诺以最好条件履行合同的竞标者；而竞标拍卖方式下，合同将授予报出最低合同价的匿名竞标/拍卖者。从2010年1月1日起，除了要求合同授予最低价投标者之外，对合同方的资格审查也被认为是授予合同的重要因素。在建筑工程项目中，对合同人设立了特别的资格审查要求。供应商要参加竞标拍卖，必须有至少五年在同类工程领域的从业经历，并证明其先前投标的项目，至少30%的合同是在特定工地完成的。
邀请招标的政府机关要在其网站公布授予合同的招标意向，优胜者应当是报出最低价的合同竞争者。这类公告在诸如合同期限及其金额等方面有严格限制，金额不得超过每包一万美元，这种方式通常用于为驻外的政府组织提供服务。
如下情况下，合同可以授予单一竞标者：
当合同属于自然垄断行业时（编者注：自然垄断指一种产品或一种服务的生产全部交给一家垄断企业经营时，对全社会来说总成本最低）；
政府需要获得文化价值；
合同竞争者拥有提供所需货物、工程或服务的排他经营权；以及
合同所需工程建设与军事动员活动有关。
在一些情况下，政府合同可以不经竞争授予（某些公司）。如果耗时过长的程序可能产生消极影响，例如因环境不可抗力降低产出，紧急医疗干预需求采购等情况下，允许绕过上述法律规定。
2009年12月，俄联邦制订了一个货物、服务和工程的清单，从2010年1月1日起，政府部门消费者采购这些项目只能通过网上公开竞标拍卖程序。目前，这个清单包括建筑合同，与药品、食品和办公设备的供应有关的合同。从2010年7月1日起，所有传统竞标、拍卖程序都已禁止，所有招投标、拍卖都必须无一例外在线操作。对省级和市级的客户，这项规定从2011年1月1日起进入实施。可望所有政府合同的70%将通过网上招投标拍卖系统产生，剩余的30%将通过公开的投标邀请授予（主要是那些有关研究项目、机械工程、建筑设计和医疗服务方面的合同）。
三.政府采购信息的获得
最初，订货法要求政府需求公告要在有采购需求的机关网站和正式出版物上发布，所谓正式出版物是指联邦经济发展部指定的一份报纸。公告的发布时间不得晚于竞标/投标密封文件解封公开前30天。政府应当同步在报纸上和网站上发布有关合同的公告。从2008年1月1日起，取消了在联邦大众传媒（俄罗斯电台、电视台等）上发布政府合同公告有关信息的要求，查阅所有政府采购合同可用信息的唯一官方来源就是俄罗斯联邦经济发展部管理的联邦在线信息港。这个信息港发布联邦、省级和市级政府机关授予的合同的所有相关信息，从2011年1月1日起，在俄罗斯联邦各地大众传媒发布政府采购信息公告的做法就停止了。可以期待，通过保证所有的合同授予都遵循相关法律的要求，透明度不断增加，消除了对合同信息进行篡改的可能，这样使法律控制更加简单，合同竞争者不必再去浏览更多来源芜杂的相关信息，也增加了投标机会。
这个政府网站的信息是用俄语公布的，没有广告，任何人随时随地都能浏览，免费而且没有任何限制。唯一可以不用在这里公布的，是那些含有被定义为涉及国家机密内容信息的合同。获取这些信息没有必要安装特殊设备、计算机程序，也不需要特殊技巧。为安全起见，需要使用电子签名，进行电子注册操作，每天需要对过时信息进行保存和整理。
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四.政府采购特性
A.合同价格
据估计，2009年全国预算的1/2花在了代表俄罗斯联邦政府缔结的合同上。
根据俄罗斯法律，所有政府采购合同的价格都在合同的签订阶段固定下来，并明确定义。以下情况允许修改合同价，当：
需要实行自然垄断以弥补通货膨胀；
政府机关坚持修改合同，以增加工程数量和服务提供量；以及
合同金额超过10亿卢布（3亿美元）的长期合同，如果不考虑相应合同成本的实际增长进行价格变动，其执行变得不可能。
（延长合同）继续支付不能超过合同价的30%，合同方必须证明它有能力保证资金，完成等于合同价1/3的合同义务。合同方不需要承担（对方）违反合同带来的风险成本。
根据俄罗斯联邦最高商业法庭2006年6月22日的判例，政府采购程序对合同价超过6万卢布（约合2000美元）的所有案例适用。然而，如果授予合同的机构并非经特别授权可以授予政府合同的机关，而且合同提供的服务是为了维持其日常运转，合同额在20万卢布（大约7000美元）以下，就不需要遵循以上所述全部采购程序，根据《民法典》和《预算法典》的规定，这种情况可以缔结一个常规合同。
订货法的修正案允许不经公开招标拍卖程序，按照原定价格增加合同供货量，或按照上述规定程序增加供货量，这个修正目前正提交俄罗斯立法机构进行审议。
B.合同期限及执行
《俄罗斯联邦预算法典》规定了三年的预算循环，这就允许进入政府合同的机关持续为期三年的合同期。为实施联邦政府长期目标计划项目而签订的合同，合同期根据这些项目的期限设定，并不限于三年。
提交了参与某项目竞标/竞拍申请的合同方不得拒绝随之授予他们的合同。如果某合同方无法完全执行合同任务，部分合同将可授予评分序列中下一位竞争者。
C.合同方特权
代表或雇佣了残疾人的组织及相应机构在订货时享有特权。这些组织可以要求其合同报价高出（普通公司）15%。
订货法规定至少15%的政府合同必须授予小型商业企业，这不包括军事和国家安全领域内的合同项目。作为规定，对小企业参与政府采购的要求，通过组织特别竞标拍卖会，或者对小企业进行专门的公开招标邀请来实现。根据一些俄罗斯专家的意见，政府从大项目中特意初步选择一些项目分配给小企业，这些措施使小企业免于竞争。不清楚在网上匿名参与竞标中，这些规定是如何具体实施的。[!--empirenews.page--]
D.“购买国内产品”的要求
订货法并未严格规定合同竞争者国籍方面的限制。虽然法律为政府采购设定了民族性，但外国竞争者和供应商在参与投标和拍卖方面与俄罗斯法人拥有同样权利。当采购项目涉及军事合同或存在国家安全风险问题时，政府会禁止或限制从俄罗斯境外获取货物、工程和服务。关于授予国外公司的政府合同所占份额，没有统一的信息。然而外国公司和俄罗斯政府部门签订合同的份额可以通过对比估算出来：例如，2006年，俄罗斯签订了大约60个合同，为国家所需供应医疗卫生装备，合同总额为6.082亿卢布（约合2500万美元），大约60%的钱花在了进口供应商身上。
为了使政府采购系统达到保护主义的目的，2008年12月，俄罗斯联邦经济发展部发布法令，允许优先将俄罗斯企业在特定经济领域的合同价格提高15%。这些领域包括农业、钢铁工业、机器制造业以及其他一些产业。这些法令与其他应对经济危机的措施打包发布。这些措施已经证明是无效的，因为对合同方资质设置没有有效要求，所有有兴趣参加竞争的外国合同方都能在俄罗斯创设合法实体，并达到参加竞标的条件要求。
俄罗斯政府一次又一次地采取各种保护措施，来保证政府合同绝大多数授予国内货物和服务供应商。例如，在1990年代中期，就进行了一次失败的努力，要求俄罗斯高级官员乘用国产车满足公务交通需求；但是由于俄罗斯小汽车性能并不可靠，官员们不情愿失去他们乘用更好的外国小汽车带来的舒服生活方式，而宣告失败。目前，俄罗斯不要求其官员们飞往国外公干时只能乘坐俄罗斯航班。2009年11月，俄罗斯国家航空公司-民用航空局建议政府在立法时加入这一要求。目前，主要交通运输管理机关都暂时性同意了这一提议，相关立法提案已于2010年提交立法机关。
（相关材料由（美国会图书馆）东方法律部主任彼得·鲁迪克提供）
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附原文：Government Procurement Law and Policy: Russia
I. Basic Principles of the Procurement System
Federal Law No. 94 on Placing Orders for Provision of Goods, Works, and Services for State and Municipal Needs of July 21, 2005,[1] is the main document that regulates government contracts and procurement system in the Russian Federation. This law, which has been amended 18 times since it entered into force on January 1, 2006, created a unified nationwide procurement system. The law also established mandatory procedures applicable to all federal, provincial, and municipal institutions that are authorized to conclude government contracts, if the contracts are paid for by federal, provincial ore local appropriations. As stated in the Law, government contracts are concluded to meet the needs of the Russian Federation and its constituent components in the areas of national defense, security, other vital government tasks, and for implementing international, federal, and provincial programs. The needs of a government institution for products and services required for its functioning are considered federal needs and are covered through government contracts.[2]
The Russian procurement system consists of such elements as defining state needs, the creation of orders and their placement, conclusion of government contracts, and fulfillment of contractual obligations. Restrictions established by this law do not apply when the contract’s amount is below the limit established for cash transactions between the legal entities established by the Central Bank of Russia.[3]
This Law regulates issues related to the offering and awarding of contracts. The drafting and execution of contracts follow the principles of the Civil and Budget Codes of the Russian Federation. Government procurement policies and practice must conform to provisions of the Federal Law on Competition and Restriction of Monopolistic Activities.[4] A special department at the Federal Antitrust Agency has been established to monitor the compliance of government procurement with the law.
Violation of the prescribed procedure for placement of contracts is an administrative misdemeanor and is punishable by a fine in the amount of 200 minimum monthly labor wages (approximately US$30,000). A contractor is allowed to charge interest for the unpaid amount of money if payment is delayed by a government customer.[!--empirenews.page--]
II. Contracting Procedures
The ways of announcing and offering government contracts are specified by law. They include:
Calls for bids
Auctions, including electronic;
Requests for proposals;
Offering a contract to a single contractor; and,
Placing orders on mercantile exchanges if the contract price exceeds the amount of RUB 5 million (approximately US$170,000).
In order to achieve budgetary savings, orders placed on similar goods or services by the same government customer are to be conducted simultaneously. Calls for bids and auctions must be open most of the time. Closed auctions are allowed when the contract requires the supply of goods or the performance of works or services, information on which is classified as secret.
The difference between a call for bids and an auction is that when a call for bids is announced, a contract will be awarded to the contractor who offers the best conditions for performing the contract.[5] At auctions, a contract is awarded to an anonymous contractor who offers the lowest price for the contract.[6] Since January 1, 2010, the qualification of a contractor is considered to be an important factor in the awarding a contract, in addition to the requirement that the contract be awarded to the lowest priced bidder. Special requirements were established for contractor’s qualifications in construction work. In order to participate in an auction, a contractor must have at least five years experience in performing similar works and prove that in his previous projects he did at least 30% of the contracted work on a specific jobsite.[7]
Requests for proposals are announced on the website of the agency which intends to offer a contract, and the winner is the contractor who proposed the lowest price. This type of announcement has restrictions due to the length of contract and its amount (not to exceed US$10,000 per quarter) and is usually used to provide services to government organizations located in foreign countries.
A contract can be offered to a single contractor in cases when:
The contract relates to the activities of natural monopolies;
The government acquires cultural valuables;
The contractor has exclusive rights to offer the requested goods, works, or services; and,
The contract requires the performance of works related to military mobilization activities.
In some cases, a government contract can be awarded without competition. Circumventing the prescribed rules is allowed when time-consuming procedures would be counterproductive in force majeure circumstances and in need of urgent medical intervention.
In November 2009, the Russian Federation approved a list of goods, services, and works, which since January 1, 2010, must be acquired by federal customers through open online auctions only. Presently, this list includes construction contracts, contracts related to the supply of medicines, food, and office equipment. As of July 1, 2010, all traditional auctions will be prohibited and all auctions will be conducted exclusively online. For provincial and municipal customers, this requirement will enter into force as of January 1, 2011.[8] It is expected that up to 70% of all government contracts will be distributed through online auctions. The remaining 30% of contracts (primarily those for research work, engineering, architectural drafting, and medical services) will be awarded through calls for bids.[9]
III. Access to Government Procurement Information
Originally, the Law required that announcements of government contracts be published on the website of the customer organization and in the official publication, which is a special newspaper designated by the federal Ministry of Economic Development. Announcements are to be published no later than 30 days before the sealed envelopes with the proposals/bids were to be opened. The government was supposed to synchronize the newspaper and online publication of the announcement concerning the contract. The requirement to publish information about government contracts in federal mass media has been cancelled since January 1, 2008, and since January 1, 2010, the only official source of information available on all government contracts is the federal online portal administered by the Russian Federation Ministry for Economic Development. This portal publishes information on all contracts offered by federal, provincial, and municipal authorities. The publication of government procurement information in mass media in constituent components of the Russian Federation will cease as of January 1, 2011.[10] It is expected that this will simplify legal control over ensuring that all contract awards are in compliance with legal requirements, increase transparency and eliminate possible further correction of contract information, and enhance opportunities for contractors who will no longer be required to review multiple sources of information.
Information on this government website is to be published in the Russian language, to be free from advertisement, and accessible by anyone at any time, free of charge and free of any restrictions. The only contracts exempted from this publication are those which include information classified as state secrets. It is required that no special equipment, computer programs or skills be needed to access this information. For security reasons, the use of electronic signatures, electronic registration of operations, and daily preservation of backup information is required.[!--empirenews.page--]
IV. Specifics of Government Procurement
A. Price of a Contract
It is estimated that about ? of the 2009 national budget was spent on contracts concluded on behalf of the Russian Federation government.[11]
Under Russian law, all prices for government contracts are fixed and defined in the contract at its conclusion. The correction of the contract price is allowed if:
Natural monopolies need to be compensated for inflation;
The government agency insists on changing the contract in order to increase the volume of works and services provided; and,
The execution of a long-term contract for the amount exceeding RUB 10 billion (US$300 million) is impossible without price change due to substantial increase in contract costs.
Advance payments cannot exceed 30% of the contract price, and the contractor must prove that he has secured funds to fulfill his contract obligations in the amount equal to 1/3 of the contract price. There is no requirement for a contractor to purchase breach of contract insurance.
According to the ruling of the Highest Commercial Court of the Russian Federation No. 24 of June 22, 2006,[12] the government procurement procedures are applicable in all cases where the contract price exceeds RUB 60,000 (approximately US$2,000). However, if the institution offering the contract is not an institution specifically authorized to award government contract and the services provided by a contract are aimed at securing normal functioning of this institution, and the amount of a contract is under RUB 200,000 (approximately US$7,000), it is not required to follow all the prescribed procurement procedures, and a regular contract based on provisions of the Civil Code and Budget Code can be concluded.
Amendments to the Law, which would allow increasing the amount of the contract price when offering contracts without conducting auctions or following the prescribed formalities, are presently under consideration of Russian legislators.[13]
B. Length and Execution of a Contract
The Budget Code of the Russian Federation provides for a three-year budget cycle. This allows agencies to enter into government contracts lasting for a three-year period. Contracts for implementing long-term federal government target programs can be concluded for the duration of these programs and are not limited to three years.
A contractor that has submitted a request for participation in an auction cannot refuse to accept the contract if the contract is subsequently awarded to him. If a contractor cannot perform the contracted work in full, part of the contract can be awarded to the contractor who was evaluated as being next in line.
C. Privileged Contractors
Organizations representing or employing handicapped persons and correctional institutions receive special priority in placing orders. These organizations may request an increase of up to 15% in the contract price.
The Law provides that no less than 15% of all government contracts must be awarded to small business enterprises.[14] This does not apply to contracts in the military and national security fields. As a rule, the requirement for small business participation is met through the organization of special auctions or calls for bids established exclusively for small businesses. According to the opinion of Russian experts, this measure excludes small businesses from competition for large projects outside of those which were preliminary selected by the government for distribution to small business.[15] It is not clear how this provision will be implemented through the participation of anonymous contractors in online auctions.[!--empirenews.page--]
D. “Buy Domestic” Requirement
The Law does not provide restrictions with regard to the contractor’s citizenship. While the law establishes a national regime for government procurement, foreign contractors and suppliers participate in bids and auctions and have the same rights as Russian legal entities. The government, however, may establish prohibitions or restrictions for acquisitions of goods, works, and services originated outside of Russia in case of military contracts or when issues of national security are at stake. There is no comprehensive information on the percentage of government contracts awarded to foreign companies. However, the share of foreign companies contracting for the Russian government can be assessed by comparison. In 2006, for example, Russia concluded approximately 60 contracts to supply medical equipment for state needs. The entire amount of the contracts was RUB 608.2 million (approximately, US$25 million.). Approximately 60% of this money was spent on imported supplies.[16]
In order to use the government procurement system for protectionist purposes, in December 2008, the Ministry of Economic Development of the Russian Federation issued a regulation which allowed for preferences for Russian enterprises in the amount of up to 15% of the contract price in selected economic areas. The areas selected are agriculture, metal industry, machine building, and some others.[17] This regulation was issued in a package with other measures aimed at fighting the economic crisis. This measure has proven to be ineffective because no qualifying requirements for contractors were established. All interested foreign contractors were able to create Russia-based legal entities which met the necessary requirements for participation in bids.[18]
From time to time, the Russian government considers different protectionist measures aimed at ensuring that the priority in government contracts is given to domestic suppliers of goods and services. For example, in the middle of 1990s there was an unsuccessful attempt to require that Russian high-level officials use domestically produced cars for their official transportation needs. This attempt failed because of the unreliability of Russian cars and bureaucrats’ unwillingness to lose the comfort of better foreign car models. Presently, there is no requirement for the Russian officials to only use Russian airlines when they fly outside of the country for official business. In November 2009, Russian national air carrier Aeroflot proposed that the government introduce this requirement legislatively. Major transportation agencies tentatively agreed with this idea, and there is a high probability that a relevant legislative proposal submitted to the legislature in 2010.[19]
Prepared by Peter Roudik
Chief, Eastern Law Division
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