Notice on Issues Relating to Further Standardizing the Evaluation of Government Procurement

财政部关于进一步规范政府采购评审工作有关问题的通知

Promulgating Institution: Ministry of Finance

Document Number: Cai Ku [2012] No. 69

Promulgating Date: 06/11/2012

Effective Date: 06/11/2012

颁布机关: 财政部

文      号: 财库[2012]69号

颁布时间: 06/11/2012

实施时间: 06/11/2012

To the relevant departments under the Central Committee of the Party, all ministries and commissions and departments directly under the State Council, the General Office of the National People’s Congress, the General Office of the National Committee of the Chinese People’s Political Consultative Conference, the Supreme People’s Court, the Supreme People’s Procuratorate, relevant people’s organizations, financial departments (bureaus) of all provinces, autonomous regions, municipalities directly under the Central Government and cities separately designated in the State plan, the Bureau of Finance of the Xinjiang Production and Construction Corps, the Central Government Procurement Center, the Procurement Center for Offices Directly under the Central Committee of the Party, the Procurement Center for Offices under the National People’s Congress, the Centralized Procurement Center of the State Administration of Taxation, the Materials and Equipment Procurement Center of the General Administration of Customs and the Centralized Procurement Center of the People’s Bank of China,

In recent years, all regions and departments have seriously enforced the Government Procurement Law and other pertinent laws and regulations, and the level of standardization of the evaluation of government procurement has been increased gradually. However, there are certain issues that urgently need to be further specified and standardized, for example, the evaluation procedures are still imperfect, the job responsibilities are not clear and rights and obligations are asymmetric. With a view to strengthening the administration of evaluations, specifying the responsibilities of the parties involved in evaluations and improving the quality of evaluations, relevant issues are hereby notified as follows:

    党中央有关部门,国务院各部委、各直属机构,全国人大常委会办公厅,全国政协办公厅,高法院,高检院,有关人民团体,各省、自治区、直辖市、计划单列市财政厅(局),新疆生产建设兵团财务局,中央国家机关政府采购中心,中共中央直属机关采购中心,全国人大机关采购中心,国家税务总局集中采购中心,海关总署物资装备采购中心,中国人民银行集中采购中心:

    近年来,各地区、各部门认真落实《政府采购法》等法律法规,政府采购评审工作的规范化水平逐步提高,但也还存在着评审程序不够完善、工作职责不够明晰、权利义务不对称等问题,亟需进一步明确和规范。为加强评审工作管理,明确评审工作相关各方的职责,提高评审工作质量,现将有关事项通知如下:

1. Organizing evaluations of government procurement according to the law

Procurers, procurement agencies and members of bid evaluation committees, competitive negotiation groups and inquiry groups (hereinafter referred to as “Evaluation Committees”) shall strictly abide by the relevant laws and regulations on government procurement, perform their duties according to the law and organize and participate in evaluations in a fair, objective and prudent manner.

Members of Evaluation Committees shall conduct evaluations independently and according to the law and assume personal responsibilities for their opinions on evaluation. In the event of disputes among members of an Evaluation Committee over matters that need to be jointly determined, the conclusion thereon shall be made based on the principle that the minority is subordinate to the majority. The members of the Evaluation Committee who hold divergent opinions shall set forth their divergent opinions and explain the reasons in the evaluation report; otherwise they shall be deemed to have agreed to such matters.

Procurers and procurement agencies shall ensure that the evaluations are conducted strictly in confidence. Before the determination of results of procurement, procurers and procurement agencies are obliged to keep confidential the list of members of Evaluation Committees. Members of Evaluation Committees, staff members of procurers and procurement agencies, relevant supervisory personnel and other personnel relating to the evaluations are obliged to keep confidential the information of the evaluations and the State secrets and business secrets that come to their knowledge during the course of evaluation.

In evaluations, procurers, procurement agencies and Evaluation Committees shall supervise and restrict each other according to the law and conscientiously subject themselves to the supervision by financial departments at all levels. Illegal interference with evaluations and other violations of the laws and regulations occurred in evaluations shall be reported to the competent financial departments in a timely manner.

       一、依法组织政府采购评审工作

    采购人和采购代理机构,评标委员会、竞争性谈判小组和询价小组(以下简称评审委员会)成员要严格遵守政府采购相关法律制度,依法履行各自职责,公正、客观、审慎地组织和参与评审工作。

    评审委员会成员要依法独立评审,并对评审意见承担个人责任。评审委员会成员对需要共同认定的事项存在争议的,按照少数服从多数的原则做出结论。持不同意见的评审委员会成员应当在评审报告上签署不同意见并说明理由,否则视为同意。

    采购人、采购代理机构要确保评审活动在严格保密的情况下进行。在采购结果确定前,采购人、采购代理机构对评审委员会名单负有保密责任。评审委员会成员、采购人和采购代理机构工作人员、相关监督人员等与评审工作有关的人员,对评审情况以及在评审过程中获悉的国家秘密、商业秘密负有保密责任。

    采购人、采购代理机构和评审委员会在评审工作中,要依法相互监督和制约,并自觉接受各级财政部门的监督。对非法干预评审工作等违法违规行为,应当及时向财政部门报告。

2. Effectively performing the responsibilities for evaluation of government procurement

Procurers and procurement agencies shall, according to the law, refine evaluation procedures, organize Evaluation Committees and evaluations in accordance with the prescribed procedures; shall verify the identity of members of Evaluation Committees, inform them of the requirements for withdrawal, announce disciplines and procedures for evaluations, and introduce relevant policies and regulations on government procurement; shall interpret procurement documents at the request of Evaluation Committees and organize suppliers to make relevant clarifications; shall check evaluation data, and may request Evaluation Committees to review or explain reasons in writing about significant differences in ratings that are abnormally high or low; shall assess the evaluation experts' professional and technical competence, professional ethics and their performance in evaluation, and report such information to the competent financial departments. Centralized procurement organs under the governments at the provincial level or above and Class A government procurement agencies shall tape-record and videotape the whole course of evaluation, and place such videos and sound recordings on file along with other documents of procurement projects.

Members of Evaluation Committees shall conduct evaluations in accordance with the relevant laws and regulations on government procurement and the evaluation methods and standards specified in procurement documents; shall acquaint themselves with and understand procurement documents, carefully read all the bid or response documents submitted by suppliers, conduct examinations of eligibility and conformity on each bid or response document, and make comparisons and assessment according to the evaluation methods and standards specified in procurement documents; shall maintain consistency in the rating of objective rating items, such as prices offered by suppliers, and shall rate subjective rating items that need to be judged with the aid of professional knowledge in strict accordance with detailed rules for rating.

Where an Evaluation Committee needs a supplier to clarify relevant matters in its bid or response document, it shall give the supplier enough time to respond, and ensure that the matters required to clarify do not exceed the scope of the bid or response document and will not substantially change the content of the bid or response document, and may not treat the supplier differentially by requesting clarifications or other means. An Evaluation Committee shall review the results of ratings, especially the supplier ranking first, the lowest quotation, and the bids or relevant documents that are deemed invalid, and recommend the successful bidder or candidate supplier according to the result of evaluation, or directly determine the successful bidder or supplier according to the provisions of the entrustment agreement with the procurer, and prepare and sign an evaluation report. Where the invitation for bids for a procurement projects fails, the Evaluation Committee shall give its opinions on whether the bidding documents contain any unreasonable terms, and help the procurer, the procurement agency and the competent financial department answer queries and handle complaints that may arise.

       二、切实履行政府采购评审职责

    采购人、采购代理机构要依法细化评审工作程序,组建评审委员会,并按规定程序组织评审。要核实评审委员会成员身份,告知回避要求,宣布评审工作纪律和程序,介绍政府采购相关政策法规;要根据评审委员会的要求解释采购文件,组织供应商澄清;要对评审数据进行校对、核对,对畸高、畸低的重大差异评分可以提示评审委员会复核或书面说明理由;要对评审专家的专业技术水平、职业道德素质和评审工作等情况进行评价,并向财政部门反馈。省级以上政府集中采购机构和政府采购甲级代理机构,应当对评审工作现场进行全过程录音录像,录音录像资料作为采购项目文件随其他文件一并存档。

    评审委员会成员要根据政府采购法律法规和采购文件所载明的评审方法、标准进行评审。要熟悉和理解采购文件,认真阅读所有供应商的投标或响应文件,对所有投标或响应文件逐一进行资格性、符合性检查,按采购文件规定的评审方法和标准,进行比较和评价;对供应商的价格分等客观评分项的评分应当一致,对其他需要借助专业知识评判的主观评分项,应当严格按照评分细则公正评分。

    评审委员会如需要供应商对投标或响应文件有关事项作出澄清的,应当给予供应商必要的反馈时间,但澄清事项不得超出投标或响应文件的范围,不得实质性改变投标或响应文件的内容,不得通过澄清等方式对供应商实行差别对待。评审委员会要对评分汇总情况进行复核,特别是对排名第一的、报价最低的、投标或相应文件被认定为无效的情形进行重点复核,并根据评审结果推荐中标或成交候选供应商,或者根据采购人委托协议规定直接确定中标或成交供应商,起草并签署评审报告。评审委员会要在采购项目招标失败时,出具招标文件是否存在不合理条款的论证意见,要协助采购人、采购代理机构、财政部门答复质疑或处理投诉事项。

3. Rigorously enforcing the disciplines for evaluation of government procurement

Where a procurer appoints a representative to join the Evaluation Committee, it shall issue a letter of authorization to its procurement agency. Besides its authorized representative, the procurer may appoint no more than two discipline inspection, supervisory and other relevant personnel to be present at the site of evaluation, to supervise the evaluation. Where the procurer needs to introduce the background and technical requirements of its project prior to the evaluation, it shall submit written introductory materials in advance. Such introductory materials may not contain any discriminatory or tendentious opinions, or exceed the scope prescribed in the procurement documents, and shall be placed on file as documents of the procurement project. The Evaluation Committee shall appoint a team leader, who shall not be the representative of the procurer.

Members of an Evaluation Committee shall strictly follow the time of evaluation, take the initiative to present their identity certificates, and observe disciplines for evaluation and relevant provisions on withdrawal from evaluation; and shall leave their mobile phones and other means of communication and electronic devices in the safekeeping of the procurer or procurement agency prior to the evaluation. Where any member fails to do so, the procurer or procurement agency may refuse his participation in the evaluation and report it to the competent financial department.

Members of Evaluation Committees and other personnel relating to the evaluation may not interfere with or affect the normal evaluation process, or give any, express or implied, tendentious or guiding opinions, or modify or refine the evaluation procedures, methods, factors or standards specified in the procurement documents, or accept clarifications or interpretations offered by any suppliers voluntarily, or solicit the tendentious opinions of representatives of procurers, or consult with each other over ratings, or record, reproduce or take away any evaluation materials. After the collection of the result of an evaluation, the procurer, procurement agency or Evaluation Committee may not modify the result of evaluation or request re-evaluation, unless any determination of eligibility in the examination thereof or summary or calculation of scores is wrong, the rating of any sub-item exceeds the scope of the rating standard, the rating of any objective rating items is inconsistent, or any rating is abnormally high or low as determined by the Evaluation Committee unanimously. In the event of any of the aforementioned circumstances, the Evaluation Committee shall modify the result of evaluation on the spot and clearly indicate the same in the evaluation report.

Procurers and procurement agencies shall strengthen the administration of evaluation sites and prevent personnel irrelevant to the evaluation from entering evaluation sites. Financial departments at all levels shall severely punish the parties involved in evaluations who violate the disciplines or requirements for evaluations.

       三、严肃政府采购评审工作纪律

    采购人委派代表参加评审委员会的,要向采购代理机构出具授权函。除授权代表外,采购人可以委派纪检监察等相关人员进入评审现场,对评审工作实施监督,但不得超过2人。采购人需要在评审前介绍项目背景和技术需求的,应当事先提交书面介绍材料,介绍内容不得存在歧视性、倾向性意见,不得超出采购文件所述范围,书面介绍材料作为采购项目文件随其他文件一并存档。评审委员会应当推选组长,但采购人代表不得担任组长。

    评审委员会成员要严格遵守评审时间,主动出具身份证明,遵守评审工作纪律和评审回避的相关规定。在评审工作开始前,将手机等通讯工具或相关电子设备交由采购人或采购代理机构统一保管,拒不上交的,采购人或采购代理机构可以拒绝其参加评审工作并向财政部门报告。

    评审委员会成员和评审工作有关人员不得干预或者影响正常评审工作,不得明示或者暗示其倾向性、引导性意见,不得修改或细化采购文件确定的评审程序、评审方法、评审因素和评审标准,不得接受供应商主动提出的澄清和解释,不得征询采购人代表的倾向性意见,不得协商评分,不得记录、复制或带走任何评审资料。评审结果汇总完成后,采购人、采购代理机构和评审委员会均不得修改评审结果或者要求重新评审,但资格性检查认定错误、分值汇总计算错误、分项评分超出评分标准范围、客观分评分不一致、经评审委员会一致认定评分畸高、畸低的情形除外。出现上述除外情形的,评审委员会应当现场修改评审结果,并在评审报告中明确记载。

    采购人、采购代理机构要加强评审现场管理,与评审工作无关的人员不得进入评审现场。各级财政部门对评审活动相关各方违反评审工作纪律及要求的行为,要依法严肃处理。

4. Properly handling special circumstances in evaluations

Financial departments shall establish mechanisms for sharing the resources of database of evaluation experts for government procurement. A procurer or a procurement agency may choose experts from the expert database of a financial department in another region, provided that it shall report it to the financial department at the same level for record-filing in advance. Central organs located in places other than Beijing may choose evaluation experts from the expert database of the financial departments of prefecture-level cities or the higher level in the places where they are located, which shall give the cooperation.

Where a database of evaluation experts does not have sufficient experts in corresponding specialties, the procurer or procurement agency shall submit a list of experts to the competent financial department in the proportion of not lower than 1:3, and then randomly choose experts from the database after the said experts are enrolled into the database upon examination and approval by the financial department. Where the number of experts on the site of evaluation is less than a quorum due to absence or withdrawal of any evaluation expert or other circumstances, the procurer or procurement agency shall choose additional experts in a timely manner according to relevant procedures to continue the evaluation. If the quorum is unable to be reached, the evaluation shall be stopped immediately, the procurement document and all bid or response documents shall be sealed up, and a new Evaluation Committee shall be established to conduct the evaluation at another time. The procurer or procurement agency shall record in writing the information of selection of additional experts or establishment of a new Evaluation Committee, and put such records on file along with other relevant documents.

Where an Evaluation Committee discovers any ambiguity or major defect in a procurement document so that the evaluation can not proceed, or any content in the procurement document violates relevant provisions of the State, it shall stop the evaluation and explain the circumstances to the procurer or procurement agency in writing, and the procurer or procurement agency shall modify the procurement document and then re-organize the procurement. Where an Evaluation Committee finds that any supplier provides false materials, acts in complicity or otherwise violates the laws and regulations, it shall report it to the procurer or procurement agency in a timely manner.

Where a supplier participating in a government procurement project questions the process or result of an evaluation, the procurer or procurement agency may organize the original Evaluation Committee to help handle such questions, and reply to such questions according to the opinions given by the Evaluation Committee. If the reply to such questions results in changes of bid-winning or transaction results, the procurer or procurement agency shall report relevant information to the competent financial department for record-filing.

Ministry of Finance

June 11, 2012

       四、妥善处理评审中的特殊情形

    财政部门要建立政府采购评审专家库资源共享机制，采购项目有特殊需要的，采购人或采购代理机构可以在异地财政部门专家库抽取专家，但应事前向本级财政部门备案。中央驻京外单位可以从所在地市级或其上一级财政部门专家库中抽取评审专家，所在地市级或其上一级财政部门应当予以配合。

    评审专家库中相应专业类型专家不足的，采购人或采购代理机构应当按照不低于1:3的比例向财政部门提供专家名单，经审核入库后随机抽取使用。出现评审专家临时缺席、回避等情形导致评审现场专家数量不符合法定标准的，采购人或采购代理机构要按照有关程序及时补抽专家，继续组织评审。如无法及时补齐专家，则要立即停止评审工作，封存采购文件和所有投标或响应文件，择期重新组建评审委员会进行评审。采购人或采购代理机构要将补抽专家或重新组建评审委员会的情况进行书面记录，随其他文件一并存档。

    评审委员会发现采购文件存在歧义、重大缺陷导致评审工作无法进行，或者采购文件内容违反国家有关规定的，要停止评审工作并向采购人或采购代理机构书面说明情况，采购人或采购代理机构应当修改采购文件后重新组织采购活动;发现供应商提供虚假材料、串通等违法违规行为的，要及时向采购人或采购代理机构报告。

    参与政府采购活动的供应商对评审过程或者结果提出质疑的，采购人或采购代理机构可以组织原评审委员会协助处理质疑事项，并依据评审委员会出具的意见进行答复。质疑答复导致中标或成交结果改变的，采购人或采购代理机构应当将相关情况报财政部门备案。

    财政部

    二○一二年六月十一日