1

 

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:

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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.

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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

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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

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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

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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.

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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.

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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.

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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.

15

 

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

16

 

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:

17

 

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.

21

 

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.

22

 

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.

23

 

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;

27

 

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.

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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.

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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.

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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.

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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

47

 

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.

56

 

In case of doubt on this declaration on the honour, the Institute shall request the evidence

referredtoinparagraphs2and3.Paragraph4shallapply,whereappropriate.