【作者】 张家瑾；

【导师】 王绍熙；

【作者基本信息】 对外经济贸易大学 ， 国际贸易学， 2007， 博士

【摘要】 政府采购制度是在长期的政府采购实践中形成的旨在管理政府采购行为的一系列规则和惯例。政府采购制度自最早形成于18世纪末和19世纪初的西方资本主义国家，至今已有200多年历史，因其具有经济有效、调控宏观经济、促进产业结构升级优化和推动廉政建设等多重功效，因而受到世界各国政府的推崇。20世纪30年代的经济危机后，发达国家相继制定了有关政府采购的国内法律法规，世界银行、欧共体(欧洲联盟前身)、WTO、联合国国际贸易委员会、亚太经济合作组织等国际和区域组织也相继制定了各自关于政府采购的规则，政府采购制度经过不断发展和完善，逐步走上制度化和法制化的轨道。在国际和区域组织有关政府采购的规则中，WTO的《政府采购协定》(以下简称GPA)占据重要地位，该协定因世界主要发达国家和一些发展中国家的加入而成为政府采购法律逐渐向多边化演变的重要的国际法制度，因而最具法律影响力。因此，本文重点围绕GPA来论述我国政府采购市场开放问题。非歧视原则是GPA三个基本原则中的重要核心原则，透明度原则和对发展中国家特殊待遇原则是非歧视性原则的体现和保障。由于GPA具有诸边性质，WTO成员可以自由选择是否加入该协定，GPA参加方可以根据本国具体情况谈判具体的承诺条件，不同的谈判可以确定不同成员方各自的政府采购待遇原则，且协定条款仅对签字加入的成员发生效力，这就直接导致了GPA奉行的非歧视原则不具备WTO要求的最惠国待遇原则内容，从而形成一种在政府采购协定内，各成员方可因分别谈判的承诺不同而各自分享政府采购资源的局面。此外，非歧视原则指导下的GPA有相当多可以作为协定例外的规定。例如，协定规定了国家安全、公共利益的非歧视例外，允许成员方在政府采购方面强调公共利益，可以采取本国的非歧视待遇的例外实施规范，但却没有对公共利益的具体内容进行解释。又如，GPA允许成员方协商以排除非歧视原则的适用，这就使成员方留有了准入保护的空间。诸如此类的条款在GPA中有很多，加上协定对发展中国家的特殊和差别待遇条款，这些实际上都可以作为具体条件，为参加该协定的谈判提供广泛的空间。综上所述，GPA目前还不是已经实现了自由化的协定，它回避了WTO的最惠国待遇原则。GPA只是为开放政府采购市场创设了一个谈判场所和提供承诺的条约框架，并要求成员方在此种谈判承诺条件下开放政府采购市场，谈判结果也只在签字成员间生效。GPA所确定的非歧视原则以及协定例外的特殊内容，是直接保证贸易自由化的WTO规则以及其他协议所不具备的。全球经济一体化和国际贸易自由化已经成为历史发展的潮流，政府采购市场也正在由封闭逐步走向开放。早在1996年，我国政府向APEC提交的单边行动计划书中，就明确了我国最迟于2020年与APEC成员对等开放政府采购市场。2001年，在特定的时代背景下，我国就尽快加入GPA作出承诺。在2006年5月16日召开的中欧政府采购研讨会上，商务部副部长于广洲表示，我国将于2007年12月底以前，启动加入GPA的谈判程序，并向WTO提交政府采购市场开放清单。随着我国加入GPA谈判在即，政府采购市场的逐步开放和政府采购活动的国际化将成为我国未来经济改革与发展的一大宏观趋势，对GPA条款内容，尤其是对非歧视性原则的适用例外内容的深入研究，就更具有重大理论意义与现实意义。开放政府采购市场具有两面性，在享受他国开放市场好处的同时，也要承担开放本国市场的义务和责任，因此对像我们这样政府采购制度建立时间不长的发展中国家而言，可以说是机遇和挑战并存，我们应以辨证和战略眼光来看待我国加入GPA。与GPA成员相比，我国政府采购制度的建立时间尚短，还存在许多不完善之处。自1996年进行政府采购试点以来，特别是1998年以后，我国的政府采购事业蓬勃发展，尤其是2003年1月1日施行《中华人民共和国政府采购法》，我国的政府采购更是走上了法制规范的轨道，全国政府采购制度的各项改革逐步推进。但与国际水平相比，我国政府采购规模小、规模效益低、结构不合理、采购范围狭窄等问题依然很突出。我国政府采购制度经过十多年的创新、推广和完善，在提高财政资金的使用效率、健全财政职能、强化财政监督、促进廉政建设等方面取得了显著成效，但是政府采购的政策工具作用还没有充分发挥出来，与经济有效性的作用相比，我国政府采购政策功能不足，而且目前我国对政府采购公共政策运用范围和程度，尚没有达到GPA所允许的发展中国家使用水平，特别是GPA关于发展中国家的特殊和差别待遇条款的规定。此外，我国有关政府采购的立法及其配套还不完善，电子政府采购建设亟待加强，而且我国国内企业参与国际竞争的整体能力不强，具有全面素质的政府采购从业人员缺乏。但加入GPA谈判并不意味着政府采购市场立刻开放，从GPA成员方开放政府采购市场的实践看，我国加入GPA谈判的过程可能会持续很长时间。我们应抓紧加入GPA之前的时间，充分借鉴国外政府采购立法和实施政策功能的经验，不断完善我国与政府采购相关的立法和相关配套措施，进一步发挥政府采购政策功能，以促进产业结构的升级和优化、扶持中小企业发展和不发达地区以及少数民族地区经济，同时全面落实科学发展观，不断提升企业核心竞争力，促进自主创新和循环经济发展、推进政府绿色采购，尽快形成国内利用政府采购实施公共政策的体系，以此作为加入GPA的条件。此外，还应大力加强电子政府采购建设以及政府采购从业人员的培训和人才培养，以适应政府采购的国际发展趋势。GPA的诸边协定的性质和非歧视原则的适用例外为我国加入协定的谈判提供了广阔的空间。我们应加紧对《GPA2006修订本》条款的研究，充分运用该协定的例外条款和对发展中国家的特殊优惠条款，在借鉴国外政府采购市场开放的成功经验的基础上，根据我国经济发展水平与各行业的发展状况，逐步、适度地开放我国政府采购市场，并尽快确定既不违背GPA基本原则，同时又能保护和促进我国经济发展的政府采购市场开放的科学对策。本文共分15章。为避免给读者造成阅读不便和跳跃的感觉，本文采取类似于专题的形式，重点选取我国政府采购市场开放前最突出的、同时也是重点要解决的几方面问题，如政府采购规模和范围偏小偏窄、政府采购政策功能发挥不足、有关政府采购立法不完善、电子政府采购有待加强以及具有全面素质的政府采购从业人员缺乏等，逐章进行阐述或论证，并在借鉴国际经验的基础上，在相同的章中提出建议和措施。本文第1章引言部分介绍了论文的选题背景和意义、写作方法以及论文新颖与创新之处，并进行了文献回顾。第2章和第3章分别概括阐述了政府采购和政府采购制度、现代政府采购制度的理论渊源及其缺陷。论文第4章阐述了国际和区域组织有关政府采购的规则，其中重点研究GPA。论文自第5章开始对我国的政府采购及政府采购市场开放问题进行专门研究。其中第5章和第6章分别论述了我国政府采购制度建立及完善历程和我国政府采购及市场发展现状。第7章和第8章论述我国加入GPA的承诺及其背景以及我国履行加入承诺的情况。第9章论述了我国政府采购市场开放应采取的渐进性策略。第10章至第13章论述了我国政府采购市场开放前存在的问题及对策与建议。其中第10章是针对我国政府采购规模；第11章针对我国政府采购政策功能；第12章针对政府采购相关立法的完善；第13章针对我国电子政府采购。第14章针对政府采购从业人员的培养提出了建议。论文的第15章为结论和下一步研究计划。本文系统地回顾和论述了我国政府采购开放面临的国际和国内环境；紧密结合GPA的最新发展动态和我国经济发展实际及最新形势；首次论述了GPA最新发展动态对我国政府采购市场开放的影响；首次提出随着我国财政收入的不断提高和政府采购制度的不断完善，应逐步扩大政府采购客体范围，并根据实际情况分别界定政府采购客体；重新划分了我国政府采购阶段，并将2006年作为划分我国政府采购新阶段的起点；系统论述了目前我国政府采购存在的诸如规模小、范围窄、效益低、工程采购尚未纳入政府集中采购，以及政府采购政策功能有待进一步增强、政府采购立法及配套措施亟待完善等突出问题，并深入地提出建议和主张；有针对性地提出应兼顾政府绿色采购与扶持自主创新产品等其他政府采购政策目标间的矛盾的主张，以及加强政府采购对自主创新的推动作用；首次提出国有企业是否纳入政府采购范围，应具体情况具体分析，并应把握好时机，采取渐进和有序的方式进行；明确提出对《政府采购法》第59条的修改建议。在研究方法上，论文在大量文献及调研的基础上，采用大量实例、统计数据和原创的图形、表格及计量经济学模型进行实证分析，并引用近年来经济数据绘制成图表对我国加入GPA的背景、我国政府采购发展状况以及扩大政府采购规模等问题予以论证。此外，为便于读者查阅，论文将我国近20年与政府采购相关的法律、法规及重要文件进行整理，并编制成附录。另外，还将本文写作过程中浏览的国外涉及政府采购的重要网站收录至附录。本文的研究贡献不在于提出创新理论，而是侧重于现有的理论、实践、方法的新的应用，以期达到对该领域的研究起到抛砖引玉的作用，并试图以此弥补目前该领域研究的些许不足和对我国政府采购实践提供一定的参考和支持。更多还原

【Abstract】 Government Procurement refers to the purchase of goods and services by the central or local government(s). This system, as the result of regulation for governmental purchasing activities, had a history of more than two hundred years in the western society. It was first developed during the late eighteenth and the early nineteenth century. This system was popular worldwide because it is economical and effective and it plays the multi-functions of macroeconomic adjustment, upgrading industrial structure and construction of a clean government. After the Great Depression in the 1930s, advanced economies established domestic legislation on government procurement, and some international and regional organizations such as the World Bank Group, EEC(EU), WTO, UNCITRAL and APEC also formulate respective regulations of government procurement. Therefore, government procurement system has been developing and improving step by step and at present it has a good legal environment.Government Procurement Agreement (hereinafter referred to GPA) within the WTO framework is most important one among international and regional laws and regulations concerning government procurement. This Agreement has become an important international law with the major advanced economies and some developing economices signing it.Non-discrimination is the cornerstone principle of the three major principles which are non-discrimination, transparency and special and differential treatment to developing countries. Because of the plurilateral feature of GPA, WTO members can choose to whether sign in or not, and it only applies to those countries which signed the Agreement. Thus the pricinple of MFN does not apply to the GPA. The most direct reflection of the non-application of MFN is that GPA stipulates that each signing Party shall make specific commiments on the government procurement. Thus it depends on a Party’s negotiation for their commitments on the specific way of offering non-discrimitary treatment, procuring entities, coverage and procedures. Moreover, even with the non-discrimination, there are a number of stipulations which can be used as exceptions. For instance, GPA includes the exceptions on national security interests and public morals. Specifically, the Agreement allows Parties to emphasize public morals but does not provide detailed explanation. Also, Parties are allowed to negotiate respectively to excempt from non-discrimitary treatment. These all leave room for Parties’ self-explanation. There are many other similar stipulations in GPA which all leave room for Parties to negotiate accession commitments together with the special treatment for developing countries.To sum up, GPA is not an agreement which has realized liberalization for it avoids WTO’s MFN. GPA just offers a place where governments can negotiate and creates a framework of making commitments. It requires Parties to open government procurement market under agreed terms and the negotiation results only apply to signing parties. The exceptions to non-discrimination principle under GPA is absent from other WTO agreements.Government procurement market is gradually being opened up following the worlwide economic integration and trade liberalization. Reform of Government Procurement in China is also taking place as an essential part for building up a socialist market economy. As early as in 1996, Chinese government promised to APEC that China would open up its government procurement market to the other APEC members no later than 2020. In 2001, the REPORT OF THE WORKING PARTY ON THE ACCESSION OF CHINA stated that China intends to become a Party to GPA as soon as possible. China will give a detailed list of government procurement activities to be opened up by the end 2007, and start negotiations with the WTO on GPA, Yu Guangzhou, vice-minister of commerce said in May 16th, 2006.The impacts of opening up a country’s government procurement market are two-sided: on the one hand, one could enjoy the benefits of the market opening of other countries; on the other hand, it must undertake the responsibilities and obligations to open its own market. Therefore, there are both opportunities and challenges for developing countries, especially China whose government procurement system was set up for a short time.Compared with other Parties of GPA, China’s government procurement system was developed recently and needs to be improved substantially. However, during 1996 to 1998, China’s government procurement has developed rapidly. Particularly, on Jan 1st, 2003, Government Procurement Law of PRC was promulgated and provided a formal environment for China’s government procurement. However, compared with the developed countries, there are some serious problems in China’s current system, such as low value of government procurement, lack of economies of scale, poor structure, and limited procuring areas. Although China made great achievements on increasing the effectiveness of using fiscal resources, stengthening financing and supervising functions, and building a clean government, the management of government procurement is still not very effective. It is also ineffective if compared with China’s other domestic sectors. Furthermore, China’s public policies of government procurement has limited application and is lower than the developing countries’ level required by GPA, especially the special and differentiated treatment clauses of GPA. China’s present laws and regulations on government procurement are not perfect yet, e-government procurement should be strengthened further, the international competitiveness of Chinese enterprises are not high. From the practice of other members of GPA, there is still a long way to go for China to become a Party of GPA. It also doesn’t mean that China must open its government procurement market to others at present. Therefore, before the entry to GPA, China should learn from successful experiences of foreign countries’ in government procurement legislation and policy development, gradually improve its laws and regulations on government procurement, strengthen policy functions aimed at promoting the developpment of industries, small- and medium-sized enterprises and poor regions. At the same time, China should pursue the Scientific Development, promote the improvement of self-innovation and circulation economy, launch green government procurement, try to set up public policy through government procurement channel, and pay more attention on developing e-government procurement system. All the above measures would make China powerful in the negotiation for its entry to GPA.The plurilaterlism and the exceptions to non-discrimination of GPA provided China with a big room to negotiate its accession to GPA. We should study the 2006 Revision of GPA and make full use of the special and differential treatment clause to developing countries. We should also open our government procurement market gradually and approporiately according to our economic development and absorb the successful experiences of developed countries in this field. We should protect China’s government procurement market without violating the basic principles of GPA.This dissertation comprises 15 chapters. Chapter 1 introduces the purpose of selecting this topic, the originality of research, methods, and reviews relative literatures. Chapters 2 and 3 defines government procurement and government procurement system and reviews the theories of modern government procurement system and its defects. Chapter 4 shows the general principles of international and regional laws and regulations on government procurement. GPA is especially studied in this chapter. Chapter 5 to chapter 13 are the main body of this dissertation which focuses on the development of China’s government procurement system and the opening of its government procurement market. Chapters 5 and 6 describe the setting up of China’s government procurement system, its development and present situation. Chapters 7 and 8 introduce the background of China’s entry to GPA, its commitments and implementation of this agreement. Chapter 9 shows the gradual approach of China’s opening of its government procurement market. Chapter 10 describes China’s government procurement volume in the recent years. Chapter 11 studies the functions of China’s government procurement system. Chapter 12 makes several suggestions for the improvement of Chinese government procurement. Chapter 13 specializes in the e-government procurement. Chapter 14 makes several suggestions for the improvement the quality of staffs working on government procurement. At the ending part of chapter 15, conclusions are made with an overall summary and suggestions for future research. Furthermore, in order to make it convenient to look up, laws, regulations and some important documents on government procurement are listed in the appendix.The main innovations are as follows: First, systematically study international and domestic environments of China’s opening of government procurement market, the latest development of GPA and China’s recent economic development. Second, first describe the new developments of GPA and analyze its impacts on China’s opening of government procurement market. Third, redefine the development stages of China’s government procurement, and consider the year of 2006 as the new start for China’s government procurement. Fourth, focus on the contradictions among other government procurement policies namely green government procurement, support for self-innovation products. Fifth, analyze the non-discrimination principle of GPA in depth. Sixth, describe volume of China’s government procurement and the relative policies and functions. Furthermore, this dissertation offers some different opinions on the financing sources of China’s Government Procurement Law. To be noted, this dissertation improves the empirical method of analyzing the government procurement. Use econometric methods and a quantitative data and charts in the analyses of China’s development of government procurement.The contributions of this dissertation are: a) applications of classical theories, new research methods and practice; b) supplements to the existing researches; c) supports for China’s policy and practice on government procurement.更多还原