全文（full text）| 欧盟国际采购工具（International Procurement Instrument ）
编者按：8月29日，欧盟国际采购工具正式生效，预计将增大中国企业在欧盟参加公共采购的难度，提高合规成本。欧盟中国商会特此编译欧盟官方公报上发布的国际采购工具全文中文供各方参考。请注意，法规请以欧盟官方语言为准。
REGULATION (EU) 2022/1031 OF THE EUROPEAN
PARLIAMENT AND OF THE COUNCIL
欧洲议会和理事会第2022/1031号条例（EU）
of 23 June 2022
2022年6月23日
on the access of third-country economic operators, goods and services to the Union’s public procurement and concession markets and procedures supporting negotiations on access of Union economic operators, goods and services to the public procurement and concession markets of third countries (International Procurement Instrument – IPI)
关于第三国经济运营商、货物和服务进入欧盟公共采购和特许权市场，以及支持欧盟经济运营商、货物和服务进入第三国公共采购和特许权市场的谈判程序（国际采购文书 - IPI）
(Text with EEA relevance)
(与欧洲经济区有关的文本)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
欧洲议会和欧盟理事会，
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 207(2) thereof,
考虑到《欧洲联盟运作条约》，特别是其中第207（2）条。
Having regard to the proposal from the European Commission,
考虑到欧盟委员会的提议，
After transmission of the draft legislative act to the national Parliaments,
在向各国议会转交立法草案之后
Having regard to the opinion of the European Economic and Social Committee,
考虑到欧洲经济和社会委员会的意见，
After consulting the Committee of the Regions,
征求地区委员会的意见后，
Acting in accordance with the ordinary legislative procedure,
按照普通立法程序行事，
Whereas:
鉴于此：
(1) In accordance with Article 21 of the Treaty on European Union (TEU), the Union is to define and pursue common policies and actions, and improve cooperation in all fields in international relations in order, inter alia, to encourage the integration of all countries into the world economy, including through the progressive abolition of restrictions on international trade.
根据《欧洲联盟条约》（TEU）第21条，欧盟应确定并采取共同的政策和行动，改善国际关系中所有领域的合作，以便除其他外，鼓励所有国家融入世界经济，包括通过逐步取消对国际贸易的限制。
(2) Pursuant to Article 206 of the Treaty on the Functioning of the European Union (TFEU), the Union, by establishing a customs union, is to contribute, in the common interest, to the harmonious development of world trade, to the progressive abolition of restrictions on international trade and on foreign direct investment, and to the lowering of customs and other barriers
根据《欧洲联盟运作条约》（TFEU）第206条，欧盟通过建立关税同盟，为共同利益促进世界贸易的和谐发展，逐步取消对国际贸易和外国直接投资的限制，以及降低关税和其他障碍。
(3) In accordance with Article 26 TFEU, the Union is to adopt measures with the aim of establishing or ensuring the functioning of the internal market, comprising an area without internal frontiers in which the free movement of goods, persons, services and capital is ensured in accordance with the Treaties. The access of third-country economic operators, goods and services to the public procurement or concession markets of the Union falls within the scope of the common commercial policy.
根据《欧盟运作条约》第26条，欧盟应采取措施，以建立或确保内部市场的运作，包括一个没有内部边界的地区，根据条约规定，确保货物、人员、服务和资本的自由流动。第三国经济经营者、货物和服务进入欧盟的公共采购或特许市场属于共同商业政策的范围。
(4) Article III:8 of the General Agreement on Tariffs and Trade 1994 and Article XIII of the General Agreement on Trade in Services exclude government procurement from the main multilateral World Trade Organization (WTO) disciplines.
1994年《关税与贸易总协定》第三条第8款和《服务贸易总协定》第十三条将政府采购排除在世界贸易组织（WTO）的主要多边纪律之外。
(5) Within the framework of the WTO and through its bilateral relations, the Union advocates an ambitious opening of the international public procurement and concession markets of the Union and its trading partners, in a spirit of reciprocity and mutual benefit.
在WTO框架内并通过其双边关系，欧盟主张本着互惠互利的精神，雄心壮志地开放欧盟及其贸易伙伴的国际公共采购和特许市场。
(6) The plurilateral WTO Agreement on Government Procurement and the Union trade agreements that include provisions on public procurement provide for market access for Union economic operators only to the public procurement or concession markets of third countries that are parties to those agreements.
世贸组织诸边《政府采购协定》和包含公共采购条款的欧盟贸易协定规定，欧盟经济运营商只能进入作为这些协定缔约方的第三国的公共采购或特许市场。
(7) Where a third country is a Party to the WTO Agreement on Government Procurement or has concluded a trade agreement with the Union that includes provisions on public procurement, the Commission should follow the consultation mechanisms or dispute settlement procedures set out in those agreements where the restrictive practices relate to public procurement covered by market access commitments undertaken by that third country towards the Union.
如果第三国是世贸组织《政府采购协定》的缔约方，或与欧盟缔结了包含公共采购条款的贸易协定，那么，如果限制性做法涉及该第三国对欧盟作出的市场准入承诺所涉及的公共采购，欧委会应遵循这些协定中规定的协商机制或争端解决程序。
(8) Many third countries are reluctant to open their public procurement or concession markets to international competition, or to improve access to those markets. As a consequence, Union economic operators face restrictive public procurement practices in many third countries which result in the loss of substantial trading opportunities.
许多第三国不愿意向国际竞争开放其公共采购或特许权市场，也不愿意改善这些市场的准入。因此，欧盟的经济运营商在许多第三国面临着限制性的公共采购做法，这导致了大量贸易机会的丧失。
(9) Regulation (EU) No 654/2014 of the European Parliament and of the Council lays down rules and procedures in order to ensure the exercise of the Union’s rights under international trade agreements concluded by the Union. No such rules and procedures exist for the treatment of economic operators, goods and services that are not covered by such international agreements.
欧洲议会和理事会第654/2014号条例规定了规则和程序，以确保欧盟在其缔结的国际贸易协定下行使其权利。对于不在此类国际协定范围内的经济运营商、商品和服务的待遇，不存在此类规则和程序。
(10) International market access commitments undertaken by the Union towards third countries in the field of public procurement and concessions require, inter alia, the equal treatment of economic operators from those third countries. Consequently, measures adopted under this Regulation can only apply to economic operators, goods or services from third countries that are not parties to the plurilateral WTO Agreement on Government Procurement or to bilateral or multilateral trade agreements concluded with the Union that include commitments on access to public procurement or concession markets, or to economic operators, goods or services from countries that are parties to such agreements but only with respect to public procurement procedures for goods, services or concessions that are not covered by those agreements. In accordance with Directives 2014/23/EU, 2014/24/EU and 2014/25/EU of the European Parliament and the Council and as clarified by the communication of the Commission of 24 July 2019 on Guidance on the participation of third-country bidders and goods in the EU procurement market, economic operators from third countries, which do not have any agreement providing for the opening of the EU procurement market, or whose goods, services and works are not covered by such an agreement, do not have secured access to procurement procedures in the EU and may be excluded.
欧盟在公共采购和特许权领域对第三国作出的国际市场准入承诺，除其他外，要求平等对待这些第三国的经济经营者。因此，根据本条例采取的措施只能适用于来自第三国的经济经营者、货物或服务，这些国家不是世贸组织诸边《政府采购协定》的缔约方，也不是与欧盟缔结的包括公共采购或特许权市场准入承诺的双边或多边贸易协定的缔约方，或者是来自这些协定的国家的经济经营者、货物或服务，但仅适用于这些协定未涉及的货物、服务或特许权的公共采购程序。根据欧洲议会和理事会第2014/23/EU、2014/24/E和2014/25/EU号指令，以及欧盟委员会2019年7月24日关于第三国投标人和货物参与欧盟采购市场的指导意见的函件所阐明的，来自第三国的经济运营商，如果没有任何规定开放欧盟采购市场的协议，或者其货物、服务和工程不在此类协议的范围内，就不能保证进入欧盟的采购程序，可能被排除。
(11) The effective application of any measure adopted under this Regulation with a view to improving the access of Union economic operators to the public procurement or concession markets of certain third countries requires a clear set of rules of origin for economic operators, goods and services.
根据本条例采取的任何措施的有效应用，以改善欧盟经济经营者进入某些第三国的公共采购或特许权市场，需要对经济经营者、货物和服务制定一套明确的原产地规则。
(12) The origin of a good should be determined in accordance with Article 60 of Regulation (EU) No 952/2013 of the European Parliament and of the Council.
商品的原产地应根据欧洲议会和理事会第952/2013号条例（欧盟）第60条来确定。
(13) The origin of a service should be determined on the basis of the origin of the natural or legal person providing it. The origin of a legal person should be considered to be the country under the laws of which a legal person is constituted or otherwise organised and in the territory of which the legal person is engaged in substantive business operations. Legal persons constituted or otherwise organised under the laws of a Member State should only be considered to have their origin in the Union if they have a direct and effective link with the economy of a Member State. To avoid a possible circumvention of an International Procurement Instrument (IPI) measure, the origin of foreign-controlled or owned legal persons that are not engaged in substantive business operations in the territory of a third country or in the territory of a Member State, under the laws of which they are constituted or otherwise organised, may also need to be determined by taking into account other elements, such as the origin of the owners or other persons exercising a dominant influence over that legal person.
一项服务的来源应根据提供该服务的自然人或法人的来源来确定。法人的原籍应被视为根据其法律组建或以其他方式组织的法人，并在其境内从事实质性业务活动的国家。根据一个成员国的法律组建或以其他方式组织的法人，只有在其与一个成员国的经济有直接和有效的联系时，才应被视为起源于欧盟。为避免可能规避国际采购文书（IPI）措施，对于在第三国境内或某一成员国境内未从事实质性商业活动的外国控制或拥有的法人，根据其组建或以其他方式组织的法律，可能还需要考虑其他因素来确定其来源，如所有人或对该法人行使支配性影响的其他人员的来源。
(14) When assessing whether specific measures or practices exist in a third country that could result in an impairment of access of Union economic operators, goods or services to the public procurement or concession markets of that third country, the Commission should examine to what degree laws, rules or other measures on the public procurement or concession markets of the third country concerned ensure transparency in line with international standards, and do not result in serious and recurrent restrictions against Union economic operators, goods, or services. In addition, the Commission should examine to what degree individual third-country contracting authorities or contracting entities adopt or maintain restrictive practices against Union economic operators, goods or services.
在评估第三国是否存在可能导致欧盟经济运营商、货物或服务进入该第三国公共采购或特许权市场的具体措施或做法时，欧委会应审查有关第三国公共采购或特许权市场的法律、规则或其他措施在多大程度上确保了符合国际标准的透明度，并且不会导致对欧盟经济运营商、货物或服务的严重和反复的限制。此外，欧委会应审查个别第三国订约当局或订约实体在多大程度上采取或保持对欧盟经济经营者、货物或服务的限制性做法。
(15) The Commission should be able to initiate at any time a transparent investigation into allegedly restrictive measures or practices adopted or maintained by a third country.
欧委会应能在任何时候对第三国采取或维持的所谓限制性措施或做法发起透明的调查。
(16) Given the overall policy objective of the Union to support the economic growth of least developed countries and their integration into global value chains, the Commission should not start an investigation in respect of countries benefitting from the ‘Everything But Arms’ arrangement as listed in Annex IV of Regulation (EU) No 978/2012 of the European Parliament and of the Council.
鉴于欧盟的总体政策目标是支持最不发达国家的经济增长和融入全球价值链，欧委会不应启动对欧洲议会和理事会第978/2012号条例附件四所列"除武器外的一切产品"安排受益国的调查。
(17) When conducting the investigation, the Commission should invite the third country concerned to enter into consultations with a view to eliminating or remedying any restrictive measures or practices and thereby improving the tendering opportunities for Union economic operators, goods and services regarding public procurement or concession markets in that third country.
在进行调查时，欧委会应邀请有关第三国进行协商，以消除或补救任何限制性措施或做法，从而改善欧盟经济运营商、货物和服务在该第三国的公共采购或特许权市场的投标机会。
(18) It is of the utmost importance that the investigation is carried out in a transparent manner. A report on the main findings of the investigation should therefore be publicly available.
最重要的是，调查是以透明的方式进行的。因此，关于调查的主要结果的报告应公开提供。
(19) Where the investigation confirms the existence of restrictive measures or practices, and the consultations with the third country concerned do not lead to satisfactory corrective actions that remedy the serious and recurrent impairment of access for Union economic operators, goods and services within a reasonable timeframe or where the third country concerned declines to enter into consultations, the Commission should adopt under this Regulation, if it considers such adoption to be in the interest of the Union, an IPI measure in the form of a score adjustment or of an exclusion of tenders.
如果调查证实了限制性措施或做法的存在，并且与有关第三国的协商没有导致令人满意的纠正行动，在合理的时间范围内补救对欧盟经济经营者、货物和服务准入的严重和经常性的损害，或者有关第三国拒绝进行协商，如果欧委会认为采取这种措施符合欧盟的利益，应根据本条例采取调整分数或排除投标的形式的IPI措施。
(20) The determination of whether the adoption of an IPI measure is in the interest of the Union should be based on an appreciation of all the various interests taken as a whole, including the interests of the Union’s economic operators. The Commission should weigh the consequences of adopting such a measure against its impact on the Union’s broader interests. It is important that special consideration is given to the general objective of achieving reciprocity by opening third-country markets and improving market access opportunities for Union economic operators. The objective of limiting any unnecessary administrative burden for contracting authorities and contracting entities as well as economic operators should also be taken into account.
确定采用一项IPI措施是否符合欧盟的利益，应基于对所有各种利益的整体评估，包括欧盟经济运营商的利益。欧委会应权衡采取这种措施的后果与它对欧盟更广泛利益的影响。重要的是，要特别考虑到通过开放第三国市场和改善欧盟经济运营商的市场准入机会来实现互惠的总体目标。还应考虑到限制订约当局和订约实体以及经济经营者的任何不必要的行政负担的目标。
(21) A score adjustment should be applied only for the purpose of the evaluation of tenders submitted by economic operators originating in the third country concerned. Such a measure should not affect the price to be paid under the contract to be concluded with the successful tenderer. When contracting authorities or contracting entities decide to base their evaluation of tenders on a price or cost as the only contract award criterion, the level of score adjustment should be set significantly higher to ensure comparable effectiveness of the IPI measure.
分数调整只应适用于对原产于有关第三国的经济经营者提交的投标书进行评审。这种措施不应影响根据与中标者签订的合同应支付的价格。当订约当局或订约实体决定以价格或成本作为唯一的合同授予标准来评价投标书时，分数调整的水平应大大增加，以确保IPI措施的可比有效性。
(22) IPI measures should apply to public procurement procedures falling under the scope of this Regulation, including framework agreements and dynamic purchasing systems. Where a specific contract is awarded under a dynamic purchasing system to which an IPI measure applies, IPI measures should also apply to that specific contract. However, IPI measures should not apply to contracts below a certain threshold with a view to limiting the overall administrative burden for contracting authorities and contracting entities. In order to avoid a possible double application of IPI measures, such measures should not apply to contracts awarded based on a framework agreement if IPI measures have already been applied at the stage of concluding that framework agreement.
IPI措施应适用于属于本条例范围的公共采购程序，包括框架协议和动态采购系统。如果在动态采购系统下授予某项具体合同，并适用IPI措施，则IPI措施也应适用于该具体合同。但是，为了限制订约当局和订约实体的总体行政负担，IPI措施不应适用于低于一定门槛的合同。为了避免可能出现重复适用IPI措施的情况，如果在缔结框架协议的阶段已经适用了IPI措施，则此类措施不应适用于根据框架协议授予的合同。
(23) To avoid a possible circumvention of an IPI measure, appropriate obligations should be imposed on successful tenderers. Those obligations should apply only to public procurement procedures which are subject to an IPI measure, as well as to contracts awarded based on a framework agreement where the value of such contracts are equal to or above a certain threshold and where that framework agreement is subject to an IPI measure.
为避免可能出现规避IPI措施的情况，应当对中标者规定适当的义务。这些义务应仅适用于受IPI措施约束的公共采购程序，以及根据框架协议授予的合同，如果这些合同的价值等于或高于某一门槛，且该框架协议受IPI措施约束，则适用这些义务。
(24) Where a third country engages in substantive and advanced negotiations with the Union concerning market access in the field of public procurement, with a view to eliminating or remedying the impairment of access of Union economic operators, goods or services to its public procurement or concession markets, the Commission should be able to, during the negotiations, suspend IPI measures which refer to the third country concerned.
如果第三国与欧盟就公共采购领域的市场准入进行实质性的深入谈判，以消除或补救欧盟经济运营商、货物或服务进入其公共采购或特许权市场的障碍，欧委会应能够在谈判期间暂停涉及有关第三国的IPI措施。
(25) It is important that IPI measures are uniformly applied in the Union by contracting authorities and contracting entities. To take into account the diversity of administrative capacity of contracting authorities and contracting entities, Member States should be able to request the exemption from IPI measures for a limited list of local contracting authorities under certain strict requirements. When checking the lists of local contracting authorities as proposed by the Member States, it is important that the Commission take into consideration the particular situation of those contracting authorities as regards, inter alia, the levels of population and the geographical situation. Such exemption could also refer to public procurement procedures that those contracting authorities should be able to carry out under framework agreements or dynamic purchasing systems.
重要的是，订约当局和订约实体在欧盟内统一适用IPI措施。为了考虑到订约当局和订约实体行政能力的多样性，成员国应该能够在某些严格的要求下，要求对有限的地方订约当局名单豁免IPI措施。在检查成员国提出的地方订约当局名单时，欧委会必须考虑到这些订约当局的特殊情况，特别是人口水平和地理状况。这种豁免也可提及这些订约当局应能根据框架协议或动态采购系统进行的公共采购程序。
(26) It is imperative that contracting authorities and contracting entities have access to a range of high-quality products meeting their purchasing requirements at a competitive price. Contracting authorities and contracting entities should therefore be able not to apply IPI measures limiting access of non-covered goods and services where there are no Union or covered goods or services available which meet the requirements of the contracting authority or contracting entity or to safeguard essential public policy needs, for example regarding overriding reasons relating to public health or protection of the environment. When contracting authorities or contracting entities apply those exceptions, the Commission should be informed in a timely and comprehensive manner thereof to allow for appropriate monitoring of the implementation of this Regulation.
当务之急是，订约当局和订约实体能够以有竞争力的价格获得一系列符合其采购要求的高质量产品。因此，如果没有符合订约当局或订约实体要求的欧盟或涵盖的货物或服务，或为了保障基本的公共政策需要，例如关于公共卫生或环境保护的首要原因，订约当局和订约实体应能够不采用限制非涵盖货物和服务的IPI措施。当订约当局或订约实体适用这些例外情况时，应及时和全面地通知欧委会，以便对本条例的执行情况进行适当监测。
(27) In the case of a misapplication by contracting authorities or contracting entities of IPI measures that negatively affects the chances of economic operators having a right to participate in the public procurement procedure, Council Directives 89/665/EEC and 92/13/EEC should be applicable. The affected economic operators should be able to initiate a review procedure in accordance with the national law implementing those Directives if, for example, those economic operators consider that a competing economic operator should have been excluded or a bid should have been ranked lower due to the application of an IPI measure. The Commission should also be able to apply the corrective mechanism in accordance with Article 3 of Directive 89/665/EEC or Article 8 of Directive 92/13/EEC.
如果订约当局或订约实体误用IPI措施，对有权参与公共采购程序的经济经营者的机会产生负面影响，应适用理事会指令89/665/EEC和92/13/EEC。受影响的经济经营者应能根据执行这些指令的国家法律启动审查程序，例如，如果这些经济经营者认为竞争的经济经营者应被排除在外，或由于适用IPI措施而使投标的排名降低。欧委会也应该能够根据第89/665/EEC号指令第3条或第92/13/EEC号指令第8条适用纠正机制。
(28) In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council3.
为了确保执行本条例的统一条件，应赋予欧委会执行权力。这些权力应根据欧洲议会和理事会的第182/2011号条例（欧盟）行使。
(29) The examination procedure should be used for the adoption of implementing acts regarding the adoption, withdrawal, suspension, reinstatement or extension of an IPI measure and the Commission should be assisted by the Trade Barriers Committee established by Regulation (EU) 2015/1843 of the European Parliament and of the Council. Given that IPI measures could have different effects on the Union’s public procurement or concession markets, the comitology procedure applicable to draft implementing acts providing for the exclusion of tenders should be adapted and in such cases Article 5(4), third subparagraph, of Regulation (EU) No 182/2011 should apply.
在通过有关采用、撤销、暂停、恢复或延长投资政策措施的实施法案时，应采用审查程序，欧委会应得到欧洲议会和理事会第（EU）2015/1843号条例设立的贸易壁垒委员会的协助。鉴于投资政策措施可能对欧盟的公共采购或特许权市场产生不同的影响，应调整适用于规定排除投标的实施法案草案的欧委会程序，在这种情况下，应适用（欧盟）第182/2011号条例第5（4）条第三项。
(30) If necessary and for matters affecting the application of the Union’s legal framework on public procurement, the Commission should be able to seek the advice of the Advisory Committee for Public Contracts established by Council Decision 71/306/EEC.
如有必要，对于影响欧盟公共采购法律框架应用的事项，欧委会能征求理事会第71/306/EEC号决定所设公共合同咨询委员会的意见。
(31) Information received pursuant to this Regulation should only be used for the purpose for which it was requested and with due respect to the applicable Union and national data protection and confidentiality requirements. Regulation (EC) No 1049/2001 of the European Parliament and the Council as well as Article 28 of Directive 2014/23/EU, Article 21 of Directive 2014/24/EU and Article 39 of Directive 2014/25/EU should apply accordingly.
根据本条例收到的信息应仅用于请求的目的，并适当尊重适用的欧盟和国家数据保护和保密要求。欧洲议会和理事会第1049/2001号条例以及第2014/23/EU号指令第28条、第2014/24/EU号指令第21条和第2014/25/EU号指令第39条应相应适用。
(32) In line with the Interinstitutional Agreement of 13 April 2016 on Better Law-Making and with a view to, inter alia, reducing administrative burden, in particular on Member States, the Commission should regularly review the scope, functioning and efficiency of this Regulation. Such review would address, inter alia, the possibility of making use of any means available in order to facilitate the exchange of information, including electronic procurement facilities such as the standard forms for the publication of notices in the field of public procurement, pursuant to Commission Implementing Regulation (EU) 2019/1780, as well as the burden incurred by contracting authorities and contracting entities when applying this Regulation. The Commission should report on its assessment to the European Parliament and to the Council and, where appropriate, should submit appropriate legislative proposals.
根据2016年4月13日关于更好地制定法律的机构间协议，并且为了，除其他外，减少行政负担，特别是对成员国而言，欧委会应定期审查本条例的范围、功能和效率。这种审查除其他外将涉及利用任何现有手段促进信息交流的可能性，包括电子采购设施，如根据欧委会第2019/1780号实施条例（欧盟）发布公共采购领域通知的标准表格，以及订约当局和订约实体在适用本条例时的负担。欧委会应向欧洲议会和理事会报告其评估情况，并酌情提交适当的立法建议。
(33) Public procurement rules and principles applicable to public contracts awarded by Union institutions on their own account are set out in Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council and thus fall outside the scope of this Regulation. Under Regulation (EU, Euratom) 2018/1046, those rules are based on the rules set out in Directives 2014/23/EU and 2014/24/EU. It is therefore appropriate to assess whether, in the context of a revision of Regulation (EU, Euratom) 2018/1046, the rules and principles set out in this Regulation should be made applicable also to public contracts awarded by Union institutions.
适用于欧盟机构自行授予的公共合同的公共采购规则和原则在欧洲议会和理事会的（欧盟，欧洲原子能共同体）2018/1046号条例中规定，因此不属于本条例的范围。根据（欧盟，欧洲原子能共同体）2018/1046号条例，这些规则是基于2014/23/EU和2014/24/EU号指令中规定的规则。因此，在修订（欧盟，欧洲原子能共同体）2018/1046号条例的背景下，评估本条例中规定的规则和原则是否也应适用于欧盟机构授予的公共合同是适当的。
(34) To facilitate the application of this Regulation by contracting authorities, contracting entities and economic operators, the Commission should issue guidelines. Those guidelines should provide information, in particular, on the notions of the origin of natural and legal persons, the origin of goods and services, additional obligation and the application of those provisions within the framework of this Regulation. In light of the overall policy objective of the Union to support small and medium-sized enterprises (SMEs), those guidelines should also take into account the specific information needs of SMEs in their application of this Regulation with a view to preventing their overburdening.
为便于订约当局、订约实体和经济经营者适用本条例，欧委会应发布准则。这些准则应提供信息，特别是关于自然人和法人的来源、货物和服务的来源、额外义务以及在本条例框架内适用这些规定的概念。考虑到欧盟支持中小企业的总体政策目标，这些准则在适用本条例时也应考虑到中小企业的具体信息需求，以防止其负担过重。
(35) In accordance with the principle of proportionality and in order to achieve the basic objective of improving the access of Union economic operators, goods and services to the public procurement or concession markets of third countries by establishing measures regarding non-covered procurement, it is necessary and appropriate to lay down rules on procedures for the Commission to undertake investigations into alleged third-country measures or practices against Union economic operators, goods and services, and to enter into consultations with the third countries concerned. This Regulation does not go beyond what is necessary in order to achieve the objectives pursued, in accordance with Article 5(4) of the TEU,
根据相称性原则，为了实现通过制定有关非承保采购的措施来改善欧盟经济运营商、货物和服务进入第三国公共采购或特许权市场的基本目标，有必要和适当地制定有关程序的规则，以便欧委会对指控的第三国针对欧盟经济运营商、货物和服务的措施或做法进行调查，并与有关第三国进行磋商。根据TEU第5(4)条的规定，本条例没有超出为实现所追求的目标而必须的范围,
HAVE ADOPTED THIS REGULATION:
采纳了这一条例:
CHAPTER I
第一章
General provisions
一般规定
Article 1
第1条
Subject matter and scope of application
主题事项和适用范围
1.This Regulation establishes measures regarding non-covered procurement, intended to improve the access of Union economic operators, goods and services to the public procurement and concession markets of third countries. It lays down procedures for the Commission to undertake investigations into alleged third-country measures or practices against Union economic operators, goods and services, and to enter into consultations with the third countries concerned.
本条例规定了有关非涵盖性采购的措施，旨在改善欧盟经济运营商、货物和服务进入第三国的公共采购和特许权市场的机会。它规定了欧委会对第三国针对欧盟经济运营商、货物和服务的所谓措施或做法进行调查的程序，并与有关第三国进行磋商。
This Regulation provides for the possibility for the Commission to impose IPI measures in relation to such third-country measures or practices to restrict the access of economic operators, goods or services from third countries to Union public procurement procedures.
本条例规定，欧委会可以就第三国限制第三国经济经营者、货物或服务进入欧盟公共采购程序的措施或做法，实施IPI措施。
2.This Regulation shall apply to public procurement procedures covered by the following acts:
本条例应适用于下列法案所涉及的公共采购程序：
(a) Directive 2014/23/EU;
(b) Directive 2014/24/EU;
(c) Directive 2014/25/EU.
(a) 第2014/23/EU号指令；
(b) 第2014/24/EU号指令；
(c) 第2014/25/EU号指令。
3.This Regulation shall be without prejudice to any international obligations of the Union or to measures that Member States or their contracting authorities or contracting entities may take in accordance with the acts referred to in paragraph 2.
本条例不影响欧盟的任何国际义务，也不影响成员国或其订约当局或订约实体根据第2款提及的法案可能采取的措施。
4.This Regulation shall apply to public procurement procedures launched after its entry into force. An IPI measure shall apply only to public procurement procedures which are covered by the IPI measure and have been launched between the entry into force of that IPI measure and its expiry, withdrawal or suspension. Contracting authorities and contracting entities shall include a reference to the application of this Regulation and any applicable IPI measure in the public procurement documents for procedures falling within the scope of an IPI measure.
本条例应适用于其生效后启动的公共采购程序。一项IPI措施应仅适用于该IPI措施所涵盖的、在该IPI措施生效至其到期、撤销或中止期间启动的公共采购程序。订约当局和订约实体应在属于IPI措施范围的程序的公共采购文件中提及本条例和任何适用的IPI措施的适用。
5.Environmental, social and labour requirements shall apply to economic operators in accordance with Directives 2014/23/EU, 2014/24/EU and 2014/25/EU, or other Union law.
环境、社会和劳工要求应根据第2014/23/EU、2014/24/EU和2014/25/EU号指令或其他欧盟法律，适用于经济运营商。
Article 2
第2条
Definitions
定义
1. For the purposes of this Regulation, the following definitions apply:
为了本条例的目的，适用以下定义：
(a) ‘economic operator’ means an economic operator as defined in Directives 2014/23/EU, 2014/24/EU and 2014/25/EU;
‘经济经营者’是指第2014/23/EU号、第2014/24/EU号和第2014/25/EU号指令中定义的经济经营者。
(b) ‘goods’ means goods referred to in the object of a public procurement procedure and in the specifications of the relevant contract, but does not cover any input, material or ingredient incorporated in the supplied goods;
‘货物’是指公共采购程序的对象和相关合同的规格中提到的货物，但不包括所提供货物中包含的任何投入、材料或成分。
(c) ‘estimated value’ means the estimated value of a contract calculated in accordance with Directives 2014/23/EU, 2014/24/EU and 2014/25/EU;
‘估计价值’是指根据第2014/23/EU、2014/24/EU和2014/25/EU号指令计算的合同估计价值。
(d) ‘score adjustment’ means the relative diminution by a given percentage of the score of a tender, resulting from its evaluation by a contracting authority or a contracting entity, on the basis of the contract award criteria defined in the relevant public procurement documents. In cases where price or cost is the only contract award criterion, the score adjustment means the relative increase, for the purpose of the evaluation of tenders, by a given percentage of the price offered by a tenderer;
‘分数调整’是指订约当局或订约实体根据相关公共采购文件中规定的合同授标标准对投标书进行评价后，将其分数按一定比例相对减少。如果价格或成本是唯一的合同授予标准，分数调整是指为了评价投标书，将投标人提供的价格按一定比例相对提高。
(e) ‘evidence’ means any information, certificate, supporting document or statement that aims to prove compliance with the obligations set out in Article 8, such as:
‘证据’是指旨在证明遵守第8条规定的义务的任何资料、证书、证明文件或声明，例如:
(i) documents showing that the goods are originating in the Union or a third country;
表明货物原产于欧盟或第三国的文件;
(ii) a description of manufacturing processes, including samples, descriptions or photographs, for goods to be supplied;
对拟供应货物的制造工艺的描述，包括样品、说明或照片;
(iii) an extract of relevant registers or of financial statements for the origin of services, including a value-added tax (VAT) identification number;
有关登记册或服务来源的财务报表的摘要，包括增值税（VAT）识别号码
(f) ‘contracting authority’ means a contracting authority as defined in Directives 2014/23/EU, 2014/24/EU and 2014/25/EU;
‘订约机构’是指第2014/23/EU号、第2014/24/EU号和第2014/25/EU号指令中定义的订约机构;
(g) ‘contracting entity’ means a contracting entity as defined in Directives 2014/23/EU and 2014/25/EU;
‘订约实体’是指第2014/23/EU号和第2014/25/EU号指令中定义的订约实体;
(h) ‘interested party’ means any person or entity whose interest might be affected by a third-country measure or practice, such as undertakings, associations of undertakings or the main cross-industry organisations representing social partners at Union level;
‘利害关系人’是指其利益可能受到第三国措施或做法影响的任何个人或实体，如企业、企业协会或在欧盟一级代表社会伙伴的主要跨行业组织;
(i) ‘third-country measure or practice’ means any legislative, regulatory or administrative measure, procedure or practice, or combination thereof, adopted or maintained by public authorities or individual contracting authorities or contracting entities in a third country, at any level, that results in a serious and recurrent impairment of access of Union economic operators, goods or services to the public procurement or concession markets of that third country;
‘第三国措施或做法’是指第三国公共当局或个别订约当局或订约实体在任何级别采取或维持的任何立法、监管或行政措施、程序或做法，或其组合，导致欧盟经济经营者、货物或服务进入该第三国的公共采购或特许权市场的机会受到严重和反复的损害;
(j) ‘IPI measure’ means a measure adopted by the Commission in accordance with this Regulation limiting the access of economic operators, goods or services originating in third countries to the Union public procurement or concession markets in the area of non-covered procurement;
‘IPI措施’是指欧委会根据本条例采取的限制原产于第三国的经济经营者、货物或服务进入欧盟公共采购或特许权市场的非覆盖采购领域的措施。
(k) ‘non-covered procurement’ means public procurement procedures for goods, services or concessions regarding which the Union has not undertaken market access commitments in an international agreement in the field of public procurement or concessions;
‘非涵盖性采购’是指欧盟未在公共采购或特许权领域的国际协议中作出市场准入承诺的货物、服务或特许权的公共采购程序。
(l) ‘contracts’ means public contracts as defined in Directive 2014/24/EU, concessions as defined in Directive 2014/23/EU and supply, works and service contracts as defined in Directive 2014/25/EU;
‘合同’是指第2014/24/EU号指令中定义的公共合同、第2014/23/EU号指令中定义的特许权以及第2014/25/EU号指令中定义的供应、工程和服务合同。
(m) ‘tenderer’ means a tenderer as defined in Directives 2014/23/EU, 2014/24/EU and 2014/25/EU;
‘投标人’是指第2014/23/EU号指令、第2014/24/EU号指令和第2014/25/EU号指令中定义的投标人。
(n) ‘country’ means any State or separate customs territory, without such term having implications for sovereignty;
‘国家’是指任何国家或单独的关税区，该术语不涉及主权问题。
(o) ‘subcontracting’ means arranging the execution of a part of a contract by a third party and does not include the mere delivery of goods or parts that are necessary for the provision of a service.
‘分包’是指安排第三方执行合同的一部分，不包括仅仅交付提供服务所需的货物或部件。
2. For the purpose of this Regulation, except for Article 6(3) and (7) thereof, the execution of works or a work within the meaning of Directives 2014/23/EU, 2014/24/EU and 2014/25/EU shall be considered as the provision of a service.
就本条例而言，除其第6（3）和（7）条外，第2014/23/EU、2014/24/EU和2014/25/EU号指令意义上的工程或工作的执行应被视为提供服务。
Article 3
第3条
Determination of origin
确定原产地
1. The origin of an economic operator shall be deemed to be:
经济行为人的原产地应被认为是：
(a) in the case of a natural person, the country of which the person is a national or where that person has a right of permanent residence;
在自然人的情况下，该人是其国民或拥有永久居留权的国家；
(b) in the case of a legal person, either of the following:
在法人的情况下，以下任何一项：
(i) the country under the laws of which the legal person is constituted or otherwise organised and in the territory of which the legal person is engaged in substantive business operations;
该法人根据其法律组成或以其他方式组织的国家，以及该法人在其境内从事实质性商业活动的国家；
(ii) if the legal person is not engaged in substantive business operations in the territory of the country in which it is constituted or otherwise organised, the origin of the legal person is to be that of the person or persons who may exercise, directly or indirectly, a dominant influence on the legal person by virtue of their ownership of that legal person, their financial participation therein, or the rules which govern that legal person.
如果法人不在其组建或以其他方式组织的国家境内从事实质性业务活动，则法人的来源应为因其对该法人的所有权、财务参与或管理该法人的规则而可能直接或间接对该法人施加支配性影响的一个或多个人的来源。
For the purposes of the first subparagraph, point (b)(ii), that person or persons shall be presumed to have a dominant influence on the legal person in any of the following cases in which they, directly or indirectly:
就第一项(b)(ii)点而言，在下列任何一种情况下，如果该人直接或间接地对该法人产生支配性影响，则应推定该人或该等人对该法人产生支配性影响：
(a) hold the majority of the legal person’s subscribed capital;
持有该法人的多数认购资本；
(b) control the majority of the votes attaching to shares issued by the legal person; or
控制该法人发行的股份所附的多数投票权；或
(c) can appoint more than half of the legal person’s administrative, management or supervisory body.
可以任命该法人的行政、管理或监督机构的半数以上成员。
2.Where an economic operator is a group of natural or legal persons, public entities or any combination thereof, and at least one of such persons or entities originates from a third country whose economic operators, goods or services are subject to an IPI measure, that IPI measure shall also apply to tenders submitted by that group.
如果一个经济经营者是一个由自然人或法人、公共实体或其任何组合组成的集团，并且其中至少有一个人或实体来自其经济经营者、商品或服务受IPI措施约束的第三国，该IPI措施也应适用于该集团提交的投标。
However, where the participation of such persons or entities in a group amounts to less than 15 % of the value of a tender submitted by that group, that IPI measure shall not apply to that tender, unless those persons or entities are necessary in order to fulfil the majority of at least one of the selection criteria in a public procurement procedure.
但是，如果这些人或实体在一个集团中的参与程度低于该集团提交的投标书价值的15%，则该投资政策措施不应适用于该投标书，除非这些人或实体是满足大多数公共采购程序中的至少一个选择标准。
3.Contracting authorities or contracting entities may, at any time during the public procurement procedure, request the economic operator to submit, supplement, clarify or complete the information or documentation related to the verification of the economic operator’s origin within an appropriate time limit, provided that such requests are made in compliance with the principles of equal treatment and transparency. Where the economic operator fails to provide such information or documentation without any reasonable explanation, and thereby prevents the verification of the economic operator’s origin by contracting authorities or contracting entities or makes such a verification practically impossible or very difficult, that economic operator shall be excluded from participation in the public procurement procedure concerned.
订约当局或订约实体可在公共采购程序中的任何时候，要求经济经营者在适当的时限内提交、补充、澄清或完成与核实经济经营者的来源有关的信息或文件，但这种要求必须符合平等待遇和透明度的原则。如果经济经营者在没有任何合理解释的情况下未能提供此类信息或文件，从而阻碍了订约当局或订约实体对经济经营者的来源进行核查，或使这种核查实际上不可能或非常困难，则该经济经营者应排除在有关公共采购程序之外。
4.The origin of a good shall be determined in accordance with Article 60 of Regulation (EU) No 952/2013, and the origin of a service shall be determined on the basis of the origin of the economic operator providing it.
货物的原产地应根据（欧盟）第952/2013号条例第60条确定，而服务的原产地应根据提供服务的经济经营者的原产地确定。
Article 4
第4条
Exemption for goods and services originating in least developed countries
对原产于最不发达国家的货物和服务的豁免
The Commission shall not initiate an investigation in respect of least developed countries listed in Annex IV to Regulation (EU) No 978/2012, unless there is evidence of a circumvention of any IPI measure imputable to the listed third country or their economic operators.
欧盟委员会不得对第978/2012号条例（欧盟）附件四所列的最不发达国家启动调查，除非有证据表明所列第三国或其经济经营者规避了任何IPI措施。
CHAPTER II
第二章
Investigations, consultations, measures and obligations
调查、协商、措施和义务
Article 5
第5条
Investigations and consultations
调查和协商
1.On its own initiative or upon a substantiated complaint of a Union interested party or a Member State, the Commission may initiate an investigation into an alleged third-country measure or practice by publishing a notice in the Official Journal of the European Union. Such a notice of initiation shall include the Commission’s preliminary assessment of the third-country measure or practice and invite interested parties and Member States to provide relevant information to the Commission within a specified period of time.
欧委会可主动或在欧盟有关方或成员国提出证据确凿的投诉后，在《欧洲联盟官方公报》上发布通知，启动对指称的第三国措施或做法的调查。这种启动通知应包括欧委会对第三国措施或做法的初步评估，并邀请利益方和成员国在规定时间内向欧委会提供相关信息。
The Commission shall make an online tool available on its website. Member States and Union interested parties shall use that tool in order to submit a substantiated complaint.
欧委会应在其网站上提供一个在线工具。成员国和欧盟相关方应使用该工具，以提交有根据的投诉。
2.Upon publication of the notice referred to in paragraph 1, the Commission shall invite the third country concerned to submit its views, provide relevant information and enter into consultations with the Commission in order to eliminate or remedy the alleged third-country measure or practice. The Commission shall regularly inform Member States on the progress of the investigation and consultations within the Trade Barriers Committee established by Article 7 of Regulation (EU) 2015/1843.
在公布第1段所述的通知后，欧委会应邀请有关第三国提交其意见，提供相关信息，并与欧委会进行协商，以消除或补救被指控的第三国措施或做法。欧委会应定期向成员国通报调查的进展情况，并在根据（欧盟）2015/1843号条例第7条设立的贸易壁垒委员会内进行磋商。
3.The investigation and consultations shall be concluded within a period of nine months after the date of their initiation. In justified cases, the Commission may extend this period by five months by publishing a notice in the Official Journal of the European Union and informing the third country, interested parties and Member States of that extension.
调查和磋商应在启动之日起九个月内结束。在合理的情况下，欧委会可将这一期限延长5个月，在《欧盟官方公报》上发布通知，并通知第三国、相关方和成员国这一延长。
4.Upon conclusion of the investigation and the consultations, the Commission shall make publicly available a report setting out the main findings of the investigation and a proposed course of action. The Commission shall present that report to the European Parliament and to the Council.
调查和磋商结束后，欧委会应公开发布一份报告，列出调查的主要结果和拟议的行动方案。欧委会应向欧洲议会和理事会提交该报告。
5.Where the Commission finds, following its investigation, that the alleged third-country measure or practice is not maintained or that it does not result in a serious and recurrent impairment of access of Union economic operators, goods or services to the public procurement or concession markets of the third country, the Commission shall terminate the investigation, and publish a notice of termination in the Official Journal of the European Union.
如果欧委会在调查后发现，被指控的第三国措施或做法没有得到维持，或没有导致欧盟经济运营商、货物或服务进入第三国公共采购或特许权市场的严重和反复的损害，欧委会应终止调查，并在《欧洲联盟公报》上发布终止通知。
6.The Commission may suspend the investigation and the consultations at any time where the third country concerned:
欧委会可以在任何时候中止调查和磋商，如果有关第三国：
(a) takes satisfactory corrective actions to eliminate or remedy the serious and recurrent impairment of access of Union economic operators, goods or services to the public procurement or concession markets of the third country, and thereby improve such access; or
采取令人满意的纠正行动，消除或补救对欧盟经济经营者、货物或服务进入第三国公共采购或特许市场的严重和经常性的损害，从而改善这种准入；或
(b) undertakes commitments towards the Union to end or phase out the third-country measure or practice, including by extending the scope of an existing agreement to public procurement, within a reasonable period of time and no later than six months after undertaking such commitments.
在合理的时间内且不迟于作出这种承诺后的6个月，向欧盟承诺结束或逐步取消第三国的措施或做法，包括将现有协议的范围扩大到公共采购。
7.The Commission shall resume the investigation and the consultations at any time if it concludes that the reasons for the suspension are no longer valid.
如果欧委会认为中止的理由不再成立，应随时恢复调查和磋商。
8.The Commission shall publish a notice in the Official Journal of the European Union in the event of a suspension or resumption of the investigation and consultations.
欧委会应在暂停或恢复调查和磋商的情况下，在《欧洲联盟官方公报》上发布通知。
Article 6
第6条
IPI measures
IPI措施
1.Where the Commission finds, following an investigation and consultations pursuant to Article 5, that a third-country measure or practice exists, it shall, if it considers it to be in the interest of the Union, adopt an IPI measure by means of an implementing act. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 11(2).
如果欧委会在根据条款5进行调查和磋商后，发现存在第三国的措施或做法，如果它认为符合欧盟的利益，它应通过一项实施法来采取一项IPI措施。该实施法应根据条款11第2条中提到的审查程序通过。
2.A determination as to whether it is in the Union’s interest to adopt an IPI measure shall be based on an appreciation of all the various interests taken as a whole, including the interests of the Union’s economic operators. IPI measures shall not be adopted where the Commission, on the basis of all the information available, concludes that it is not in the Union’s interest to adopt such measures.
确定采取一项IPI措施是否符合欧盟的利益，应基于对所有各种利益的整体评估，包括欧盟经济运营商的利益。如果欧委会根据现有的所有信息得出结论，认为采取IPI措施不符合欧盟的利益，则不应采取这种措施。
3.The IPI measure shall be determined in light of available information and on the basis of the following criteria:
IPI措施应根据现有信息和以下标准来确定：
(a) the proportionality of the IPI measure with regard to the third-country measure or practice;
IPI措施与第三国措施或做法的相称性；
(b) the availability of alternative sources of supply for the goods and services concerned, in order to avoid or minimise a significant negative impact on contracting authorities and contracting entities.
有关货物和服务的替代供应来源的可用性，以避免或尽量减少对订约当局和订约实体的重大负面影响。
4.The IPI measure shall only apply to public procurement procedures with an estimated value above a threshold to be determined by the Commission in light of the results of the investigation and consultations and taking into consideration the criteria set out in paragraph 3. That estimated value should be equal to or above EUR 15 000 000 net of VAT for works and concessions, and equal to or above EUR 5 000 000 net of VAT for goods and services.
IPI措施应仅适用于估计价值超过欧委会根据调查和磋商结果并考虑到第3款规定的标准而确定的门槛的公共采购程序。对于工程和特许权，该估计价值应等于或超过15 000 000欧元（扣除增值税），对于货物和服务，应等于或超过5 000 000欧元（扣除增值税）。
5. The IPI measure shall apply in the case of specific contracts awarded under a dynamic purchasing system where the IPI measure also applies to those dynamic purchasing systems, with the exception of specific contracts the estimated value of which is below the respective values set out in Article 8 of Directive 2014/23/EU, Article 4 of Directive 2014/24/EU or Article 15 of Directive 2014/25/EU. The IPI measure shall not apply to public procurement procedures for the award of contracts based on a framework agreement or to contracts for individual lots to be awarded in accordance with Article 5(10) of Directive 2014/24/EU or Article 16(10) of Directive 2014/25/EU.
IPI措施应适用于根据动态采购系统授予的具体合同，而IPI措施也适用于这些动态采购系统，但估计价值低于第2014/23/EU号指令第8条、第2014/24/EU号指令第4条或第2014/25/EU号指令第15条中规定的相应价值的具体合同除外。IPI措施不应适用于根据框架协议授予合同的公共采购程序，或根据第2014/24/EU号指令第5（10）条或第2014/25/EU号指令第16（10）条授予单个批次的合同。
6.In the IPI measure referred to in paragraph 1, the Commission may decide, within the scope established in paragraph 8, to restrict the access of economic operators, goods or services from a third country to public procurement procedures by requiring contracting authorities or contracting entities to:
在第1款提及的IPI措施中，欧委会可在第8款规定的范围内决定限制第三国的经济经营者、货物或服务进入公共采购程序，要求订约当局或订约实体：
(a) impose a score adjustment on tenders submitted by economic operators originating in that third country; or
对原产于该第三国的经济经营者提交的投标书进行评分调整；或
(b) exclude tenders submitted by economic operators originating in that third country.
排除原产于该第三国的经济经营者提交的投标书。
7.The score adjustment referred to in paragraph 6, point (a), shall apply only for the purpose of the evaluation and ranking of the tenders. It shall not affect the price to be paid under the contract to be concluded with the successful tenderer.
第6款(a)项提及的分数调整应仅适用于对投标书的评审和排名的目的。它不应影响根据与中标者签订的合同所应支付的价格。
8.In the IPI measure referred to in paragraph 1 the Commission shall specify the scope of application of the IPI measure, including:
在第1款提及的IPI措施中，欧委会应明确IPI措施的适用范围，包括：
(a) the sectors or the categories of goods, services and concessions based on the Common Procurement Vocabulary as established by Regulation (EC) No 2195/2002 of the European Parliament and of the Council, as well as any applicable exceptions;
根据欧洲议会和欧洲理事会第2195/2002号条例（18）确定的共同采购词汇表的部门或货物、服务和特许权类别，以及任何适用的例外情况。
(b) the specific categories of contracting authorities or contracting entities;
订约当局或订约实体的具体类别；
(c) the specific categories of economic operators;
经济经营者的具体类别；
(d) the specific thresholds equal to or above those set out in paragraph 4;
等于或高于第4条规定的具体门槛；
(e) where appropriate, the percentage values of a score adjustment referred to in paragraph 6, point (a).
在适当情况下，第6款(a)点中提到的分数调整的百分比值。
The percentage value of the adjustment as referred to in point (e) of the first subparagraph shall be set up to 50 % of the evaluation score of the tender, depending on the third country and sector of envisaged goods, services, works or concessions. For the purpose of public procurement procedures, where price or cost is the only contract award criterion, the score adjustment shall be twice the percentage value as set out in the first sentence of this subparagraph. An IPI measure shall indicate the respective percentage values separately.
第一项(e)点所述的调整百分比值，应根据第三国和所设想的货物、服务、工程或特许权部门的情况，设定为不超过投标书评审分数的50%。在公共采购程序中，如果价格或成本是唯一的合同授予标准，分数调整应是本项第一句规定的百分比值的两倍。一项IPI措施应分别说明各自的百分比值。
9.When determining the IPI measure based on the options under paragraph 6, point (a) or (b), the Commission shall opt for the kind of measure that would be proportionate and most effectively remedy the level of impairment of access for Union economic operators, goods or services to third-country public procurement or concession markets.
当根据第6条(a)点或(b)点的选项确定IPI措施时，欧委会应选择那种相称的、最有效的补救欧盟经济运营商、货物或服务进入第三国公共采购或特许市场的损害程度的措施。
10.Where the Commission considers that the third country takes satisfactory corrective actions to eliminate or remedy the impairment of access for Union economic operators, goods or services to public procurement or concession markets of that third country, thereby improving such access, or if the third country undertakes commitments to end the measure or practice in question, the Commission may withdraw the IPI measure or suspend its application.
如果欧委会认为第三国采取了令人满意的纠正措施，以消除或补救对欧盟经济经营者、货物或服务进入该第三国公共采购或特许市场的损害，从而改善这种准入，或者如果第三国承诺结束有关措施或做法，欧委会可以撤销IPI措施或暂停其适用。
Where the Commission considers that the corrective actions or commitments undertaken have been rescinded, suspended or improperly implemented, it shall make its findings publicly available and reinstate the IPI measure at any time.
如果欧委会认为所采取的纠正行动或承诺已被撤销、中止或不适当地执行，它应公开其调查结果，并立即恢复IPI措施。
The Commission may withdraw, suspend or reinstate an IPI measure by means of an implementing act and in such cases, shall publish a notice in the Official Journal of the European Union. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 11(2).
欧委会可以通过实施法案的方式撤销、暂停或恢复一项IPI措施，在这种情况下，应在《欧盟官方公报》上发布通知。实施办法依照条款11第2条规定的审查程序执行。
11.An IPI measure shall expire five years from its entry into force. An IPI measure may be extended for a duration of five years. The Commission shall initiate a review of the IPI measure in question no later than nine months before the date of expiry of that IPI measure, by publishing a notice in the Official Journal of the European Union. Such a review shall be concluded within six months from publication of the relevant notice. Following such a review, the Commission may extend the duration of the IPI measure, adjust it appropriately or replace it with a different IPI measure by means of an implementing act. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 11(2).
一项IPI措施应在其生效后5年内失效。一项IPI措施可以延长五年的期限。欧委会应在该IPI措施到期前9个月，通过在《欧盟官方公报》上发布通知，启动对有关IPI措施的审查。这种审查应在相关通知发布后6个月内完成。在这样的审查之后，欧委会可以延长IPI措施的期限，对其进行适当的调整，或通过实施法案用不同的IPI措施来取代它。该实施细则应按照第11条第2款所述的审查程序通过。
Article 7
第7条
List of contracting authorities exempted from the application of this Regulation
免于适用本条例的订约当局名单
1.Upon a justified request by a Member State, the Commission may adopt, with a view to a fair distribution among Member States of the award procedures subject to IPI measures, a list of local contracting authorities in that Member State, within administrative units with population below 50 000 inhabitants, that are exempted from the application of this Regulation.
根据成员国的合理要求，欧委会可以通过一份该成员国人口在5万以下的行政单位内免于适用本条例的地方订约当局的名单，以便在成员国之间公平分配受IPI措施约束的授标程序。
2.In its request, the Member State shall provide detailed information justifying the request for exemption and regarding the value of the contracts that are above the thresholds set out in Article 6(4) of this Regulation, awarded by all listed contracting authorities or contracting entities over the past three years from the 31 December preceding the request for exemption. An exemption may only be granted if the total value of contracts above the thresholds set out in Article 6(4) of this Regulation, and awarded by the contracting authorities or contracting entities which are not to be exempted, exceeds 80 % of the total value of above thresholds contracts falling within the scope of Directives 2014/23/EU, 2014/24/EU and 2014/25/EU awarded in the requesting Member State in the same three-year period.
在其请求中，该成员国应提供详细资料，说明提出豁免请求的理由，并说明从提出豁免请求前的12月31日开始的过去三年中，所有被列名的订约当局或订约实体所授予的超过本条例第6(4)条规定的阈值的合同的价值。只有当超过本条例第6(4)条规定的门槛的合同总价值，并由不被豁免的订约当局或订约实体授予，超过属于2014/23/EU、2014/24/EU和2014/25/EU号指令范围内的上述门槛合同总价值的80%，才能被授予豁免。
3.The exemption shall be limited to what is strictly necessary and proportionate, taking into account the administrative capacity of the contracting authorities to be exempted.
豁免应限制在严格必要和相称的范围内，同时考虑到被豁免的订约当局的行政能力。
4.The Commission shall inform Member States before adopting the list referred to in paragraph 1. That list, to be published in the Official Journal of the European Union, shall be valid for a period of three years and may be revised or renewed every three years upon justified request by the Member State concerned.
欧委会应在通过第1款所述的名单之前通知各成员国。该名单将在《欧盟官方公报》上公布，有效期为三年，并可根据有关成员国的合理要求每三年修订或更新一次。
Article 8
第8条
Obligations upon the successful tenderer
中标者的义务
1.In the case of public procurement procedures which are subject to an IPI measure, as well as in the case of contracts awarded on the basis of a framework agreement where the estimated value of those contracts is equal to or above the values set out in Article 8 of Directive 2014/23/EU, Article 4 of Directive 2014/24/EU and Article 15 of Directive 2014/25/EU and where those framework agreements were subject to the IPI measure, contracting authorities and contracting entities shall also include in public procurement documents the following obligations on successful tenderers:
1. 如果公共采购程序受制于IPI措施，并且是在框架协议基础上授予合同，且这些合同的估计价值等于或高于第2014/23/EU号指令第8条、第2014/24/EU号指令第4条和第2014/25/EU号指令第15条规定的价值，并且这些框架协议受制于IPI措施，订约当局和订约实体还应在公共采购文件中规定中标人的下列义务：
(a) not to subcontract more than 50 % of the total value of the contract to economic operators originating in a third country which is subject to an IPI measure;
不得将合同总价值的50%以上分包给原产于受IPI措施约束的第三国的经济经营者。
(b) for contracts whose subject matter covers the supply of goods, to ensure for the duration of the contract that goods or services supplied or provided in the execution of the contract and originating in the third country which is subject to the IPI measure represent no more than 50 % of the total value of the contract, irrespective of whether such goods or services are supplied or provided directly by the successful tenderer or by a subcontractor;
对于标的包括货物供应的合同，确保在合同有效期内，为执行合同而提供的货物或服务中，原产于受投资移民措施影响的第三国的货物或服务不超过合同总价值的50％，无论这些货物或服务是由中标者直接提供还是由分包者提供。
(c) to provide to the contracting authority or to the contracting entity upon their request adequate evidence corresponding to point (a) or (b), at the latest upon completion of the execution of the contract;
向订约当局或应订约实体的要求提供与(a)或(b)点相应的充分证据，最迟在合同执行完成后提供。
(d) to pay a proportionate charge, in the event of non-observance of the obligations referred in point (a) or (b), of between 10 % and 30 % of the total value of the contract.
在不遵守(a)或(b)点所述义务的情况下，按比例支付合同总价值的10％至30％的费用。
2.For the purposes of paragraph 1, point (c), it is sufficient to provide evidence that more than 50 % of the total value of the contract originates in countries other than the third country subject to the IPI measure. The contracting authority or contracting entity shall request relevant evidence where reasonable indications of non-compliance with paragraph 1, point (a) or (b), exist or where the contract is awarded to a group of economic operators comprising a legal person originating in the third country subject to an IPI measure.
就第1款(c)而言，只要提供证据证明合同总价值的50%以上来自受IPI措施约束的第三国以外的国家即可。如果有合理的迹象表明不符合第1款(a)或(b)点的规定，或者合同被授予由原产于受IPI措施约束的第三国的法人组成的经济运营商集团，订约当局或订约实体应要求提供相关证据。
3.Contracting authorities and contracting entities shall include a reference to the obligations set out in this Article in the documents for public procurement procedures to which an IPI measure is applicable.
订约当局和订约实体应在适用IPI措施的公共采购程序文件中提及本条规定的义务。
Article 9
第9条
Exceptions
例外情况
1.Contracting authorities and contracting entities may on an exceptional basis decide not to apply an IPI measure with respect to a public procurement procedure where:
订约当局和订约实体可在特殊情况下决定不对某一公共采购程序适用IPI措施，条件是：
(a) only tenders from economic operators originating in a third country subject to an IPI measure meet the tender requirements; or
只有来自受IPI措施约束的第三国的经济经营者的投标书符合投标要求；或
(b) the decision not to apply the IPI measure is justified for overriding reasons relating to the public interest, such as public health or protection of the environment.
不适用IPI措施的决定是出于与公共利益有关的压倒性原因，如公共卫生或环境保护。
2.Where a contracting authority or contracting entity decides not to apply an IPI measure, it shall provide the following information to the Commission, in a manner to be decided by the respective Member State and no later than thirty days after the award of the contract:
如果订约当局或订约实体决定不采用IPI措施，它应按照各成员国决定的方式，在不晚于合同授予后30天内向欧委会提供以下信息：
(a) the name and contact details of the contracting authority or contracting entity;
订约当局或订约实体的名称和详细联系资料；
(b) a description of the object of the contract;
对合同对象的描述；
(c) information on the origin of the economic operators;
有关经济从业者的来源信息；
(d) the ground on which the decision not to apply the IPI measure is based, and a detailed justification for the application of the exception;
不适用IPI措施的决定所依据的理由，以及适用例外情况的详细理由；
(e) where appropriate, any other information deemed useful by the contracting authority or contracting entity.
适当时，订约当局或订约实体认为有用的任何其他信息。
The Commission may ask the Member States concerned for additional information.
欧委会可要求有关成员国提供补充信息。
Article 10
第10条
Remedies
补救措施
To ensure the legal protection of economic operators having or having had an interest in obtaining a particular contract falling under the scope of this Regulation, Directives 89/665/EEC and 92/13/EEC shall apply accordingly.
为确保在获得属于本条例范围内的特定合同中拥有或曾经拥有利益的经济经营者的法律保护，第89/665/EEC和92/13/EEC号指令应相应适用。
CHAPTER III
第三章
Implementing powers, reporting and final provisions
实施权力、报告和最终条款
Article 11
第11条
Committee procedure
委员会程序
1.The Commission shall be assisted by the Committee established by Article 7 of Regulation (EU) 2015/1843. That committee shall be a committee within the meaning of Article 3 of Regulation (EU) No 182/2011.
欧委会应得到（欧盟）2015/1843号条例第7条设立的委员会的协助。该委员会应是（欧盟）第182/2011号条例第3条意义上的委员会。
2.Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.
凡提及本款，应适用（欧盟）第182/2011号条例第5条。
3.Where the Committee delivers no opinion for the adoption of draft IPI measure in the form of an exclusion of tenders, pursuant to Article 6, paragraph 6, point (b) of this Regulation, the Commission shall not adopt the draft implementing act and Article 5(4), third subparagraph, of Regulation (EU) No 182/2011 shall apply.
如果委员会没有根据本条例第6条第6款(b)项的规定对通过排除投标形式的IPI措施草案提出意见，则欧委会不得通过该实施细则草案，并应适用第182/2011号条例（欧盟）第5条第4款第3项。
Article 12
第12条
Guidelines
准则
To facilitate the application of this Regulation by contracting authorities and contracting entities and by economic operators, the Commission shall, within six months from 29 August 2022, issue guidelines.
为便于订约当局和订约实体以及经济经营者适用本条例，委员会应在2022年8月29日起的六个月内发布准则。
Article 13
第13条
Reporting
报告
1.By 30 August 2025 and at least every two years thereafter, the Commission shall submit a report to the European Parliament and to the Council on the application of this Regulation and on the progress made in international negotiations, regarding access for Union economic operators to the public procurement or concession markets of third countries, undertaken under this Regulation. That report shall be made public. Member States shall, upon request, provide the Commission with information on the application of measures under this Regulation, including as regards the number of public procurement procedures at central and sub-central level in which a given IPI measure was applied, the number of tenders received from third countries subject to that IPI measure, as well as cases in which a specific exception from the IPI measure was applied.
在2025年8月30日之前，以及此后至少每两年，欧委会应向欧洲议会和理事会提交一份报告，说明本条例的适用情况，以及根据本条例进行的关于欧盟经济运营商进入第三国公共采购或特许权市场的国际谈判的进展情况。该报告应予以公布。成员国应根据要求向欧委会提供有关本条例规定的措施的适用情况，包括适用某一IPI措施的中央和地方公共采购程序的数量，从受该IPI措施约束的第三国收到的投标书数量，以及适用IPI措施的具体例外情况。
2.Contracting authorities and contracting entities shall report to the Commission through the Tenders electronic daily about the application of IPI measures, as part of the information on contract awards. Such report shall include, for each relevant procedure, information on the application of IPI measures, the number of tenders received from third countries subject to the relevant IPI measure, the number of tenders for which the exclusion of the tender or score adjustment were applied and the application of specific exceptions from the IPI measure. The Commission shall use this data in its regular reporting required under this Article. Member States shall provide the Commission with additional information on the application of measures under this Regulation upon its request.
订约当局和订约实体应通过投标书电子日报向欧委会报告适用投资政策措施的情况，作为授予合同信息的一部分。这种报告应包括每个相关程序的IPI措施的适用情况、从第三国收到的受相关IPI措施约束的投标书数量、适用排除投标或分数调整的投标书数量以及IPI措施的具体例外情况的适用。欧委会应在本条规定的定期报告中使用这些数据。成员国应根据欧委会的要求，向其提供有关适用本条例规定的措施的补充资料。
Article 14
第14条
Review
审查
No later than four years after the adoption of an implementing act or no later than 30 August 2027, whichever the earlier, and every five years thereafter, the Commission shall review the scope, functioning and efficiency of this Regulation, and shall report its findings to the European Parliament and to the Council.
在实施细则通过后的四年内，或在2027年8月30日之前（以较早者为准），以及此后每五年，欧委会应审查本条例的范围、功能和效率，并向欧洲议会和理事会报告其结果。
Article 15
第15条
Entry into force
生效
This Regulation shall enter into force on the sixtieth day following that of its publication in the Official Journal of the European Union.
本条例应在其在《欧洲联盟官方公报》上公布后的第60天生效。
This Regulation shall be binding in its entirety and directly applicable in all Member States.
本条例的全部内容具有约束力，并在所有成员国直接适用。
Done at Brussels, 23 June 2022.
2022年6月23日订于布鲁塞尔。
For the European Parliament
The President
R. METSOLA
For the Council
The President
F. RIESTER
该法案规定，欧盟各上市公司需按年向监管机构报送董事会成员组成信息，如有违反将被处以罚款或被否决董事会成员的任命。
这项法案最早由欧盟委员于2012年提出，但在各成员国中争议较大。经各方长达十年的谈判，终于达成协议。欧盟委员会主席冯德莱恩在法案通过后表示，这对欧洲女性来说是伟大的一天。
目前欧盟所有上市公司董事会成员中女性平均占比30.6%，其中法国上市公司董事会成员中女性占比45.3%。
往期回顾
《周·知》| “欧洲可能过度依赖中国”《周·知》| 欧盟在数字政策方面的主要举措
央行: 1年期和5年期以上LRP均下调
全文|欧盟外国补贴的协议文本（中文编译及原文链接）
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