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PRESIDENT’SDECISIONN⁰36/2016
of4August2016
IMPLEMENTINGTITLEVCONCERNINGPROCUREMENTOFTHEEUI’SFINANCIALRULES
ANDREPEALINGPRESIDENT’SDECISIONN⁰44/2014OF5DECEMBER2014
(PUBLICPROCUREMENTREGULATION)
ThePresidentoftheEuropeanUniversityInstitute(EUI),
HavingregardtotheConventionsettinguptheEuropeanUniversityInstitute,andinparticular
Article7,paragraph1thereof;
Havingregard toHighCouncilDecisionn⁰5/2014of5December2014 amending theEUI’s
FinancialRulesaslastrevisedbyHighCouncilDecisionn⁰2/2013of7June2013,
HavingregardinparticulartoTitleV(articles62–66)referringtoPublicProcurementaswell
astoarticle95ofthesaidEUI’sFinancialRules;
HavingregardtoPresident’sDecisionn⁰8/2010of1March2010settingouttheRegulationof
procedures to be followed for the award of contracts and the functioning of the CCPC
(ConsultativeCommitteeforProcurementsandContracts);
HavingregardtoPrincipal’sDecisionn⁰20/2012of18May2012implementingarticle21of
theRegulationoftheProcedurestobefollowedfortheawardofcontractsandthefunctioning
oftheCCPC,
Considering the necessity to reform the EUI’s Public Procurement Regulation, the above‐
mentionedDecisionn⁰8/2010shouldberepealedandreplacedbyanewsetoforrulestaking
intoaccounttheexperienceacquired;
Considering thenecessity to streamline and consolidate the existing rules concerningpublic
procurementandalignitasmuchaspossiblewiththeEUlegislationandpractisesofnational
andEUpublicauthorities;
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Having regard to the opinion of the EUI’s Consultative Committee on Procurement and
Contracts (CCPC) on the draft rules proposed by the EUI’s Working Group on Public
ProcurementReform.
Whereas:
1. The EU Public Procurement Directives (e.g. Directive 2014/24/EU of the European
Parliament and of the Council of 26 February 2014 on public procurement which
repealedDirective2004/18/EC)providethatbeingaddressedtoMemberStates,they
don’t apply to procurement carried out by international organisations on their own
behalfandfortheirownaccount.
2. Inthatrespect,Article9ofDirective2014/24/EUof26February2014providesthat
this Directive shall not apply to public contracts which the contracting authority
awards in accordance with procurement rules provided by an international
organisation, where the public contracts concerned are fully financed by that
organisation.
3. The EUI being an international organisation is thus exempted from the scope of
applicationoftheEUPublicProcurementDirectives.
4. Despite this exemption, the EUI having close ties to the European Union and being
accountabletoitsContractingStatesforitsfinancialmanagementdeemsitappropriate
toreformitsPublicProcurmentFramework followingtheprinciplesoftheTreatyon
theFunctioningoftheEuropeanUnion(TFEU)andinspiringitselfasfaraspossibleby
themainelementsof theprocedures for theawardofpublic contractsasoutlined in
therespectiveEUlegislationandascarriedoutalsobytheEUinstitutionsandbodies.
5. Therewasabroaderneedtofurtherimprovethequalityandcoordinationofthepublic
procurementprocedures,guaranteehighleveltransparency,legalcertaintyandclarity
aswellastoharmonisetheoperational frameworkbysafeguardingatthesametime
administrativeefficiency.
HASDECIDEDASFOLLOWS:
3
Article1
Scope
Theannexed “PublicProcurementRegulation” settingout theprocedures to be followed for
theawardofpubliccontractsisherebyadopted.
It shallbe forwarded to theHighCouncil for informationandnotified to all theDirectorsof
EUI’sServiceswithoutdelay.
Article2
Repeals
President’sDecisionn⁰8/2010of1March2010 togetherwith itsaccompanyingPresident's
Decisionn⁰13/2012of16February2012,President'sDecisionn⁰19/2010of1July2010and
Principal’sDecisionn⁰20/2012of18May2012areherebyrepealed.
Article3
EntryinForce
Thepresentdecisionshallenterintoforceonthedateofitsadoption.
DoneatFlorence,on4August2016.
ThePresident
(originalsigned)
J.H.H.WEILER
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ANNEXTO
EUIPRESIDENT’SDECISIONN⁰36/2016
of4August2016
IMPLEMENTINGTITLEVCONCERNINGPUBLICPROCUREMENTANDCONCESSIONS(ARTICLES62‐66)OF
THEEUI’SFINANCIALRULESANDREPEALINGPRESIDENT’SDECISIONN⁰44/2014OF5
DECEMBER2014.
(PUBLICPROCUREMENTANDCONCESSIONSREGULATION)
ContentsSection1.........................................................................................................................................................................................................................4
Generalprinciples......................................................................................................................................................................................................4
Article1 Subjectmatterandscope.........................................................................................................................................................4
Article2 Definitions.......................................................................................................................................................................................7
Article3 Principlesapplicabletoprocurementproceduresandpublicandconcessioncontracts...........................4
Section 2 ............................................................................................................................................................................ 8
Preparatory phase ............................................................................................................................................................. 9
Article 4 Threshold amounts (for public and concession contracts) ......................................................................... 9
Article 5 Methods for calculating the estimated value of procurement ................................................................... 9
Article 6 Framework contracts ............................................................................................................................... 11
Article 7 Mixed procurement ................................................................................................................................. 13
Article 8 Duration of contracts ............................................................................................................................... 13
Article 9 Additions to contracts ............................................................................................................................. 14
Article 10 Contract award criteria (most economically advantageous tender) ......................................................... 14
Article 11 Confidentiality ......................................................................................................................................... 14
Article 12 Conflicts of interests ................................................................................................................................ 15
Article 13 Illicit conduct ........................................................................................................................................... 16
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SECTION 3 RULES ON PUBLIC AND CONCESSION CONTRACTS .......................................................................................... 16
Procurement Procedures ................................................................................................................................................. 16
Article 14 Outline of types of procurement procedures ........................................................................................... 16
Article 15 Open procedure ...................................................................................................................................... 17
Article 16 Restricted procedure ............................................................................................................................... 18
Article 17 Negotiated Procedure ............................................................................................................................. 19
Article 18 Use of the negotiated procedure for exceptional cases ........................................................................... 20
Article 19 Procedure involving a call for expressions of interest .............................................................................. 23
Article 20 Content of tender documents ................................................................................................................. 24
Article 21 Submission of tenders ............................................................................................................................. 25
Article 22 Methods of communication for submission of tenders ........................................................................... 25
Article 23 Time allowed for access to tender documents ........................................................................................ 27
Article 24 Opening of tenders and requests to participate ...................................................................................... 28
Article 25 Committee for the evaluation of tenders and requests to participate ..................................................... 29
SECTION 4 ........................................................................................................................................................................ 30
Choice of participants and award of contracts ................................................................................................................. 30
Article 26 Exclusion criteria applicable for participation in procurement procedures (More detailed rules on the
modalities of application of the exclusion criteria can be found in Annex IV) ........................................................ 30
Article 27 Exclusion criteria (More detailed rules on the application modalities of the exclusion criteria can be
found in Annex IV) ................................................................................................................................................. 32
Article 28 Selection criteria ...................................................................................................................................... 32
Article 29 Economic and financial capacity .............................................................................................................. 33
Article 30 Professional and Technical capacity ......................................................................................................... 35
Article 31 Evidence of the technical and professional capacity ................................................................................ 35
Article 32 General Principles for Contract Award ..................................................................................................... 37
Article 33 Abnormally low tenders .......................................................................................................................... 37
Article 34 Results of the evaluation ......................................................................................................................... 38
Article 35 Contacts between contracting authorities and tenderers ........................................................................ 39
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Article 36 The award decision .................................................................................................................................. 40
Article 37 Consultation of the Internal Auditor ahead of the award decision by the authorising officer .................. 40
Article 38 Information to Candidates and Tenderers ............................................................................................... 40
Article 39 Cancellation of the procurement procedure ............................................................................................ 41
Article 40 Guarantees .............................................................................................................................................. 42
Article 41 Administrative and financial penalties ..................................................................................................... 42
Article 42 Errors, irregularities and fraud in the procedure ...................................................................................... 43
Article 43 Signature of the Contract and Standstill Period ....................................................................................... 43
SECTION 5 DISPUTE‐SETTLEMENT PROCEDURES ............................................................................................................. 44
Article 44 Dispute settlement and governing law .................................................................................................... 44
ANNEX I ............................................................................................................................................................................ 45
Summary table on the choice and characteristics of procurement procedures ................................................................ 45
ANNEX II ........................................................................................................................................................................... 47
Consultative Role of the Internal Auditor ......................................................................................................................... 47
Article 1 Competence and tasks ............................................................................................................................. 47
Article 2 Operating Rules of the Internal Auditor’s control for public procurement ............................................... 48
ANNEX III .......................................................................................................................................................................... 50
Additional content of tender documents ......................................................................................................................... 50
Article 1 Tender documents and their content ...................................................................................................... 50
Article 2 Technical specifications ........................................................................................................................... 51
ANNEX IV ......................................................................................................................................................................... 54
Application of Exclusion criteria ....................................................................................................................................... 54
Article 1 Duration of exclusion ............................................................................................................................... 54
Article 2 Evidence .................................................................................................................................................. 54
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SECTION1
GENERALPRINCIPLES
Article1 Subjectmatterandscope
1. This Regulation establishes rules on the procedures for procurement by the European
University Institute (hereunder the Institute) in its capacity as contracting authority with
respecttopublicandconcessioncontractswhosevalueisestimatedtobeabovethethreshold
laiddowninArticle4(2).
2. ProcurementwithinthemeaningofthisRegulationistheacquisitionbymeansofacontractof
works,suppliesorservicesbytheInstitutefromeconomicoperatorschosenbyit.
3. TheapplicationofthisRegulationissubjecttoTitleVoftheEUI’sFinancialRulesconcerning
PublicProcurementandConcessions.
Article2 Definitions
ForthepurposesofthisRegulation,thefollowingdefinitionsshallapply:
1. ‘contracting authority’ means the European University Institute having the status of an
internationalorganisation;
2. ‘contract’meansapubliccontractoraconcessioncontract;
3. ‘publiccontracts’meanscontractsforpecuniaryinterestconcludedinwritingbetweenoneor
moreeconomicoperatorsandtheInstituteascontractingauthorityandhavingastheirobject
to obtain against payment of a price, the execution ofworks, the supply of products, or the
provisionofserviceswithinthemeaningofthisRegulation;
a. ‘public supply contracts’means public contracts having as their object thepurchase,
lease, rental or hire‐purchase, with or without an option to buy, of products (for
example, computers, printers, furniture, office supplies and fuels). A public supply
contract may include, as an incidental matter, siting, installation and maintenance
operations;
b. ‘publicservicecontracts’meanspubliccontractshavingastheirobjecttheprovisionof
intellectualandnon‐intellectualservicesotherthanthosecoveredbysupplyandwork
contracts. These can refer for example to maintenance and repair work, transport,
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telecommunications, financial services, computer services, consultation of experts,
publication,andsecurity.
c. ‘public works contracts’ means public contracts having as their object one of the
following:
i. theexecution,orboththedesignandexecution,ofawork;
ii. the realisation, by whatever means, of a work corresponding to the requirements
specifiedby the Institute exercising adecisive influenceon the typeordesignof the
work;
4. ‘awork’meanstheoutcomeofbuildingorcivilengineeringworkstakenasawholewhichis
sufficientinitselftofulfilaneconomicortechnicalfunction;
5. ‘frameworkcontract’meansapubliccontractbetweentheInstituteandoneormoreeconomic
operators, thepurposeofwhich is toestablish thebasic termsgoverningaseriesof specific
contracts tobeawardedduringagivenperiod, inparticularwithregardtopriceand,where
appropriate,thequantityenvisaged;
6. ‘concession contracts’means contracts for pecuniary interest concluded inwriting between
oneormoreeconomicoperatorsandtheInstituteascontractingauthorityandhavingastheir
object to entrust theexecutionofworksor theprovision andmanagementof services to an
economic operator. The remuneration shall consist either solely in the right to exploit the
worksor servicesor in that right togetherwithpayment.The awardof aworks or services
concession contract shall involve the transfer to the concessionaire of an operating risk in
exploiting those works or services encompassing demand risk or supply risk or both. The
concessionaire shallbedeemed toassumea riskwhere,undernormaloperatingconditions,
thereisnoguaranteeofrecoupingtheinvestmentmadeorthecostsincurredinoperatingthe
worksortheservicesatstake;
7. Theterm‘economicoperator’canrefertoa ‘workcontractor’, ‘supplier’,or‘serviceprovider’
and means any natural or legal person or public entity or group of such persons and/or
entitieswhichofferstheexecutionofworks,thesupplyofproductsortheprovisionofservices
onthemarket;
8. ‘tenderer’meansaneconomicoperatorthathassubmittedatender;
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9. ‘candidate’meansaneconomicoperator thathassoughtan invitationorhasbeen invited to
takepartinarestrictedprocedureand/oranegotiatedprocedure,ortoacallforexpressionof
interest;
10. ‘vendor’means an economicoperator registered in a list of vendors to be invited to submit
requeststoparticipateorsubmittenders;
11. ‘subcontractor’means an economicoperator that is proposedby a candidate or tenderer or
contractortoperformpartofthecontract.Thesub‐contractorhasnodirectlegalcommitment
totheInstituteascontractingauthority;
12. ‘contract notice’ refers to the advertisement means the Institute uses for calling for
competition(tender)inrespectofaprocurementprocedureanddescribesthecharacteristics
ofthecontractandgivespracticalinformationonthetenderprocedure;
13. ‘authorisingofficer’meansthePresidentoruponhisdelegationtheSecretaryGeneralandany
otherofficerbysubdelegation;
14. ‘responsible officer’:means the competentDirector of Service in charge of the procurement
procedure;
15. ‘managementteam’:referstotheTeam/BoardcomposedbytheServiceDirectorsandchaired
bytheSecretaryGeneralinordertocoordinatetheworkoftheadministration;
16. ‘unit’meanstheService,Department,CentreorProgrammeoftheEUI;
17. ‘procurement documents’/‘tender documents’means anydocumentproducedor referred to
bytheInstitutetodescribeordetermineelementsoftheprocurementprocedure,includingi.a.
i. thecontractnoticeand/orotherpublicitymeasuressetout in thisRegulationand in
theInstitute’sFinacialRules,
ii. theinvitationtotender,
iii. the tender specifications which shall include the technical specifications and the
relevantcriteriaorthedescriptivedocuments,
iv. theproposedconditionsofcontract(e.g.draftcontract),
v. theformatsforthepresentationofdocumentsbycandidatesandtenderers,
vi. informationongenerallyapplicableobligationsand
vii. anyadditionaldocuments.
7
18. ‘tender specifications’ means any documents describing the needs and requirements of the
Instituteforthepurposesoftherelevanttender;
19. ‘written’or‘inwriting’meansanyexpressionconsistingofwordsorfigureswhichcanberead,
reproducedandsubsequentlycommunicated,includinginformationtransmittedandstoredby
electronicmeans;
20. ‘electronic means’ means electronic equipment for the processing (including digital
compression) and storage of data which is transmitted, conveyed and received by wire, by
opticalmeansorbyotherelectromagneticmeans;
21. ‘life cycle’ means all consecutive and/or interlinked stages, including production, transport,
useandmaintenance,throughouttheexistenceofaproductoraworksortheprovisionofa
service, from rawmaterial acquisition or generation of resources to disposal, clearance and
finalisation.
Article3 Principlesapplicabletoprocurementproceduresandpublicandconcession
contracts
1. Allprocurementproceduresandsubsequentpublicandconcessioncontractsshallrespectthe
principlesoftransparency,proportionality,equaltreatmentandnon‐discriminationandshall
be put out to competition on the broadest possible basis, except in case of negotiated
procedure,asdefinedinthisRegulation.
2. Thedesignof theprocurementshallnotbemadewith theobjectiveofexcluding it fromthe
requirementsofthisRegulationorofartificiallynarrowingcompetition.Competitionshallbe
consideredtobeartificiallynarrowedwherethedesignoftheprocurementismadewiththe
intentionofundulyfavouringordisadvantagingcertaineconomicoperators.
3. TheInstituteshallnotusecontracts(includingframeworkcontracts)improperlyorinsucha
waythattheirpurposeoreffectistoprevent,restrictordistortcompetition.
Before launching a procurement procedure, the Institute may conduct preliminary market
consultationswithaviewtopreparingtheprocurement.
For this purpose, the Institute may for example seek or accept advice from independent
expertsorauthoritiesor fromeconomicoperators.Thatadvicemaybeused in theplanning
andconductoftheprocurementprocedureprovidedthatsuchadvicedoesnothavetheeffect
8
of distorting competition and does not result in violation of the principles of non‐
discriminationandtransparency.
Where an economic operator has advised the contracting authority or has otherwise been
involvedinthepreparationoftheprocurementprocedure,theInstituteshalltakeappropriate
measures to ensure that competition is not distorted by the participation of that economic
operator.
4. ParticipationintheInstitute’stenderproceduresisopenonequaltermstoallnaturalandlegal
persons coming within the scope of the EU Treaties (this includes all economic operators
registered intheEUandallEUcitizens)andtoallnaturaland legalpersonsestablished ina
third countrywhich has a special agreementwith theEuropeanUnion in the field of public
procurement under the conditions laid down in that agreement. It shall also be open to
internationalorganisations.
TheInstitutecanthereforeacceptoffersfromandsigncontractswithtenderersfromtheEU
Member States, EEA countries and any other countrywhichhas an international agreement
withtheUnioninthefieldofpublicprocurementaswellasfromcountrieswhichhaveratified
theMultilateralAgreementonGovernmentProcurement(“GPA”).
Underexceptional circumstancesduly justifiedby the responsibleofficer, thePresidentmay
decide to allow third‐country nationals and legal persons other than those referred in the
previoussubparagraphstotenderforcontracts.
5. In areas of common interests, the Institute alongwith the EuropeanUnion Institutions and
Bodies as well as European Union Agencies, in their respective capacities as contracting
authorities, may agree to perform certain specific procurements jointly. In this case, the
InstitutemayjointheprocurementprocedureconductedinitsentiretybyaEuropeanUnion
Institution,Bodyand/orAgency.
The Institute and the European Union contracting authorities concerned by the joint
procurement shall agree in particular upon the practical modalities for the award of the
contractoranypossibilityfortheInstitutetousecontractsalreadyawardedbytheEuropean
Union’scontractingauthorities
6. Incaseofaprocurementprocedureimplyingorresultingintoaconcessioncontractaward,the
Institute shall perform a preliminary impact assessment, communicated to the authorising
officer,regardingtheconsequencesfromthetransferofoperatingriskstoaconcessionaire.In
particular,sinceconcessions,bydefinition,outsourcespecificInstitute’sfunctionsandcontrols
9
to economic operators runningbusinesswithprivate sector criteria (profitability, return on
investment etc.), the afore‐mentioned impact assessment may examine how Institute’s
interestsarerespectivelyaffectedand/orsafeguardedintermsofsecurity,safety,information
confidentiality,socialresponsibility,environmentalandotherpolicies.
SECTION2
PREPARATORYPHASE
Article4 Thresholdamounts(forpublicandconcessioncontracts)
1. Beforelaunchingthecallfortender,theresponsibleofficershallestimatethevalueofthe
contract to be awarded since the type of procedurewill depend on this estimated value
(furtherdetailsareprovidedinAnnexI).
Thefollowingproceduresareforeseenincasetheestimatedvalueofthecontractis:
a. between60.000,01€and200.000€aswellasgreaterthan200.000€:opencall for
tender; instead of an open call for tender, the responsible officer may use the
restrictedprocedureasdescribedinArticle16.
b. Within the thresholds specified under (a), the use of negotiated procedure is
allowedfortheexceptionalcaseslistedunderArticle18.
c. Between5.000,01€–60.000€:negotiatedprocedure:
i. Between20.000,01€–60.000,00€:withatleastthree“requestsforoffer”;
ii. Between5.000,01€–20.000,00€:withatleasttwo“requestsforoffer”;
2.Whentheestimatedvalueofacontractisupto5.000,00€,thisregulationshallnotapply
andtheresponsibleofficerisallowedtopurchasethegoods,worksorservicesuponissueofa
simplebillorinvoice.
The Institute may also use the competitive procedure with negotiation regardless of the
estimatedvalueofthecontractinthecaseofconcessioncontracts.
Article5 Methodsforcalculatingtheestimatedvalueofprocurement
1. The choice of the method used to calculate the estimated value of a contract shall not be
determined with the intention of avoiding the competitive tendering procedure or to
10
circumvent the rules which apply to certain procurement procedures or above certain
thresholdsasthosedowninArticle4.Acontractmaynotbesplitupforthatpurposeeither.
TheInstituteshalldivideacontractintolots,wheneverappropriate,withdueregardtobroad
competition.
2. Thevalueofa contractmustbedetermined taking intoaccount theoperationalneedsofall
unitsoftheEUI.TheresponsibleofficermustthereforecheckifotherUnitshavesubscribedto,
orarelaunching,callsfortendersinthesamefield.Inparticular,theresponsibleofficershall
notsplitthemarketinquestionintoseveralonesoflesservalue.
Moreover, the estimate has to take account of the future needs of the Institute, in order to
avoidunexpectedexpensesthatwouldhaveanimpactonthechoiceoftheprocedureshould
theyhadbeenconsideredontime.
3. Thecalculationoftheestimatedvalueofprocurementshallbebasedonthetotalamount
payable, net of VAT, as estimated by the responsible officer.Where a contract provides for
options, phases or possible renewal(s), the basis for calculation shall be the maximum
estimatedamount,includinganyformofoptionalclauses,phasesandpossiblerenewals(e.g.if
the contract is concluded for one year renewable for four years the estimated value of the
contractwillbetheannualestimatedvaluemultipliedbyfive).
4. In the caseof contractswhich are regular innatureorare intended tobe renewedwithin a
given period of time, the estimated value of a contract shall be established keeping into
account the estimated aggregate value for the whole period and if available past values or
forecastsforsimilarservicesorproducts.
5. Wheneverappropriate,technicallyfeasibleandcost‐efficient,contractsshallbeawardedinthe
formofseparatelotswithinthesameprocedure.
When the subject matter of a contract is subdivided into several lots, each one being the
subjectofanindividualcontract, thetotalvalueofall lotsshallbetakenintoaccount forthe
overallevaluationoftheapplicablethreshold.
Where a contract is to be awarded in the form of separate lots, tenders shall be evaluated
separately for each lot. If several lots are awarded to the same tenderer, a single contract
coveringthoselotsmaybesigned.
6. With regard to framework contracts, the value to be taken into consideration shall be the
maximum estimated value net of VAT of all the contracts envisaged for the totalmaximum
durationoftheframeworkcontract.
11
7. Forcontractsonfinancialservices,thevaluetobeusedasthebasisforthecalculationofthe
estimatedvalueofthecontractshallbeasfollows:
a.insuranceservices:thepremiumpayableandtheothertypesofremuneration
b.bankingandotherfinancialservices:fees,commissionandotherformsofremuneration.
8. In the case of concession contracts, the value shall be the estimated total turnover of the
concessionairegeneratedoverthedurationofthecontract.Thevalueshallbecalculatedusing
anobjectivemethodspecifiedintheprocurementdocuments,takingintoaccountinparticular:
(a)therevenuefromthepaymentoffeesandfinesbytheusersoftheworksorservicesother
thanthosecollectedonbehalfofthecontractingauthority;
(b)thevalueofgrantsoranyotherfinancialadvantagesfromthirdpartiesfortheperformance
oftheconcession;
(c)therevenuefromsalesofanyassetswhicharepartoftheconcession;
(d)thevalueofallthesuppliesandservicesthataremadeavailabletotheconcessionaireby
theInstituteprovidedthattheyarenecessaryforexecutingtheworksorservices;
(e)thepaymentstocandidatesortenderers.
Article6 (e)thepaymentstocandidatesortenderers.Frameworkcontracts
1. The Institute may conclude framework contracts, provided that it applies the existing
procurementproceduresandincompliancewiththefollowingrules.
2. A framework contract means a contract between the Institute and one or more economic
operators, thepurposeofwhich is toestablish thebasic termsgoverningaseriesof specific
contracts tobeawardedduringagivenperiod, inparticularwithregardtopriceand,where
appropriate,thequantityenvisaged.
3. Specific Contracts based on framework contracts shall be awarded in accordance with the
terms of the framework contract only between the Institute and the contractors originally
partytotheframeworkcontract.
4. Specific contracts based on a framework contract may under no circumstances make
substantialmodificationstothetermslaiddowninthatframeworkcontract.
5. Where a framework contract is concluded with a single economic operator, the specific
contractsshallbeawardedwithinthelimitsofthetermslaiddownintheframeworkcontract.
12
6. Fortheawardofthosecontractsandindulyjustifiedcircumstances,theInstitutemayconsult
in writing the contractor, party to the framework contract, requesting it to supplement its
tenderifnecessary.
7. Where a framework contract is tobe concludedwith several economicoperators (“multiple
frameworkcontract”),itshallbeconcludedwithatleastthreeoperators,providedthatthereis
a sufficient number of economic operators who satisfy the selection criteria or a sufficient
numberofadmissibletenderswhichmeettheawardcriteria.
A framework contract with several economic operators may take the form of separate
contractssignedinidenticaltermswitheachcontractor.Itmustbeclear,however,thatincase
ofmultipleeconomicoperatorstherulesofprecedenceamongthemarepredefinedandfully
communicated,exceptiftheyhavebeenexclusivelyawardeddistinctlydifferentlotsofgoods
and/orservices.
Specificcontractsbasedon frameworkcontractsconcludedwithseveraleconomicoperators
shallbeimplementedinoneofthefollowingways:
a. in case of framework contractswithoutreopeningofcompetition by applicationof the
terms laiddown in the frameworkcontract,where it setsoutall the termsgoverning the
provision of theworks, services and supplies concerned and the objective conditions for
determining which of the economic operators, party to the framework contract, shall
performthem;thelatterconditionsshallbeindicatedintheprocurementdocuments;
b. incaseof frameworkcontractswherenotall the termsgoverning theprovisionofworks,
services and supplies are laid down in the framework contract, through reopening of
competitionamongthecontractors,onthebasisofanyofthefollowing:
i. thesameandwherenecessary,morepreciselyformulatedterms,
ii. where appropriate, on the basis of other terms referred to in the procurement
documentsrelatingtotheframeworkcontract
8. For every specific contract to be awarded through re‐opening of competition among the
contractors, the Institute shall consult inwriting the contractors of the framework contract,
fixingatimelimitwhichissufficientlylongtoallowspecifictenderstobesubmitted.Specific
tendersshallbesubmittedinwritinganddocumentsshallnotbeopeneduntilthestipulated
timelimitforreplyhasexpired.
13
9. The Instituteshall awardeachspecificcontract to the tendererwhohassubmitted themost
economically advantageous specific tender on the basis of the award criteria set out in the
procurementdocumentsrelatingtotheframeworkcontract.
10. In sectors subject toa rapidpriceand technologicalevolution, frameworkcontractswithout
reopening of competition shall contain a clause either on a mid‐term review or on a
benchmarkingsystem.After themid‐termreview, if theconditions initially laiddownareno
longeradaptedtothepriceortechnologicalevolution,theInstitutemaynotusetheframework
contractconcernedandshalltakeappropriatemeasurestoterminateit.
11. Specific contracts based on framework contracts shall be preceded by a budgetary
commitment.
Article7 Mixedprocurement
Amixedcontractcoveringtwoormoretypesofprocurement(works,servicesorsupplies)or
concessions(worksorservices)orboth,shallbeawardedinaccordancewiththeprovisions
applicable to the type of procurement that characterises the main subject matter of the
contractinquestion.
In the case of mixed public contracts consisting of supplies and services, the main subject
matter shall be determined by a comparison of the values of the respective supplies or
services.
Amixedcontractcoveringone typeofpublicprocurement (works, suppliesorservices)and
concessions(worksorservices)shallbeawardedinaccordancewiththeprovisionsapplicable
tothepubliccontract.
Article8 Durationofcontracts
Contractsawardedtoaneconomicoperatormaybeconcludedforamaximumdurationoffive
years.
Contracts may be concluded for the duration of one year, with a renewal clause, for a
maximumofsevenyearsintotal.
Contractsmayincludearevisionorterminationclauseduetosomeunforeseentechnological
changethatmayaltertheconditionsunderwhichthecontractwasstipulated.
14
Article9 Additionstocontracts
Additions to contractsareallowedprovided that theaggregatevalueeventually foreseenon
theadditionalcontractsdoesnotexceed50%of theamountof the initial contract.The total
value of the contract shall remain within the thresholds of the initially chosen procedure,
unlessdecideddifferentlybytheauthorisingofficer.
Article10 Contractawardcriteria(mosteconomicallyadvantageoustender)
UndertheproceduresprovidedforinArticle4,theauthorisingofficershallbasetheawardof
contractsonthemosteconomicallyadvantageoustender.
Under this criterion, the tenders are evaluated according to the best quality / price ratio,
taking into account criteria justified by the subject of the contract such as thepricequoted,
technical merit, aesthetic and functional characteristics, environmental characteristics,
running costs, profitability, completion or delivery times, after‐sales service and technical
assistance.
Theresponsibleofficermaylaydownminimumlevelsofquality.Tendersbelowthoselevelsof
qualityshallberejected.
Forcontractsofanestimatedvaluegreaterthan60.000€,theresponsibleofficershallspecify
in the contract notice or in the specification or descriptive document theweighting it shall
apply to each of the criteria for determining the most economically advantageous tender
(furtherdetailsareprovidedinAnnexIII).
Article11 Confidentiality
1. UnlessotherwiseprovidedinthisRegulation,andwithoutprejudicetotheobligationsrelating
totheadvertisingofawardedcontractsandtotheinformationtocandidatesandtenderersset
outtherein,theresponsibleofficershallnotdiscloseinformationforwardedtoitbyeconomic
operatorswhichtheyhavedesignatedasconfidential,including,butnotlimitedto,technicalor
tradesecretsandtheconfidentialaspectsoftenders.
2. The Institute may impose on economic operators requirements aimed at protecting the
confidential nature of information which it makes available throughout the procurement
procedure.
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Article12 Conflictsofinterests
1. The Instituteshalleffectivelyprevent, identifyand immediately remedyconflictsof interests
arising in theconductofprocurementprocedures, throughout thewholeprocedure, soas to
avoidanydistortionofcompetitionandtoensureequaltreatmentofalltenderers.
Theconceptofconflictofinterestsshallatleastcoveranysituationwherethestaffmembersof
the Institute and other persons involved in the procurement procedure have, directly or
indirectly,a financial, economicorotherprivate interest in theoutcomeof theprocurement
procedure, which may be perceived to compromise their impartiality, objectivity and
independenceintheperformanceoftheirdutiesinthecontextoftheprocurementprocedure.
ForthepurposesofthisArticle,‘privateinterests’meansanyfamily,emotionallife,politicalor
othersharedinterestswiththecandidatesorthetenderers,includingconflictingprofessional
interests.
2. Therulesreferredtoinparagraph1shallapplytoconflictsofinterestsinvolvingatleastthe
followingcategoriesofpersons:
a. responsibleofficerand/orstaffmembersoftheInstitute,whoareinvolvedintheconductof
theprocurementprocedure;
b. thePresidentoftheInstituteandmembersofdecision‐makingbodiesoftheInstitutewho,
without necessarily being involved in the conduct of the procurement procedure, may
neverthelessinfluencetheoutcomeofthatprocedure.
3. TheInstituteshallensureinparticular:
a. thatstaffmembersreferredtoinparagraph2(a)arerequiredtodisclosetotheresponsible
or to the authorisingofficer any conflict of interests (or situationsperceived as such) in
relation to any of the candidates or tenderers, as soon as they become aware of such
conflict,inordertoenabletheInstitutetotakeremedialaction;
b. thatcandidatesandtenderersarerequiredtosubmitatthebeginningoftheprocurement
procedureadeclarationontheexistenceofanyprivilegedlinkswiththepersonsreferredto
inparagraph2a)andb),whicharelikelytoplacethosepersonsinasituationofconflictof
interests; the Institute shall indicate in the individual report whether any candidate or
tendererhassubmittedadeclaration.
4. Intheeventofaconflictofinterests,theInstituteshalltakeappropriatemeasures,whichmay
include the recusal of the staff member in question from involvement in the affected
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procurementprocedureorthere‐assignmentofthestaffmember’sdutiesandresponsibilities.
Where a conflict of interests cannot be effectively remedied by other means and as a last
resort,thecandidateortendererconcernedshallbeexcludedfromtheprocedure.
5. Where privileged links are identified, the Institute shall immediately take appropriate
measurestoavoidanyundue influenceon theawardprocessandensureequal treatmentof
candidates and tenderers.Where the conflict of interests cannot be effectively remedied by
othermeans,thecandidateortendererconcernedshallbeexcludedfromtheprocedure.
6. AllmeasurestakenpursuanttothisArticleshallbedocumentedintheindividualreport.
Article13 Illicitconduct
1. Candidates shall be required at the beginning of the procedure to provide a declaration on
honourthattheyhavenotundertakenandwillnotundertaketo:
a. unduly influence the decision‐making process of the Institute or obtain confidential
informationthatmayconferuponthemundueadvantagesintheprocurementprocedure;
b. enterintoagreementswithothercandidatesandtenderersaimedatdistortingcompetition;
c. deliberately provide misleading information that may have a material influence on
decisionsconcerningexclusion,selectionoraward.
2. IncompliancewiththeEUI’sStaffRegulations,inparticularArt.11,EUI’sstaffmembersshall
not,withoutthepermissionoftheAppointingAuthorityacceptanyinappropriategift,directly
or indirectly connectedwith their ownwork activities. By participating to the procurement
procedure,thetendereraswellasthesubsequentcontractorsshallconfirmacknowledgement
ofthisruleandtheconsequentterminationofthecontractincaseofnon‐conformity.
SECTION3
RULESONPUBLIC&CONCESSIONCONTRACTS
PROCUREMENTPROCEDURES
Article14 Outlineoftypesofprocurementprocedures
Procurement procedures for awarding concession contracts or public contracts, including
frameworkcontractsshalltakeoneofthefollowingforms:
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a. theopenprocedure(call);
b. therestrictedprocedure;
c. thenegotiatedprocedure;
d. proceduresinvolvingacallforexpressionofinterest.
A competitive procedurewith negotiation regardless of the estimated value of the contractmay be
usedinthecaseofconcessioncontracts.
Article15 Openprocedure
1. Where the estimated value of a contract exceeds the threshold of 60.000€ as stated under
Article 4 of thepresentRegulation, an open call for tender is held. In open procedures, any
interestedeconomicoperatormaysubmitatenderinresponsetoacallfortender.
2. AdviceontheprocedureshallberequestedbytheresponsibleofficertotheInternalAuditor
concerning the compliance of the call for tender with the requirements set out in this
Regulation(furtherdetailsareprovidedinAnnexII).
3. Theprocedurestartswiththepublicationofacontractnoticedescribingthecharacteristicsof
thecontract,ontheInstitute’swebsite.Thecallfortendershouldbecommunicatedtoatleast
fiverelevanteconomicoperators.
Incasetheestimatedvalueof thecontract isgreaterthan200.000€, thecall for tendershall
also be published in a daily newspaper (of a wide scale coverage) and notified to the High
Councilrepresentatives.
Theminimumtime limit forthereceiptof tendersshallbeat least30days fromthedateon
whichthecontractnoticewaspublished.
Thetendershallbeaccompaniedbytheinformationforqualitativeselectionthatisrequested
bytheInstitute.
4. Whereastateofurgency,dulysubstantiatedbythePresidentoftheInstitute(inhisabsenceby
the Secretary General), renders impracticable the time limit laid down under the previous
paragraph,theInstitutemayfixatimelimitwhichshallbenotlessthan21daysfromthedate
onwhichthecontractnoticewaspublished.
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Article16 Restrictedprocedure
1. ThisproceduremaybeusedasanalternativetotheopenprocedureasindicatedinArticle4.
In restricted procedures, any economic operator may submit a request to participate in
responsetoacall fortender.OnlythoseeconomicoperatorsinvitedtodosobytheInstitute
followingitsassessmentoftheinformationprovidedmaysubmitatender.
Arestrictedprocedureisparticularlyrecommended:
a. if the number of tenders expected is so large that the practical management of the
procurementprocedurecouldbeadverselyaffected;
b. if the Institute wishes to limit circulation of the tender documents (e.g. for security or
confidentialityreasons);
c. ifasitevisitisnecessaryforeconomicoperatorstosubmitatender.
Advice on the procedure is requested by the authorising/responsible officer to the Internal
Auditorconcerningthecomplianceofthecallfortenderwiththerequirementssetoutinthis
Regulation(furtherdetailsareprovidedinAnnexII).
2. Thepublicationrequirementsassetoutunderarticle15(3)shallapply.
3. Therestrictedprocedureisorganisedintwosteps:
a. Thefirststepanalysesthecapacityofeconomicoperatorswhohavesubmittedarequestto
participate against the exclusion and selection criteria: any interested economic operator
cantakepartinthisstep.
b. Inthesecondstepthosewhopassedthefirststepareinvitedsimultaneouslyandinwriting
tosubmit tenders.TheInstitutemaylimitthemaximumnumberofsuitablecandidatesto
beinvitedtoparticipateprovidedtheminimumnumberofqualifiedcandidatesisavailable.
4. Theminimumtimelimitforreceiptofrequeststoparticipateshallbe21daysfromthedate
onwhichthecontractnoticewaspublished.
5. Theminimumtimelimitforthereceiptoftendersshallbe30daysfromthedateonwhich
theinvitationtotenderissent.
6. Whereastateofurgencydulysubstantiatedbytheresponsibleofficerrenders impracticable
thetimelimitslaiddowninthisArticle,thePresidentorinhisabsencetheSecretaryGeneral
mayfix:
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a. atimelimitforthereceiptofrequeststoparticipatewhichshallnotbelessthan15days
fromthedateonwhichthecontractnoticewassent;
b. atimelimitforthereceiptoftenderswhichshallbenotlessthan21daysfromthedateon
whichtheinvitationtotenderissent.
7. Thenumberofcandidatesinvitedtosubmitatendermaynotbelessthanfive,providedthata
sufficient number of candidates satisfy the selection criteria. In any event, the number of
candidatesinvitedtotendermustbesufficienttoensuregenuinecompetition.
8. When the number of candidates meeting the selection criteria and the minimum levels is
below the minimum number specified above, the Institute may continue the procedure by
invitingthecandidateorcandidateswiththerequiredcapacities.However,theInstitutemay
notincludeothereconomicoperatorsthatdidnotrequesttoparticipateorcandidatesthatdo
nothavetherequiredcapacities.
Article16bis‐Useofcompetitiveprocedurewithnegotiation
WhentheInstituteusesthecompetitiveprocedurewithnegotiationinthecaseofconcession
contractsregardlessoftheestimatedvalueofthecontract,itshallfollowthearrangementson
negotiationsetoutinArticle62(3)and(4)oftheEUI’sFinancialRules.
Duringanegotiation,theInstituteshallensureequaltreatmentforalltenderers.
Anegotiationmaytakeplaceinsuccessivestagesinordertoreducethenumberoftendersto
be negotiated by applying the award criteria specified in the procurement documents. The
Instituteshallindicatewhetheritwillusethatoptionintheprocurementdocuments.
Article17 NegotiatedProcedure
1. Thisprocedureshallbeusedwhen:
a. the estimated value of the contract is within the thresholds indicated in Article 4 of the
presentRegulation,or
b. whentheestimatedvalueofthecontractisabovethethresholdindicatedinArticle4ofthe
presentRegulationbutthecasesdescribedunderArticle18apply.
ConsultationoftheInternalAuditorwithinthenegotiatedprocedureisnotrequiredunlessthe
responsibleofficerdeemsitappropriate.
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2. In a negotiated procedure, the responsible officer shall consult tenderers of its choice who
satisfy the selection criteria laid down in Article 28 and are deemed to be best qualified to
meet the requirementsof the Institute, andnegotiate the termsof their tenderswithoneor
moreofthem.
3. In negotiated procedures the responsible officer shall simultaneously invite the selected
candidatestosubmitoffers.
4. Theminimumnumberofcandidatesinvitedmustbe:
a. threeifthevalueofthecontractisbetween20.000.01€to60.000€;
b. twoifthevalueofthecontractisbetween5.000,01€and20.000€.
5. Inanycase,theconsultationofcandidatesisvalidiftheminimumnumberrequiredproducesa
concreteproposal,unlessauthoriseddifferentlybythePresident.
6. During the negotiation, the Institute shall ensure transparency, proportionality and equal
treatment for all tenderers. The procedure must be carried out in writing and be fully
documented.
7. Forcontractsofavaluebelow60.000€regardingintellectualexpertise/collaborationsrelated
toresearchactivities,andforwhichthereexistsanobviousmonopolyoraprominentposition
ofaneconomicoperatorinahighlyspecialisedmarket,theresponsibleofficerwillbeallowed
to choose the operator without applying the negotiated procedure after receiving the
favourableopinionoftheExecutiveCommitteeonajustifiedproposal.
Article18 Useofthenegotiatedprocedureforexceptionalcases
1. Without prejudice to Articles 15 and 16, the Institute may award public and concession
contractsby anegotiatedprocedure in the followingexceptional cases,with theapprovalof
thePresident/SecretaryGeneralintheircapacityasauthorisingofficer:
a. wherenotendersornosuitabletendersornorequeststoparticipatehavebeensubmitted
in response to an open procedure or a restricted procedure, provided that the initial
conditionsofthecontractasspecifiedinthetenderdocumentsarenotsubstantiallyaltered
and that a report is sent to the Internal Auditor for information, and to the Institute’s
President(ortheSecretaryGeneralupondelegation)whowillconfirmtheproceduretobe
followed.
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A tender shall be considered not to be suitablewhere it is irrelevant to the contract, being
manifestly incapable, without substantial changes, of meeting the Institute’s needs and
requirementsasspecifiedintheprocurementdocuments.
Arequestforparticipationshallbeconsiderednottobesuitablewheretheeconomicoperator
concerned is tobeormaybeexcludedpursuant toarticle26ordoesnotmeet theselection
criteriasetoutbytheInstitutepursuantarticle28.
b. where the works, supplies or services can be supplied only by a particular economic
operatorforanyofthefollowingreasons:
i. the aimof theprocurement is the creationor acquisition of auniqueworkof art or
artisticperformance;
ii. competitionisabsentfortechnicalreasons;
iii. theprotectionofexclusiverights,includingintellectualpropertyrights;
Theexceptionssetoutinpoints(ii)and(iii)shallonlyapplywhennoreasonablealternativeor
substitute exists and the absence of competition is not the result of an artificial narrowing
downoftheparametersoftheprocurement.
Regarding the above legal, technical or artistic reasons, or reasons connected with the
protection of exclusive rights (e.g. patents, copyrights or other intellectual property rights),
due towhich theworks, supplies or services canbe supplied only by a particular economic
operator (legal or de factomonopoly), a distinction shouldbe drawnbetween the following
cases:
i. Inthecaseoftheobviousexistenceofamonopoly(inparticularalegalmonopoly),the
responsible officer shall apply the negotiated procedure directly and contact the
economicoperatorholdingthemonopoly.
ii. When an economic operator enjoys a prominent position in a highly specialised
market,thechoiceofthisoperatorismadebythePresident/SecretaryGeneralwho
canconsulttheInternalAuditorortheManagementTeam.
c. Forthenegotiationoflicenseagreements,theauthorising/responsibleofficercandelegate
negotiationrightstoconsortiaorEuropeanInstitutionsonthefollowingconditions:
i. the consortium is bound by national law implementing the EU Public Procurement
Directive.
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ii. the providers have the exclusive right on the content supplied and therefore the
consortiumcanusethenegotiatedprocedure.
d. insofar as is strictly necessary where, for reasons of extreme urgency brought about by
forcemajeure,thetimelimitsfortheopenorrestrictedprocedurecannotbecompliedwith;
thecircumstancesinvokedtojustifyextremeurgencymustnotinanyeventbeattributable
to the Institute. The existence of urgency must be recognised by the President (or the
Secretary General upon delegation) who will also decide the number of operators to be
contacted.
e. forcontractsforthemaintenanceoftheEUIbuildings,thatfortechnicalreasonsandforthe
sake of coordination can be awarded to economic operators already selected by the
“ProvveditoratoalleOperePubblicheperlaToscanael’Umbria”afteranopentender.
f. forcontractsforgas,electricityortelephoneservices,aslongastherespectivemarketsare
not entirely liberalised. In this case, it is necessary to invite the existent operators to
presentanoffer,eventuallywiththehelpofaconsultant.
g. for additional services andworksnot included in theproject initially envisagedor in the
initial contract butwhich, through unforeseen circumstances, have becomenecessary for
theperformanceofservicesorworksonconditionthattheawardismadetothecontractor
performingthecontractinanyofthefollowingcases:
i. wheresuchadditionalcontractscannotbetechnicallyoreconomicallyseparatedfrom
themaincontractwithoutseriousinconveniencefortheInstitute.
ii. wheresuchservicesorworks,althoughseparablefromtheperformanceoftheoriginal
contract,arestrictlynecessaryforitscompletion.
Theaggregatevalueofadditionalcontractsmaynotexceed50%of theamountof the initial
contract.
h. fornewworksorservicesconsistingintherepetitionofsimilarworksorservicesentrusted
to theeconomicoperator towhich the Instituteawardedanoriginal contractorwhohas
alreadyprovidedalargetechnicalinfrastructure,providedthatsuchworksorservicesare
inconformitywithabasicproject forwhichtheoriginalcontractwasawarded.Thebasic
projectshallindicatetheextentofpossibleadditionalworksorservicesandtheconditions
underwhichtheywillbeawarded.
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As soon as the first project is put up for tender, the possible use of this procedure shall be
disclosed and the total estimated cost of subsequent works or services shall be taken into
considerationby the Institute.Thisproceduremaybeusedonlyduring theexecutionof the
originalcontractandatthelatestduringthethreeyearsfollowingitssignature.
According to the EUI internal Control Standard related to the authorisation and
communicationof exceptions, theuseofnegotiatedprocedure for exceptional cases shallbe
authorisedbythePresident/SecretaryGeneralandcommunicatedtotheInternalAuditor.
Asdefinedunderarticle65of theEUI’sFinancialRules, theuseofnegotiatedprocedure for
exceptionalcasesshallbenotifiedtotheBudgetandFinanceCommitteeasquicklyaspossible.
Article19 Procedureinvolvingacallforexpressionsofinterest
1. A call for expressions of interest (CEI) serves to invite economic operators to put
themselvesforwardtobeincludedeitheronalistofpre‐selectedcandidatesoronalistof
vendors.
Consultation of the Internal Auditor within this procedure is not required unless the
responsibleofficerdeemsitappropriate.
Acallforexpressionsofinterestshallbepublishedwhereitisnecessarytoprovidepublicity
amongpotentialcandidates,onthewebsiteoftheInstitute.
Thecallforexpressionsofinterestshallincludeadescriptionofthetasks,theirdurationand
thefixedconditionsofremuneration.Thoseconditionsmaybebasedonunitprices.
Intheproceduresafteracallforexpressionsofinterestthetimelimittosubmittendersshall
benolessthan30daysfromthedateonwhichtheinvitationtotenderissent.
Forcontractstobeawardedthrougharestrictedprocedure,andwithoutprejudicetoArticle
16,theInstitutemayuseacallforexpressionsofinteresttodoeitherofthefollowing:
a. to pre‐select candidates to be invited to submit tenders in response to future restricted
invitationstotender;
b. tocollectalistofvendorstobeinvitedtosubmitrequeststoparticipateortenders.
2. Thelistdrawnupfollowingacallforexpressionsofinterestshallbevalidfornomorethan
fiveyearsfromitspublicationorforthedurationofamultiannualprogrammerelatedto
thetasks.Thelistreferredtointhefirstsubparagraphmayincludesub‐lists.
24
Any interested economic operatormay express an interest at any time during theperiod of
validityofthelist,withtheexceptionofthelastthreemonthsofthatperiod.
3. Where a contract is to be awarded, the Institute shall invite all candidates or vendors
enteredontherelevantlistorsub‐listtodoeitherofthefollowing:
a. tosubmitatenderinthecasereferredtoinpoint(a)ofparagraph1;
b. to submit, in case of the list referred to in point (b) of paragraph 1, either of the
following:
i. tendersincludingdocumentsrelatingtoexclusionandselectioncriteria;
ii. documents relating to exclusionand selectioncriteriaand, in a secondstep, tenders,
forthosefulfillingthesecriteria.
Article20 Contentofprocurement/tenderdocuments
1. Procurement/Tenderdocumentsshallgiveafull,clearandprecisedescriptionofthesubjectof
thecontractandspecifytheexclusion,selectionandawardcriteriaapplicabletothecontract.
2. The language of publication shall be English. If the responsible officer deems it appropriate
the English documentation can be accompanied by a translation in any of the EU
languages. However only the English version of the documents is to be considered valid.
3. Thetenderdocumentsshallincludeatleast:
a. theinvitationtotenderortonegotiatewhichshallatleast:
i. specify the rules governing the lodging and presentation of tenders, including in
particulartheclosingdateandtimeforsubmission,anyrequirementastotheuseofa
standardapplicationform,thedocumentstobeattached, includingthoseinevidence
of financial, economic, technical and professional capacity and the address towhich
theymustbesent;
ii. specify theperiodduringwhicha tenderwill remainvalidandmaynotbevaried in
anyrespect;
iii. statethatsubmissionoftenderimpliesacceptanceofthetenderdocumentsandbinds
thecontractortowhomthecontractisawardedduringperformanceofthecontract.
b. the tender specifications (including the technical specifications) or in more simplified
procedures a document describing the needs and requirements of the Institute, or the
25
reference for the internet address at which such specification or document can be
consulted.
c. thedraftcontractbasedonthemodelcontract.
Pointc)ofthesecondsubparagraphshallnotapplytocaseswhere,duetoexceptionaland
dulyjustifiedcircumstances,themodelcontractcannotbeused.
Thetenderdocumentsshallcontainareferencetotheadvertisingmeasurestaken.
MoredetailedinformationonthecontentoftheabovedocumentscanbefoundunderAnnex
III.
Article21 Submissionoftenders
1. The arrangements for submitting tenders shall be such as to ensure that there is genuine
competition and that the contents of tenders remain confidential until they are all opened
simultaneously.
2. TheInstituteshallensureasmuchaspossiblebyappropriatemeansthattenderersmayenter
the contents of the tenders and any supporting evidence in an electronic format
("e‐procurement").
Article22 Methodsofcommunicationforsubmissionoftenders
1. The arrangements for the submission of tenders and requests to participate (in case of
restrictedprocedure)shallbedeterminedby the theresponsibleofficerwhomaychoosean
exclusivemethodofsubmission.
The means of communication chosen shall be generally available and shall not restrict the
accessofeconomicoperatorstotheprocurementprocedure.
Tenders and requests to participate shall be submitted by letter and/or in certain cases by
electronicmeansaccordingtothefollowingspecifications.
2. Themeansofcommunicationchosenshallbesuchastoensurethatthefollowingconditions
aresatisfied:
a. eachsubmissioncontainsalltheinformationrequiredforitsevaluation;
b. theintegrityofdataispreserved;
26
c. the confidentiality of tenders and requests to participate is preserved and the Institute
examinesthecontentoftendersandrequeststoparticipateonlyafterthetimelimitsetfor
submittingthemhasexpired;
d. the protection of personal data in accordance with the requirements of the EUI’s Data
ProtectionPolicy.
Where necessary for the purposes of legal proof, the Institutemay decide that requests to
participatesubmittedbyfaxmustbeconfirmedbyletterorelectronicallyassoonaspossible
andatalleventsbeforethefinaltimelimitsforreceiptoftendersandrequeststoparticipate.
3. WheretheInstituteauthorisessubmissionoftendersandrequeststoparticipatebyelectronic
means,thetoolsusedandtheirtechnicalcharacteristicsshallbenon‐discriminatoryinnature,
generally available and interoperable with the information and communication technology
productsingeneraluseandshallnotrestricteconomicoperators’accesstotheprocurement
procedure.
4. WheretheInstituteauthorisessubmissionoftendersandrequeststoparticipatebyelectronic
means, theelectronicdocumentssubmittedbymeansofsuchsystemsshallbedeemedtobe
the originals and to be signed by an authorised representative of the economic operator. In
thesecasestheInstituteshallguaranteethroughtechnicalmeansandappropriateprocedures
that:
a. theeconomicoperatorcanbeauthenticatedwithcertainty;
b. the exact time and date of the receipt of tenders and requests to participate can be
determinedprecisely;
c. itmaybereasonablyensuredthat,beforethetimelimitslaiddown,no‐onecanhaveaccess
todatatransmittedundertheserequirements;
d. where that access prohibition is infringed, it may be reasonably ensured that the
infringementisclearlydetectable;
e. onlyauthorisedpersonsmaysetorchangethedatesforopeningdatareceived;
f. duringthedifferentstagesoftheprocurementprocedureaccesstoalldatasubmitted,orto
partthereof,mustbepossibleonlythroughactionbyauthorisedpersonsatthesametime;
g. simultaneousactionbyauthorisedpersonsmustgiveaccesstodatatransmittedonlyafter
theprescribeddate;
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h. data receivedandopened inaccordancewith these requirementsmust remainaccessible
onlytopersonsauthorisedtoacquaintthemselvestherewith.
5. Where submission is by letter, tenderers or candidates may choose to submit tenders or
requeststoparticipate:
a. eitherbypostorbycourierservice,inwhichcasethecallfortendersshallspecifythatthe
evidenceshallbeconstitutedbythedateofdispatch,thepostmarkorthedateofthedeposit
slip;
b. byhand‐deliverytothepremisesoftheInstitutebythetendererorcandidateinpersonor
byanagent;forwhichpurposesthecallfortendersshallalsospecifytheservicetowhich
tendersaretobedeliveredagainstasignedanddatedreceipt.
6. Inordertomaintainsecrecyandtoavoidanydifficultieswheretendersaresentbyletter,the
invitationtotendermustincludethefollowingprovision:
a. Foropenandrestrictedprocedures, tendersmustbesubmittedinasealedenvelopeitself
enclosedwithinasecondsealedenvelope.Theinnerenvelopemustbear,inadditiontothe
nameofthedepartmenttowhichitisaddressed,asindicatedintheinvitationtotender,the
words ‘Invitation to tender — Not to be opened by the mail service’. If self‐adhesive
envelopesareused,theymustbesealedwithadhesivetapeandthesendermustsignacross
thattape.Ifself‐adhesiveenvelopesareused, theymustbesealedwithadhesivetapeand
thesendermustsignacrossthattape.
b. Tendersforamountsequalorbelow60.000€andalltherequeststoparticipate(firststep
oftherestrictedprocedure)canbesubmittedbye‐mail.
Personaldata includedinthetenderswillbetreatedinaccordancewiththerequirementsof
theEUI’sDataProtectionPolicy.
Article23 Timeallowedforaccesstotenderdocuments
1. Incaseaneconomicoperatorsubmits, ingoodtimebeforethedeadline forsubmissionof
tenders,arequestforaccesstotenderdocumentssuchasthespecificationordescriptive
documents or a request for additional information relating to the specification or the
descriptive documents or additional documents, the requested document or information
shallbesenttoallinterestedeconomicoperators,assetoutinthefollowingparagraphs.In
caseofopenorfirst‐stepoftherestrictedproceduresitshallbepublishedontheInstitute’s
28
websitewhereasinnegotiatedproceduresandinthesecondstepoftherestrictedones it
shall be communicated to all invited/selected economic operators. The Institute is not
boundtoreplytorequestsfordocumentsorforadditionalinformationmadelessthanfive
workingdaysbeforethedeadlineforsubmissionoftenders.
2. Arequesteddocumentshallbesentwithinfiveworkingdaysofthereceiptoftherequest.
Additionalinformationshallbesuppliedassoonaspossibleandnolaterthansixcalendar
daysbeforethedeadlineforthereceiptoftendersor,inthecaseofrequestsforinformation
receivedlessthaneightcalendardaysbeforethedeadlineforreceiptoftenders,assoonas
possibleafterreceiptoftherequest.
3. If, for whatever reason, the specifications and the additional documents or information
cannotbesuppliedwithinthetimelimitssetinparagraphs1and2ofthisArticle,orwhere
tenders canbemadeonly after a visit to the site or after on‐the‐spot consultation of the
documents annexed to the specifications, the time limits for receipt of tenders shall be
extended to enable all economic operators to acquaint themselves with all the requisite
information for preparing tenders. That extension shall be advertised in appropriate
manner.
4. In cases of duly substantiated urgencies, within restricted and negotiated procedures,
additional informationon thespecificationsshall,provided ithasbeenrequested ingood
time, be communicated to all candidates or tenderers no later than four calendar days
beforethedeadlineforreceiptoftenders.
Article24 Openingoftendersandrequeststoparticipate
1. Alltendersandrequeststoparticipatethatcomplywiththetime‐limitforreceiptandsatisfy
the requirements of methods of communications for transmission of tenders set out under
Article22shallbeopened.
a. For open and restricted procedures, the responsible officer shall appoint a committee to
open the tenders. The opening committee shall be made up of at least two persons
representing at least two different services of the Institute. They shall not have a
hierarchicallinkbetweenthem.
b. Toavoidanyconflictofinterests,thosepersonsshallbesubjecttotheobligationslaiddown
inArticle12referringtoconflictsofinterest.
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c. Anytenderorrequestdeclaredbythiscommitteenottosatisfytheconditionslaiddownfor
themethodsofcommunicationforsubmissionoftendersshallberejected.
2. Wheretendersaresubmittedbypost,oneormoremembersof theopeningcommitteeshall
initialthedocumentsprovingthedateandtimeofdispatchofeachtender.
Theyshallalsoinitialeitherofthefollowing:
a. eachpageofeachtender;
b. thecoverpageandthepagescontainingthefinancialdetailsofeachtender,theintegrityof
theinitialtenderbeingguaranteedbyappropriateinstitutionaltechniques.
Themembers of the committee shall sign thewritten record of the opening of the tenders
received,whichshallidentifythosetenderswhichcomplywiththerequirementsofArticle22
andthosewhichdonot,andwhichshallgivethegroundsonwhichtenderswererejectedfor
non‐compliance,byreference to themethodsofsubmittingtendersreferredto inArticle22.
That recordmay be signed in an electronic system providing sufficient identification of the
signatory.
Article25 Committeefortheevaluationoftendersandrequeststoparticipate
1. For open and restricted procedures, all requests to participate and tenders declared as
complyingwiththerequirementsofmethodsofcommunications for transmissionof tenders
setoutunderArticle22shallbeevaluatedandrankedbyanevaluationcommitteesetupfor
the two stages on the basis of the pre‐announced exclusion and selection criteria and the
awardcriteriarespectively.
Thatcommitteeshallbeappointedbytheresponsibleofficerfortheprocurementprocedure.
2. Where thevalueof thecontractexceeds the thresholdof60.000€, theevaluationcommittee
shallbemadeupofatleastfourpersonsrepresentingatleasttwoservicesoftheInstitutewith
nohierarchicallinkbetweenthem.
The responsible officer shall ensure that these persons satisfy the obligations laid down in
Article12regardingconflictofinterests.
The members of the opening committee may participate also in the composition of the
evaluationcommittee.
30
Outside experts may assist the committee by decision of the responsible officer. The
responsibleofficershallensurethattheseexpertssatisfytheobligations laiddowninArticle
12.
3. Tenderswhichdonot satisfyall theessential requirementssetout in the tenderdocuments
shallbeeliminated.
However, the evaluation committee or the responsible officer may ask tenderers to supply
additionalmaterialor to clarify the supportingdocuments submitted in connectionwith the
exclusionandselectioncriteria,withinthetimelimititspecifies.
Requests to participate and tenders which are not excluded and which meet the selection
criteriashallbeconsideredadmissible.
In the caseofabnormally low tendersas referred to inArticle33, theevaluation committee
shallrequestthenecessaryclarificationsconcerningthecompositionofthetender.
4. The envelope containing the economicoffer shall bekept closeduntil the completion of the
evaluation of the technical offer. Only if a bid gets theminimum score set for the technical
offer,willthecorrespondenteconomicofferbeopenedandevaluated.
5. The evaluation committee shall produce a final report containing a written record of the
evaluationandrankingofrequesttoparticipateandtenders.Thisreportwiththeconclusions
of the evaluation committee shall be addressed to the responsible officer and signed in
acceptancebyallmembers.Whenapplicable, itwill includeanyminorityopinionsexpressed
withinthecommittee.Theresponsibleofficerwillsubmitthisreportto:
a. theInternalAuditorifanadviceissoughtbeforethefinalawardofthecontract;
b. theauthorisingofficeralongwithhispreliminarydecisionontheaward.
SECTION4
CHOICEOFPARTICIPANTSANDAWARDOFCONTRACTS
Article26 Exclusioncriteriaapplicableforparticipationinprocurementprocedures
(Moredetailedrulesonthemodalitiesofapplicationoftheexclusioncriteriacanbe
foundinAnnexIV)
1. Candidatesortenderersshallbeexcludedfromparticipationinprocurementproceduresif:
31
a. theyarebankruptorbeingwoundup,arehavingtheiraffairsadministeredbythecourts,
have entered into an arrangementwith creditors,have suspendedbusinessactivities, are
the subject of proceedings concerning those matters, or are in any analogous situation
arisingfromasimilarprocedureprovidedforinnationallegislationorregulations;
b. they have been convicted of an offence concerning their grave professional conduct by a
final judgmentofacompetentjudicialauthorityoradministrativedecisionordecisionsof
internationalorganisations.
c. theyarenot in compliancewith theobligations relating to thepaymentof social security
contributionsorthepaymentoftaxesinaccordancewiththelegalprovisionsofthecountry
inwhichtheyareestablishedorwiththoseofItalybeingthecountryofestablishmentofthe
Instituteorthoseofthecountrywherethecontractistobeperformed.Thisbreachneedsto
havebeenestablishedbya judgementoradministrativedecisionhaving finalandbinding
effectinaccordancewiththelegalprovisionsofthecountryinwhichtheeconomicoperator
isestablishedorofthoseofItalybeingthecountryofestablishmentoftheInstitute;
d. they have been the subject of a final judgment for fraud, corruption, involvement in a
criminal organisation, money laundering, terrorist‐related offences, child labour or other
formsoftraffickinginhumanbeingsoranyotherillegalactivity,wheresuchillegalactivity
isdetrimentaltotheInstitute'sfinancialinterests;
e. theyhavebeen in seriousbreachofacontract financedby the Instituteorhavebeen the
subjectofanoffenseofseriousirregularityestablishedbyafinaljudgmentofacompetent
judicialauthorityoradministrativedecision.
f. theyaresubjecttoanadministrativepenaltyasprovidedunderArticle41.
Theeconomicoperatorshallbeexcludedfromparticipationwhereapersonwhoisamember
of theadministrative,managementor supervisorybodyof theeconomicoperatororhas the
powersofrepresentation,decisionorcontrolisinasituationlistedabove.
2. Except forcasesprovided for inpoint (d)above, the Institutemaydecidenot toexclude the
economic operator where it can provide evidence that it has taken remedial measures to
demonstrateitsreliability.
The Institutemay also provide for a derogation from themandatory exclusion provided in
point(c)whereanexclusionwouldbeclearlydisproportionate,inparticularwhereonlyminor
amountsoftaxesorsocialsecuritycontributionsareunpaidorwheretheeconomicoperator
was informed of the exact amount due following its breach of its obligations relating to the
32
payment of taxes or social security contributions at such time that it did not have the
possibilityoftakingmeasuresasprovidedforinthefirstsubparagraphofparagraph2before
expirationofthedeadlineforrequestingparticipationor,inopenprocedures,thedeadlinefor
submittingitstender.
3. Candidates or tenderers shall declare that they are not in one of the situations listed in
paragraph1.However,theInstitutemayrefrainfromrequiringsuchdeclarationforverylow
valuecontracts(whentheamountdoesnotexceed20.000€).
4. Forthepurposeofthecorrectapplicationofparagraph1,thecandidateortenderer,whenever
requestedbytheInstitute,shall:
a. wherethecandidateortendererisalegalperson,provideinformationontheownershipor
onthemanagement,controlandpowerofrepresentationofthelegalpersonandcertifythat
theyarenotinoneofthesituationsreferredtoinparagraph1;
b. where subcontracting is envisaged, certify that the subcontractor is not in one of the
situationsreferredtoinparagraph1.
Article27 Exclusioncriteria
(Moredetailedrulesonthemodalitiesofapplicationoftheexclusioncriteriacanbe
foundinAnnexIV)
1. A contract shall not be awarded to candidates or tenderers who, during the procurement
procedureforthatcontract:
a. are subject to a conflict of interests which cannot be effectively remedied by other less
intrusivemeasures;
b. are guilty ofmisrepresenting the information required by the Institute as a condition of
participationintheprocurementprocedureorfailtosupplythatinformation;
c. find themselves in one of the situations of exclusion, referred to in Article 26, for the
procurementprocedure.
Article28 Selectioncriteria
1. The Institute shall draw up selection criteria which are clear, non‐ discriminatory and
proportionatetothesubjectmatterofthecontract.
33
The selection criteria shall be applied in every procurement procedure for the purposes of
assessingthefinancial,economic,technicalandprofessionalcapacityofthetenderer.
The Institute may lay down minimum capacity levels below which candidates may not be
selected.
2. Anytendererorcandidatemaybeaskedtoprovethatheisauthorisedtoperformthecontract
undernationallaw,asevidencedindicativelybyinclusioninatradeorprofessionalregister,or
asworndeclarationorcertificate,membershipofaspecificorganisation,orentryinthevalue
addedtax(hereinafter‘VAT’)register.
3. TheInstituteshallspecifyinthecontractnoticeorinthecallforexpressionsofinterestorthe
invitationtosubmitatender,thereferenceschosentotestthestatusandthelegalcapacityof
tenderersorcandidates.
4. TheinformationrequestedbytheInstituteasproofofthelegal,financial,economic,technical
andprofessionalcapacityof the tendererand theminimumcapacity levels requiredshallbe
proportionate to the subject‐matter of the contract and shall take account of the legitimate
interests of the economic operators as regards in particular the protection of the firm’s
technical and business secrets. It shall also take account of the need to ensure genuine
competition.
5. The Institutemay, depending on its assessment of risks, decide not to require proof of the
financial, economic, technical and professional capacity of tenderers for low‐value contracts
notexceeding60.000€.
Article29 Economicandfinancialcapacity
1. The Institute may require economic operators to have adequate financial and economic
capacity to perform the contract. For that purpose, itmay require that economic operators
have a certainminimumyearly turnover, including a certainminimum turnover in the area
coveredbythecontractandadequateprofessionalriskindemnityinsurance.
Theminimumyearlyturnovershallnotexceedtwotimestheestimatedcontractvalue,except
indulyjustifiedcircumstancesrelatingtothespecialrisksattachedtothenatureoftheworks,
services or supplies. The Institute shall indicate such exceptional circumstances in the
procurementdocuments.
34
Whereacontractisdividedintolots,thisArticleshallapplyinrelationtoeachindividuallot.
However,theInstitutemaysettheminimumyearlyturnoverbyreferencetogroupsoflotsfor
theeventthatthesuccessfultendererisawardedseverallotstobeexecutedatthesametime.
Wherecontractsbasedona frameworkcontractare tobeawarded followinga reopeningof
competition, the maximum yearly turnover requirement referred to in the second
subparagraphofthisparagraphshallbecalculatedonthebasisoftheexpectedmaximumsize
ofspecificcontractsthatwillbeperformedatthesametime,or,whereitisnotknown,onthe
basisoftheestimatedvalueoftheframeworkcontract.
2. Proofofeconomicandfinancialcapacitymayinparticularbefurnishedbyoneormoreofthe
followingdocuments:
a. appropriate statements from banks or, where appropriate, evidence of relevant
professionalriskindemnityinsurance;
b. financialstatementsforatmostthelastthreeyearsforwhichaccountshavebeenclosed;
c. a statement of overall turnover and turnover concerning theworks, supplies or services
coveredbythecontractduringaperiodwhichmaybenomorethanthelastthreefinancial
yearsavailable.
3. TheInstitutemaywaivetheobligationofacandidateortenderertosubmitthedocumentary
evidencereferredtoinparagraph1ifsuchevidencehasalreadybeensubmittedtoit forthe
purposesofanotherprocurementprocedureandstillcomplieswithparagraph1.
If, for some exceptional reason which the Institute considers justified, the tenderer or
candidateisunabletoprovidethereferencesrequestedbyit,he/shemayprovehiseconomic
andfinancialcapacitybyanyothermeanswhichtheInstituteconsidersappropriate.
4. An economic operator may, where appropriate and for a particular contract, rely on the
capacitiesofotherentities,regardlessofthelegalnatureofthelinkswhichithaswiththem.It
mustinthatcaseprovetotheInstitutethatitwillhaveatitsdisposaltheresourcesnecessary
forperformanceofthecontract,forexamplebyproducinganundertakingonthepartofthose
entitiestoplacethoseresourcesatitsdisposal.
The Institutemay require that the economic operator and the abovementioned entities are
jointlyliablefortheexecutionofthecontract.
Underthesameconditions,aconsortiumofeconomicoperatorsmayrelyonthecapacitiesof
membersoftheconsortiumorofotherentities.
35
Article30 ProfessionalandTechnicalcapacity
1. ProfessionalandTechnical capacityofeconomicoperatorsshallbeevaluatedandverified in
accordancewiththefollowingparagraphs.
With regard to suitability to pursue the professional activity, the Institute may require
economicoperators tobeenrolledononeof theprofessionalor traderegisterskept intheir
countryofestablishment.
In procedures for the award of public service contracts, insofar as candidates or tenderers
have to possess a particular authorisation or to bemembers of a particular organisation in
ordertobeabletoperformintheircountryoforigintheserviceconcerned,theInstitutemay
requirethemtoprovethattheyholdsuchauthorisationormembership.
2. With regard to technicalandprofessionalability, the Institutemay require that economic
operatorspossessthenecessaryhumanandtechnicalresourcesandexperiencetoperformthe
contract to an appropriate quality standard. The Institute may assume that an economic
operator does not possess the required professional abilities where the Institute has
established that theeconomicoperatorhas conflicting interestswhichmaynegatively affect
theperformanceofthecontract.
Inproceduresforawardingpubliccontractshavingastheirobjectsuppliesrequiringsitingor
installationwork,theprovisionofservicesortheexecutionofworks, theabilityofeconomic
operators toprovidetheserviceor toexecute the installationor theworkmaybeevaluated
withregardtotheirskills(“know‐how”),efficiency,experienceandreliability.
3. TheInstituteshallindicatetherequiredconditionsofparticipation,whichmaybeexpressedas
minimumlevelsofability,togetherwiththeappropriatemeansofproof,inthecontractnotice
orintheinvitationtoconfirminterest.
Article31 Evidenceofthetechnicalandprofessionalcapacity
1. Evidenceofthetechnicalandprofessionalcapacityofeconomicoperatorsmay,dependingon
thenature,quantityorscaleandpurposeofthesupplies,servicesorworkstobeprovided,be
furnishedonthebasisofoneormoreofthefollowingdocuments:
a. theeducationalandprofessionalqualificationsof theserviceproviderorworkcontractor
and/orthoseofthefirm’smanagerialstaffand,inparticular,thoseofthepersonorpersons
responsibleforprovidingtheservicesorcarryingouttheworks;
36
b. alist:
i. oftheprincipalservicesprovidedandsuppliesdeliveredinthepastthreeyears,with
thesums,datesandrecipients,publicorprivate(inthe formofcertificates issuedor
countersignedbythecompetentauthority);
ii. of the works carried out in the last five years, with the sums, dates and place,
accompanied by certificates of satisfactory execution, specifying whether the works
havebeencarriedoutinaprofessionalmannerandhavebeenfullycompleted;
c. a description of the technical equipment, tools and plant to be employed by the firm for
performingaserviceorworkscontract;
d. adescriptionofthetechnicalequipmentandthemeasuresemployedtoensurethequality
ofsuppliesandservices,andadescriptionofthefirm’sstudyandresearchfacilities;
e. an indication of the technicians or technical bodies involved, whether or not belonging
directlytothefirm,especiallythoseresponsibleforqualitycontrol;
f. in respect of supplies: samples, descriptions and/or authentic photographs and/or
certificates drawn up by official quality control institutes or agencies of recognised
competenceattestingtheconformityoftheproductswiththespecificationsorstandardsin
force;
g. a statement of the average annualmanpower and the number ofmanagerial staff of the
serviceproviderorworkcontractorinthelastthreeyears;
h. an indication of the proportion of the contractwhich the service providermay intend to
subcontract;
i. forpublicworkscontractsandpublic servicecontracts, andonly inappropriatecases,an
indicationoftheenvironmentalmanagementmeasuresthattheeconomicoperatorwillbe
abletoapplywhenperformingthecontract.
2. Where the Institute requires theproductionof certificatesdrawnupby independentbodies
attesting the compliance of the economic operatorwith certain quality assurance standards
and/orcertainenvironmentalmanagement schemesor standards, they shall refer toquality
and/or environmental assurance systems based on the relevant European standards series
certified by accredited bodies. However, the Institute shall also accept other evidence of
equivalentnature(suchastheonedescribedinAnnexIII).
37
Recognised bodies shall be test and calibration laboratories and any certification and
inspectionbodiesaccreditedinaccordancewiththerelevantEuropeanornationallaws.
3. In thecaseofworkscontracts, servicecontractsandsitingand installationoperations in the
contextofasupplycontract,theInstitutemayrequirethatcertaincriticaltasksbeperformed
directly by the tenderer itself or,where a tender is submittedby a consortiumof economic
operators,aparticipantintheconsortium.
4. The Institute may conclude that economic operators will not perform the contract to an
appropriate quality standard where the Institute establishes that they have conflicting
interestswhichmaynegativelyaffecttheperformanceofthecontract.
Article32 GeneralPrinciplesforContractAward
1. Contracts shall be awarded on the basis of the award criteria provided that the following
cumulativeconditionsarefulfilled:
a. Thetendercomplieswiththeminimumrequirements,conditionsandcriteriasetoutinthe
contractnoticeandintheprocurementdocuments;
b. ThetendercomesfromatendererthatisnotexcludedinaccordancewithArticle26and27;
c. ThetendermeetstheselectioncriteriasetoutbytheInstitute.
2. The Institutemay decide not to award a contract to a tenderer submitting the best tender
where it has established that the tender does not comply, at least in an equivalentmanner,
withobligationsestablishedbytheEU,nationalorinternationallegislationinthefieldofsocial
andlabourlaworenvironmentallaw.
3. Inopenprocedures,theInstitutemaydecidetoexaminetendersbeforeverifyingthefulfilment
of the selection criteria, provided that the relevant provisions of this section are observed,
including the rule that the contract shall not be awarded to a tender that shouldhavebeen
excluded pursuant to Article 26 or that does not meet the selection criteria set out by the
Institute.
Article33 Abnormallylowtenders
1. If,foragivencontract,thepriceorcostproposedinatenderappearstobeabnormallylow,the
Instituteshallrequestinwritingdetailsoftheconstituentelementsofthepriceorcostwhichit
considers relevant and shall give the tenderer the opportunity to present its observations.
38
These details may relate in particular to compliance with the provisions relating to
employmentprotectionandworkingconditionsinforceattheplacewherethework,service
orsupplyistobeperformed.
TheInstitutemay,inparticular,takeintoconsiderationobservationsrelatingto:
a. the economics of the manufacturing process, of the provision of services or of the
constructionmethod;
b. the technical solutions chosen or the exceptionally favourable conditions available to the
tenderer;
c. theoriginalityofthetender;
d. thepossibilityofthetendererobtainingStateaid.
Theevaluationcommitteeand/ortheresponsibleofficershallassesstheinformationprovided
andmayonlyrejectthetenderwheretheevidencesupplieddoesnotsatisfactoryaccountfor
the low level or price or costs proposed, taking into account the elements referred to in
paragraph1.
2. Where the Institute establishes that a tender is abnormally low because the tenderer has
obtainedStateaid,itmayrejectthetenderonthatgroundaloneonlyifthetendererisunable
toprove,within a reasonable timedeterminedby the Institute, that theaid inquestionwas
compatiblewiththeEUinternalmarketandwithproceduresanddecisionsspecifiedintheEU
ornationalrulesonStateaid.
Article34 Resultsoftheevaluation
1. Awrittenrecordoftheevaluationandrankingofrequeststoparticipateandtendersdeclared
tosatisfytherequirementsshallbedrawnupanddated(evaluationreport).
Thewrittenrecordshallbesignedbyallthemembersoftheevaluationcommittee.
Thewrittenrecordshallbekeptforfuturereference.
2. Thewrittenrecordshallcontainatleastthefollowing:
a. the name and address of the Institute (appearing in headed paper) and its service
concerned,andthesubjectandvalueofthecontractorframeworkcontract;
b. thenamesofthecandidatesortenderersrejectedandthereasonsfortheirrejection;
39
c. thenamesofthecandidatesortendererstobeexaminedandthereasonsfortheirselection;
d. thereasonsfortherejectionoftendersfoundtobeabnormallylow;
e. thenamesofthecandidatesorcontractorproposedandthereasonsforthatchoiceand,if
known, the proportion of the contract or the framework contract which the contractor
intendstosubcontracttothirdparties.
3. TheInstitute(inparticular theauthorisingofficer)shall thentake itsdecisiongivingat least
thefollowing:
a. the informationprovidedundera‐dofthepreviousparagraphascontainedinthewritten
record;
b. the names of the candidates or contractor selected and the reasons for that choice by
reference to the selection and award criteria announced in advance and, if known, the
proportion of the contract or the framework contract which the contractor intends to
subcontracttothirdparties;
c. inthecaseofnegotiatedproceduresthecircumstanceswhichjustifytheiruse;
d. whereappropriate,thereasonswhytheInstitutehasdecidednottoawardacontract.
Article35 Contactsbetweencontractingauthoritiesandtenderers
1. While the procurement procedure is under way, all contacts between the Institute and
candidates or tenderers shall satisfy conditions ensuring transparency and equal treatment.
Theyshallnotleadtoamendmentoftheconditionsofthecontractorthetermsoftheoriginal
tender.
2. Contact between the Institute and tenderers during the contract awardproceduremay take
place,bywayofexception,undertheconditionssetoutinparagraphs3and4andtheyshall
bemadeonlyinwriting.
3. Before the closing date for the submission of tenders, in respect of the additional
documentsandinformationreferredtoinArticle23,theInstitutemay:
a. at the initiative/request of tenderers, communicate additional information solely for the
purposeofclarifyingthenatureofthecontract.Suchinformationshallbecommunicatedon
thesamedatetoallinterestedtenderers;
40
b. at itsown initiative, if it discoversanerror, a lackofprecision, anomissionor anyother
type of clerical defect in the text of the procurement documents, inform all the persons
concernedonthesamedateandinamanneridenticalwiththatapplicableinrespectofthe
originalinvitationtotender.
4. If, after the tenders have been opened, some clarification is required in connection with a
tender or a confirmation is needed of a specific or technical element, or if obvious clerical
errors in the tender must be corrected, the responsible officer may contact the tenderer,
althoughsuchcontactmaynotleadtochangesintheprocurementdocumentsortosubstantial
alterationtothetermsofthesubmittedtenderexceptforcasesofnegotiatedandcompetitive
procedures for negotiation where the procurement procedure itself specifically allows for
thosepossibilities.Ineverycasewherecontacthasbeenmade,andinthedulyjustifiedcases
wherecontacthasnotbeenmade,arecordshallbekeptintheprocurementfile.
Article36 Theawarddecision
Theauthorisingofficershalldecidetowhomthecontractistobeawarded,incompliancewith
the selection criteria laid down in advance in the procurement documents and the award
criteriaasdefinedinarticle10.
Article37 ConsultationoftheInternalAuditoraheadoftheawarddecisionbythe
authorisingofficer
Before the final award of the contract, the Internal Auditor may be requested by the
authorising and/or responsible officer to advise on the application of the procurement
procedure, without entering into the technical and financial merits of the tender (more
detailedinformationisprovidedinAnnexII).
Article38 InformationtoCandidatesandTenderers
1. The Instituteshall assoonaspossible informcandidatesandtenderersofdecisionsreached
concerning the award of the contract or framework contract, including the grounds for any
decisionnottoawardacontractorframeworkcontract.
2. The name of the successful tenderer (natural or legal person) will be published on the
Institute’swebsite.Inthiscase,tenderershavetobepreviouslyinformedofthisprocedureand
41
theresultsofthetendercanbeconsideredasproperlycommunicatedafter15calendardays
fromthepostingofthisinformationontheInstitute’swebsite.
3. The Institute shall inform all unsuccessful tenderers or candidates, simultaneously and
individually, by electronicmeans, that their application or tender has not been accepted at
eitherofthefollowingstages:
a. shortlyafterdecisionshavebeentakenonthebasisofexclusionandselectioncriteriaand
beforetheawarddecision,inprocurementproceduresorganisedintwoseparatestages;
b. asregardstheawarddecisionsanddecisionstorejectoffers,assoonaspossibleafterthe
awarddecisionandwithinthefollowingweekatthelatest.
Ineachcase,theInstituteshallindicatethereasonswhythetenderorapplicationhasnotbeen
acceptedandtheavailablelegalremedies.Itshallalsoindicatethestandstillperiod.
Any unsuccessful tenderers or candidates may request additional information about the
reasonsfortheirrejectioninwritingbymail,faxoremail.Allselectedtendererswhosetenders
arenoteliminated(i.e.whomeettheexclusionandselectioncriteria),andwhomakearequest
inwriting,mayobtaininformationaboutthecharacteristicsandrelativemeritsofthetender
acceptedandthenameofthesuccessfultenderer.
Theresponsibleofficershallreplywithinnomorethan15calendardays fromreceiptof the
request.
However,certaindetailsneednotbedisclosedinallcaseswhendoingsowould impede law
enforcement, would be contrary to the public interest or would prejudice the legitimate
commercialinterestsofeconomicoperatorsormightdistortfaircompetitionbetweenthem.
Article39 Cancellationoftheprocurementprocedure
TheInstitutemay,beforethecontractissigned,eitherabandontheprocurementorcancelthe
award procedure without the candidates or tenderers being entitled to claim any
compensation.
Thedecisionshallbejustifiedandbebroughttotheattentionofthecandidatesortenderers.
42
Article40 Guarantees
1. Otherthaninthecaseoflow‐valuecontracts(lessthan60.000€),theInstitutemay,ifitdeems
itappropriateandproportionateonacase‐by‐casebasisandsubjecttoarisk‐analysis,require
contractorstolodgeaguaranteeinordertoensurefullperformanceofthecontract.
2. Theguaranteemustbeforanamountandaperiodthataresufficientforittobeactivated.It
may refer to an amountwithheld from the final payment in order to constitute a guarantee
untilfinalacceptanceoftheservices,suppliesorworks.Itshallbedenominatedineuro.
3. Theguaranteeshallbesuppliedbyabankoranauthorisedfinancialinstitutionthatwillbean
irrevocablecollateralsecurity,orfirst‐callguarantorofthecontractor’sobligations.
Conditionsforsuchaguaranteeshallbeannouncedinthetenderdocuments.Thisguarantee
shallberetaineduntilfinalacceptanceofdeliverybytheInstitute.
Article41 Administrativeandfinancialpenalties
1. Withoutprejudicetotheapplicationofpenalties laiddowninthecontract, theInstitutemay
imposeadministrativeand/orfinancialpenaltiesonthefollowing:
a. contractors,candidatesortenderersinthecasesreferredtoinpoint(b)ofArticle27;
b. contractorswhohavemadesubstantialerrorsorcommittedirregularitiesorfraud,orhave
beendeclared tobe in seriousbreachof theirobligationsundercontracts coveredby the
Institute’sbudget.
Inallcases,however,theInstituteshallfirstgivethecontractorconcernedanopportunityto
presenthisorherobservations.
TheInstituteshalldeterminetheadministrativeorfinancialpenaltiestakingintoaccountthe
importance of the contract and the seriousness of the misconduct and in particular the
elementsreferredtoinAnnexIV.
2. Tenderersorcandidateswhohavemadefalsedeclarations,havecommittedsubstantialerrors,
irregularitiesor fraud,mayalsobesubjecttofinancialpenaltiesrepresenting2%to10%of
thetotalestimatedvalueofthecontractbeingawarded.
Contractorswho have been found in serious breach of their contractual obligationsmay be
subject to financial penalties representing 2% to 10% of the total value of the contract in
question.
43
That ratemaybe increased to 4% to20% in the event of a repeat infringementwithin five
years from the date on which the infringement is established as confirmed following a
contradictoryprocedurewiththecandidate,tendererorcontractor.
Article42 Errors,irregularitiesandfraudintheprocedure
1. Where the award procedure proves to have been subject to substantial errors, conflict of
interests, irregularities or fraud, the Institute shall suspend the procedure and may take
whatevermeasuresarenecessary,includingthecancellationoftheprocedure.
A substantial error or irregularity shall be any infringement of a provision of a contract or
regulation resulting from an act or an omission which causes or might cause a loss to the
Institute’sbudget.
2. Where, after the award of the contract, the award procedure or the performance of the
contract prove to have been subject to substantial errors, irregularities or fraud, the
authorising officer may, depending on the stage reached in the procedure, refrain from
concludingthecontract,suspenditsperformanceor,whereappropriate,terminateit.
Wherethoseerrors, irregularitiesor fraudareattributabletothecontractor, theauthorising
officermay,inaddition,refusetomakepayments,recoveramountsalreadypaidorterminate
allthecontractsconcludedwiththatcontractor,inproportiontotheseriousnessoftheerrors,
irregularitiesorfraud.
Article43 SignatureoftheContractandStandstillPeriod
1. Performanceofthecontractmaynotstartbeforethecontractissigned.
2. The Institute shallnot sign the contract or framework contractwith the successful tenderer
until14calendardayshaveelapsed.Thisperiodshallnotapplyinthecaseofspecificcontracts
basedonaframeworkcontractornegotiatedprocedures.
Itshallnotapplyeitherinalltypesofprocurementprocedurewhenonlyonetenderhasbeen
submitted.
Theperiodshallstarttorunfromthedayafterthesimultaneousdispatchofthenotifications
tosuccessfulandunsuccessfultenderersbyelectronicmeans.
44
Ifnecessary,theInstitutemaysuspendthesignatureofthecontractforadditionalexamination
ifthisisjustifiedbytherequestsorcommentsmadebyunsuccessfuloraggrievedtenderersor
candidatesorbyanyotherrelevantinformationreceived.
Therequests,commentsorinformationmustbereceivedduringtheperiodsetinthesecond
paragraph.Inthecaseofsuspensionallthecandidatesortenderersshallbeinformedwithin
threeworkingdaysfollowingthesuspensiondecision.
3. Anycontractsignedbeforetheexpiryoftheperiodset inthesecondparagraphshallbenull
andvoid.
Where the contract or framework contract cannot be awarded to the successful envisaged
tenderer,theInstitutemayawardittothefollowingbesttenderer.
SECTION5
DISPUTE‐SETTLEMENTPROCEDURES
Article44 Disputesettlementandgoverninglaw
Anydisputerelatingtoaprocurementprocedureunderthepresentrulesshallbesubmittedin
goodfaithbyeitherpartytomediationundertheInternationalMediationRulesof theMilan
Chamber of Arbitration. The request for mediation shall be submitted in writing to the
Secretariat of the Milan Chamber of Arbitration at the latest within 13 days from the
notificationoftheresultsoftheadjudicationpursuanttoArticle38above.
Ifforanyreasonthedisputeremainsunsettled60daysaftertherequestformediation,itshall
besubjecttoarbitrationundertheRulesoftheMilanChamberofArbitrationtobecommenced
withinthefollowing30days.TheseatofthearbitrationshallbeMilanandthelanguageofthe
arbitrationshallbeEnglish.Theawardshallbefinalandbinding.
The arbitral tribunal shall apply the EUI’s relevant regulatory acts, including the EUI’s
regulation on Public Procurement and the EUI’s Financial Rules, complemented, where
necessary,bythelawofItaly.
45
ANNEXI
SUMMARYTABLEONTHECHOICEANDCHARACTERISTICSOFPROCUREMENTPROCEDURES
AMOUNT DEFINITION PROCEDURE PUBLICITY EVALUATION
Over200,000€
OPEN
Assessmentofexclusionandselectioncriteria,evaluationofawardcriteria(bestvalueformoney)doneatthesamephase.
Over200,000€:PublicationonEUIWebsite;notificationtoatleastfiverelevanteconomicoperators;dailynewspaperofwide‐scalerange;notificationtoHighCouncilrepresentatives.
EvaluationCommittee+InternalAuditor
Fromover60,000.01€to200,000€
Fromover60,000.01€to200,000€:PublicationonEUIWebsite;notificationtoatleastfiverelevanteconomicoperators.
Over200,000€
RESTRICTED
Recommendedincase:a)Largenumberoftenderersexpected;b)securityorconfidentialityreasons;c)avisittoEUIpremisesnecessary.
Twophases:1)Contractnoticewithexclusionandselectioncriteriapublished,potentialtenderersselectedonthebasisofthesecriteria;2)Invitationtotendersenttotheselectedpotentialtenderers(atleastfive),evaluationaccordingtoawardcriteria.
Over200,000€:PublicationonEUIWebsite;notificationtoatleastfiverelevanteconomicoperators;dailynewspaperofwide‐scalerange;notificationtoHighCouncilrepresentatives. EvaluationCommittee
+InternalAuditor
Fromover60,000.01€to200,000€
Fromover60,000.01€to200,000€:PublicationEUIWebsite;notificationtoatleastfiverelevanteconomicoperators.
Regardlesstheestimatedvalueofthecontract
COMPETITIVEPROCEDUREWITHNEGOTIATION(exclusivelyforconcessioncontracts)
Threephases:1)Contractnoticewithexclusionandselectioncriteriapublished,potentialtenderersselectedonthebasisofthesecriteria;2)Invitationtotendersenttotheselectedpotentialtenderers(atleastfive),evaluationoftheinitialtendersaccordingtoawardcriteria.3)Negotiationwithtenderersandfollowupoftheevaluationofthefinaltendersaccordingtoawardcriteria
Over200,000€:PublicationonEUIWebsite;notificationtoatleastfiverelevanteconomicoperators;dailynewspaperofwide‐scalerange;notificationtoHighCouncilrepresentatives.
EvaluationCommittee+InternalAuditor(withestimatedvalueover60.000,01€)Upto200,000€:
PublicationEUIWebsite;notificationtoatleastfiverelevanteconomicoperators.
46
Fromover20,000.01€to60,000€
NEGOTIATED Negotiation
Fromover20,000.01€to60,000€:Atleast3economicoperatorsinvited.
n/aviaanEvaluationCmteeFromover
5,000.01€to20,000€
Fromover5,000.01€to20,000€;Atleast2economicoperatorsinvited.
Fromover0€to5,000€
PAYMENTUPONINVOICE
Paymentagainstsimplebillorinvoice. n/a n/a
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ANNEXII
CONSULTATIVEROLEOFTHEINTERNALAUDITOR
Article1 Competenceandtasks
Aspart of the consulting and advisory services providedon specific request by the Internal
Audit Service, the Internal Auditor shall have a general advisory role concerning the
applicationofthepresentRegulation.
Whenperformingconsultingservices,theInternalAuditServicemaintainsitsobjectivityand
doesnotassumemanagementresponsibility.Ithasnoexecutiveroleandisnotresponsiblefor
thedevelopmentandimplementationofcontrolswithintheinternalcontrolsystem.
TheadviceexpressedbytheInternalAuditoronprocurementproceduresshallnotprejudice
theauditor’sopinionduringsubsequentauditsperformedbyInternalAuditService.
Furthermore, the advice expressed shall not affect the full responsibility of the responsible
officerfortheprocurementproceduresincetheadviceisnotbinding.
InrespectofthepresentRegulation:
a. The InternalAuditor shallbe consultedby the responsibleofficerbefore the launchingof
the call for tender (open, restricted and competitive procedure with negotiation with
estimatedvalueover60.000,01€).Awrittenadviceisissued(Article2,paragraph2,pointa
of this Annex) concerning the correct application of the requirements set out in this
Regulationinthecontextofthetenderbeingexamined,withoutenteringintoitstechnical
merits(Article15and16ofthepresentRegulation).
b. TheInternalAuditormayberequestedbytheresponsibleofficertoexpresshis/heradvice
on the application of the procurement procedure before the final award of the contract
(open, restricted and competitive procedure with negotiation with estimated value over
60.000,01€).Awrittenopinionis issued(Article2,paragraph2,pointaofthisAnnex)on
the compliance of the procedure followed for selecting the successful tenderer with the
present Regulationwithout entering into the technical and financialmerits of the tender
(Article37ofthepresentRegulation).
c. The responsible officer can also consult the Internal Auditor during the contract
implementation for obtaining an adviceon the applicationof thepresentRegulation (e.g.
48
cancellation of orders, request for a remission of a penalty for delay, waivers to the
specificationsandgeneralconditions).
Article2 OperatingRulesoftheInternalAuditor’scontrolforpublicprocurement
1. Incaseanadviceisrequiredbeforethelaunchingofthecallfortender(open,restrictedand
competitiveprocedurewithnegotiationwithestimatedvalueover60.000,01€,pointaof
Article1ofthisAnnex):
Draft tender documentation is submitted to the Internal Auditor by the responsible officer
before it is officially published. The tender can be launched once the Internal Auditor has
deliveredhis/heradviceoncomplianceofthetenderdocumentswiththerequirementsofthe
presentRegulation.
2. Incaseanadvice is requiredbefore the finalawardof thecontract (open, restrictedand
competitiveprocedurewithnegotiationwithestimatedvalueover60.000,01€,pointbof
Article1ofthisAnnex):
TheroleoftheInternalAuditorwillbefocusedonverifyingthattheprocurementprocedure
hasbeenfollowedaccordingtothepresentRegulationwithoutenteringintothetechnicaland
financialmeritsofthetenders.
When an opinion is requested before the final award decision, the responsible officer shall
submit to the Internal Auditor the written record of the evaluation and ranking of tenders
draftedbytheevaluationcommitteealongwiththesupportingtenderdocumentation.
Thefollowingconsiderationsapplytotheabovespecifiedcases:
a. The advisory services provided by the Internal Audit service will give rise to a
written advice/opinion signed by the Internal Auditor and forwarded to the
President,SecretaryGeneralandtheresponsibleofficer.
b. Incaseofnegotiatedprocedureandofprocedureinvolvingacallforexpressionof
interest(Article17and19ofthepresentRegulation)consultationwiththeInternal
Auditorisnotrequiredunlesstheresponsibleofficerdeemsitappropriate.
c. Whenever an advise is requested, the responsible officer shall allow the Internal
Auditor at least 7 working days for reviewing the documentation related to the
tenderandpreparehis/herwrittenadvice.
49
d. Last‐minuterequestswillbeprocessedonlyinexceptionalcasesofrealemergency
andafterinformingtheSecretaryGeneral.Theywillbegivenapriority;howeverthe
deadline might not be respected. If submitted requests overlap with the current
priorities, the Internal Auditor will seek the advice of the President and the
SecretaryGeneralforanyadjustmentofprioritiesanddeadlines.
e. At the beginning of the year, the responsible officer shall transmit to the Internal
Auditor, the scheduled tenders for the year inorder to allowhim/her toplan the
work of the Internal Audit Service, specifying when they are supposed to be
launchedandiftheopinionpriortotheawardofthecontract(point2ofArticle2of
thisAnnex)wouldbelikelyrequested.
Furthermore:
f. The use of negotiated procedure for exceptional cases (Article 18 of the present
Regulation)shallbecommunicatedtotheInternalAuditorafterbeingapprovedby
thePresident/SecretaryGeneral.
g. TheInternalAuditorshallreceiveforhis/herinformationthecopyofthecomplete
documentationrelatedtoanycallfortenderslaunched.
50
ANNEXIII
ADDITIONALCONTENTOFTENDERDOCUMENTS
Article1 Tenderdocumentsandtheircontent
Apart from the content indicated in Article 20, the tender documents shall also include the
followingcontent:
1. TheInvitationtotenderortonegotiateshallatleast:
a. specifytheproceduresforthedepositandpresentationoftenders,andinparticular,where
applicable,therequirementtofillinastandardapplicationform;
b. state that submission of a tender implies acceptance of the specification referred to in
paragraph 1 to which the tender relates and of all the tender documents and that this
submissionbinds thecontractor towhom thecontract is awardedduringperformanceof
thecontract;
c. theperiodofvalidityoftendersduringwhichthecontractorisboundbyalltheconditions
ofhis/heroffer;
d. forbid any contact between the Institute and the tenderer during the procedure, save
exceptionally,undertheconditionslaiddowninArticle35and,whereprovisionismadefor
anon‐the‐spotvisit,specifythearrangementsforsuchavisit;
e. state that the Protocol on the Privileges and Immunities of the European University
Instituteapplies.
2. TheSpecificationsshallatleast:
a. specify thesubjectof thecontract, thetypeandthedurationofcontract (e.g.provisionof
supplies,servicesorworks)andtheprocedurefortheawardofthecontract;
b. specifytheServiceoftheInstituteinchargeofthetender;
c. specify the evidence of access to procurement and namely the State where they are
established;
d. specifytheexclusionandselectioncriteriaapplyingtothecontract;forrestrictedprocedure
andnegotiatedprocedurethosecriteriamayappearsolelyinthecontractnoticeorthecall
forexpressionsofinterest;
51
e. specifytheawardcriteriaandtheirrelativeweightingor,whereappropriate,thedecreasing
orderofimportance,ifthisisnotspecifiedinthecontractnotice;theweightingappliedto
price in relation to the other criteriamust not result in the neutralisation of price in the
choiceofcontractor;
f. set out the technical specifications: minimum requirements, quality level, environmental
performanceetc.(moreinformationinthefollowingarticle);
g. state that the Protocol on the Privileges and Immunities of the European University
Instituteapplies(includingVATexemption);
h. specifypaymentarrangements.
Theabovelistisnotintendedtobeexhaustive.
3. Thedraftcontractshallinparticular:
a. specify the liquidateddamagesandanyapplicablepenalties for failure to complywith its
clauses;
b. specify the details which must be contained in invoices or in the relevant supporting
documents;
c. statethattheEUI’sregulationonPublicProcurementalongwithitsFinancialRegulationis
the law which applies to the contract, complemented, where necessary, by EU and/or
nationallawasspecifiedinthecontract;
d. containareferencetotheprivacypolicyoftheInstitute;
e. containareferencetothesecuritypolicyoftheInstitute,ifrelevant;
f. specifytherelevantdispute‐settlementmechanisms.
TheInstitutemaydemandinformationfromthetendereronanypartofthecontractthatthe
tenderermayintendtosubcontracttothirdpartiesandontheidentityofanysubcontractors.
InadditiontheInstitutemayalsorequirethecandidateortenderertosubmitinformationon
thefinancial,economic, technicalandprofessionalcapacities,oftheenvisagedsubcontractor,
inparticularwhensubcontractingrepresentsasignificantpartofthecontract.
Article2 Technicalspecifications
1. Technical specifications must afford equal access for tenderers and not have the effect of
creatingunjustifiedobstaclestocompetitivetendering.
52
Whereappropriate,theyshalldefinethecharacteristicsrequiredofaproduct,service,material
orworkwithregardtothepurposeforwhichtheyareintendedbytheauthorisingofficer.
2. Thecharacteristicsreferredtoinparagraph1shallinclude:
a. thequalitylevels;
b. environmentalperformance,ifapplicable;
c. thelevelsandproceduresofconformityassessment;
d. safetyordimensions,including,forsupplies,thesalesnameanduserinstructions,and,for
all contracts, terminology, symbols, testing and test methods, packaging, marking and
labelling,productionproceduresandmethods;
e. forworkscontracts, theproceduresrelatingtoqualityassuranceandtherulesrelatingto
designandcosting,thetest,inspectionandacceptanceconditionsforworksandmethodsor
techniques of construction and all the other technical conditionswhich the Institutemay
impose under general or specific regulations in relation to the finishedworks and to the
materialsorpartswhichtheyinvolve.
3. Thetechnicalspecificationsshallbeformulatedinanyofthefollowingways:
a. by reference to European standards, or to European technical approvals or common
technical specifications, where such exist, to international standards, to other technical
reference systems established by European standardisation bodies or, failing this, their
nationalequivalents;everyreferenceshallbefollowedbytheexpression‘orequivalent’;
b. in termsofperformanceorof functional requirements,whichmay includeenvironmental
characteristics and shall be sufficiently detailed to enable tenderers to determine the
purposeofthecontractandthecontractingauthoritiestoawardthecontract;
c. byamixtureofthosetwoformulationmethods.
Inanycase,theInstitutemaynotrejectatenderonthegroundsthatitdoesnotcomplywith
thechosenwaytoformulatethespecificationsifthetendererproves,tothesatisfactionofthe
Institute, by any appropriate means, that the tender meets in equivalent manner the
requirementsset.
4. Where the Institute lays down environmental characteristics in terms of performance or of
functional requirements, they may use the detailed specifications, or, if necessary, parts
53
thereof,asdefinedbyEuropean,multinationalornationaleco‐labels,orbyanyothereco‐label
providedthatthefollowingconditionsaresatisfied:
a. the specifications used are appropriate to define the characteristics of the supplies or
servicesthataretheobjectofthecontract;
b. therequirementsforthelabelaredrawnuponthebasisofscientificinformation;
c. the eco‐labels are adopted using a procedure inwhich all the parties concerned, such as
government bodies, consumers, manufacturers, distributors and environmental
organisations,canparticipate;
d. theeco‐labelsareaccessibletoallinterestedparties.
TheInstitutemayindicatethattheproductsorservicesbearingtheeco‐labelarepresumedto
complywiththetechnicalspecificationslaiddowninthecontractdocuments.
5. Forthepurposesofparagraphs3and4,theInstituteshallacceptanyotherappropriatemeans
of proof, such as a technical dossier of themanufacturer or a test report from a recognised
body.Arecognisedbody isa testandcalibration laboratoryoracertificationand inspection
bodyincompliancewithapplicableEuropeanstandards.
6. Save inexceptionalcases,dulywarrantedby thesubjectof thecontract, thosespecifications
maynotrefertoaspecificmakeorsource,oraparticularprocess,ortotrademarks,patents,
typesoraspecificoriginorproductionwhichwouldhavetheeffectoffavouringoreliminating
certainproductsoreconomicoperators.
Where it is not possible to provide a sufficiently detailed and intelligible description of the
subjectofthecontract,thereferenceshallbefollowedbytheexpression‘orequivalent’.
54
ANNEXIV
APPLICATIONOFEXCLUSIONCRITERIA
Article1 Durationofexclusion
In order to determine duration of exclusion and to ensure compliancewith the principle of
proportionality,theInstituteshalltakeintoaccountinparticulartheseriousnessofthefacts,
including their impacts on the EUI’s financial interests and image and the time which has
elapsed,thedurationandrecurrenceoftheoffence,theintentionordegreeofnegligenceofthe
entityconcernedandthemeasurestakenbytheentityconcernedtoremedythesituation.
When determining the period of exclusion, the candidate or tenderer must have the
opportunitytoexpressitsviews.
Where the duration of the period of exclusion is determined, the Institute shall apply this
durationuptothemaximumdurationwhichshallgenerallybesetatamaximumoffiveyears
calculated from the date of the judgment having the force of res judicata or the date of the
administrativedecisionconfirmingthecommittedinfringementinthecasesreferredinArticle
26(1).
Thatperiodofexclusionmaybeextendedto10yearsintheeventofarepeatedoffencewithin
fiveyearsofthedateofthefinaljudgementoradministrativedecision.
Article2 Evidence
1. Candidatesandtenderersshallprovideadeclarationontheirhonour,dulysignedanddated,
statingthattheyarenotinoneofthesituationsreferredtoinArticles26and27.
However, in case of negotiated procedure, all the candidates shall provide the declarations
referred to in paragraph 2. In other cases whenever the Institute limits the number of
candidatestobeinvitedsubmitatenderortonegotiate,itcanrequireallthelimitednumber
ofcandidatestoprovidethepreviouslymentioneddeclarations.
WhenevertheInstitutehasdoubtsastowhetherspecifictenderersareinoneofthesituations
ofexclusion,itmayrequirethemtoprovidetheevidenceindicatedunderparagraph2below.
Thetenderertowhomthecontractistobeawardedshallprovide,withinatimelimitdefined
55
by the Institute and preceding the signature of the contract, the evidence referred to in
paragraph2ofthisArticleconfirmingthedeclarationreferredtoinparagraph1ofthisArticle.
2. TheInstituteshallacceptassatisfactoryevidencethatthecandidateortenderertowhomthe
contractistobeawardedisnotinoneofthesituationsdescribedinpoints(a),(b)(d)or(e)of
Article26(1),arecentextractfromthejudicialrecordor,failingthat,anequivalentdocument
recentlyissuedbyajudicialoradministrativeauthorityinthecountryoforiginorprovenance
showing that those requirements are satisfied. The Institute shall accept, as satisfactory
evidencethatthecandidateortendererisnotinthesituationdescribedinpoint(a)or(c)of
Article26(1),arecentcertificateissuedbythecompetentauthorityoftheStateconcerned.
Where thisdocumentor certificate isnot issued in thecountryconcernedand for theother
casesof exclusion referred to inArticle 26, itmaybe replacedby a swornor, failing that, a
solemnstatementmadebytheinterestedpartybeforeajudicialoradministrativeauthority,a
notaryoraqualifiedprofessionalbodyinhiscountryoforiginorprovenance.
3. Depending on the national legislation of the country in which the candidate or tenderer is
established, the documents referred to in paragraphs 1 and 2 shall relate to legal persons
and/or natural persons including, where considered necessary by the Institute, company
directorsoranypersonwithpowersofrepresentation,decision‐makingorcontrolinrelation
tothecandidateortenderer.
4. Wheretheyhavedoubtsas towhethercandidatesortenderersare inoneof thesituationof
exclusion,theInstitutemayitselfapplytothecompetentauthoritiesreferredtoinparagraph2
toobtainanyinformationtheyconsidernecessaryaboutthatsituation.
5. TheInstitutemaywaivetheobligationofacandidateortenderertosubmitthedocumentary
evidencereferredtoinparagraph2ifsuchevidencehasalreadybeensubmittedtoit forthe
purposes of another procurement procedure and provided that the issuing date of the
documentsdoesnotexceedoneyearandthattheyarestillvalid.
In such a case, the candidate or tenderer shall declare on his honour that the documentary
evidencehasalreadybeenprovidedinapreviousprocurementprocedureandconfirmthatno
changesinhissituationhaveoccurred.
6. When requested by the Institute, the candidate or tenderer shall submit a declaration on
honourfromthe intendedsubcontractorthathe isnot inoneof thesituationsreferredto in
Articles26and27.
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In case of doubt on this declaration on the honour, the Institute shall request the evidence
referredtoinparagraphs2and3.Paragraph4shallapply,whereappropriate.
Recommended