# Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (revoked) EU Regulation 2018/1046 · adopted 18 July 2018 Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 ## Introductory text Regulation (EU, Euratom) 2018/1046 of the European Parliament and of the Council of 18 July 2018 on the financial rules applicable to the general budget of the Union, amending Regulations (EU) No 1296/2013, (EU) No 1301/2013, (EU) No 1303/2013, (EU) No 1304/2013, (EU) No 1309/2013, (EU) No 1316/2013, (EU) No 223/2014, (EU) No 283/2014, and Decision No 541/2014/EU and repealing Regulation (EU, Euratom) No 966/2012 (revoked) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part ONE: FINANCIAL REGULATION ### Title I: SUBJECT MATTER, DEFINITIONS AND GENERAL PRINCIPLES ## 1 Subject matter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 Compliance of secondary legislation with this Regulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Periods, dates and time limits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Protection of personal data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title II: BUDGET AND BUDGETARY PRINCIPLES ## 6 Respect for budgetary principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 1: Principles of unity and of budgetary accuracy ## 7 Scope of the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 Specific rules on the principles of unity and budgetary accuracy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Principle of annuality ## 9 Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 Budgetary accounting for revenue and appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 Commitment of appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12 Cancellation and carry-over of appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13 Detailed provisions on cancellation and carry-over of appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14 Decommitments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 15 Making appropriations corresponding to decommitments available again . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16 Rules applicable in the event of late adoption of the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Principle of equilibrium ## 17 Definition and scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18 Balance from financial year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 4: Principle of unit of account ## 19 Use of euro . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 5: Principle of universality ## 20 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21 Assigned revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22 Structure to accommodate assigned revenue and provision of corresponding appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23 Contributions from Member States to research programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24 Assigned revenue resulting from the participation of EFTA States in certain Union programmes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25 Donations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26 Corporate sponsorship . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27 Rules on deductions and exchange rate adjustments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 6: Principle of specification ## 28 General provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29 Transfers by Union institutions other than the Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30 Transfers by the Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 31 Transfer proposals submitted to the European Parliament and to the Council by Union institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 32 Transfers subject to special provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 7: Principle of sound financial management and performance ## 33 Performance and principles of economy, efficiency and effectiveness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34 Evaluations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 35 Compulsory financial statement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 36 Internal control of budget implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 8: Principle of transparency ## 37 Publication of accounts and budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38 Publication of information on recipients and other information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title III: ESTABLISHMENT AND STRUCTURE OF THE BUDGET ### Chapter 1: Establishment of the budget ## 39 Estimates of revenue and expenditure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 40 Estimated budget of the Union bodies referred to in Article 70 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41 Draft budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 42 Letter of amendment to the draft budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 43 Obligations of Member States as a result of the adoption of the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 44 Draft amending budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 45 Early transmission of estimates and draft budgets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Structure and presentation of the budget ## 46 Structure of the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 47 Budget nomenclature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 48 Negative revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 49 Provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 50 Negative reserve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 51 Emergency Aid Reserve . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 52 Presentation of the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 53 Rules on the establishment plans for staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Budgetary discipline ## 54 Compliance with the multiannual financial framework and Decision 2014/335/EU, Euratom . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 55 Compliance of Union acts with the budget . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title IV: BUDGET IMPLEMENTATION ### Chapter 1: General provisions ## 56 Budget implementation in accordance with the principle of sound financial management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 57 Information on transfers of personal data for audit purposes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 58 Basic act and exceptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 59 Budget implementation by Union institutions other than the Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 60 Delegation of budget implementation powers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 61 Conflict of interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Methods of implementation ## 62 Methods of budget implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 63 Shared management with Member States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: European offices and Union bodies ### Section 1: European offices ## 64 Scope of competences of European offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 65 Appropriations regarding European offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 66 Non-obligatory tasks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 67 Accounting records of European offices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Agencies and Union bodies ## 68 Applicability to the Euratom Supply Agency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 69 Executive agencies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 70 Bodies set up under the TFEU and the Euratom Treaty . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 71 Public-private partnership bodies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 4: Financial actors ### Section 1: Principle of segregation of duties ## 72 Segregation of duties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Authorising officer ## 73 Authorising officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 74 Powers and duties of the authorising officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 75 Keeping of supporting documents by authorising officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 76 Powers and duties of Heads of Union Delegations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Accounting officer ## 77 Powers and duties of the accounting officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 78 Appointment and termination of duties of the accounting officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 79 Powers which may be delegated by the accounting officer . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 80 Accounting rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 81 Organisation of the accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 82 Keeping the accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 83 Content and keeping of budget accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 84 General accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 85 Bank accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 86 Treasury management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 87 The inventory of assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 4: Imprest administrator ## 88 Imprest accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 89 Creation and administration of imprest accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 5: Liability of financial actors ### Section 1: General rules ## 90 Withdrawal of delegation of powers to and suspension of duties of financial actors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 91 Liability of financial actors for illegal activity, fraud or corruption . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Rules applicable to authorising officers responsible ## 92 Rules applicable to authorising officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 93 Treatment of financial irregularities on the part of a member of staff . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Rules applicable to accounting officers and imprest administrators ## 94 Rules applicable to accounting officers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 95 Rules applicable to imprest administrators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 6: Revenue operations ### Section 1: Making own resources available ## 96 Own resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Estimate of amounts receivable ## 97 Estimate of amounts receivable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Establishment of amounts receivable ## 98 Establishment of amounts receivable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 99 Default interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 4: Authorisation of recovery ## 100 Authorisation of recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 5: Recovery ## 101 Rules on recovery . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 102 Recovery by offsetting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 103 Recovery procedure failing voluntary payment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 104 Additional time for payment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 105 Limitation period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 106 National treatment for entitlements of the Union . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 107 Fines, other penalties, sanctions and accrued interest imposed by Union institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 108 Recovery of fines, other penalties or sanctions imposed by Union institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 109 Compensatory interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 7: Expenditure operations ## 110 Financing decisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 111 Expenditure operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 112 Types of budgetary commitments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 113 Commitments for EAGF appropriations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 114 Time limits for commitments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 115 Types of payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 116 Time limits for payments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 8: Internal auditor ## 117 Appointment of the internal auditor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 118 Powers and duties of the internal auditor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 119 Work programme of the internal auditor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 120 Independence of the internal auditor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 121 Liability of the internal auditor . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 122 Action before the Court of Justice of the European Union . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 123 Internal audit progress committees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title V: COMMON RULES ### Chapter 1: Rules applicable to direct, indirect and shared management ## 124 Scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 125 Forms of Union contribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 126 Cross-reliance on assessments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 127 Cross-reliance on audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 128 Use of already available information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 129 Cooperation for protection of the financial interests of the Union . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Rules applicable to direct and indirect management ### Section 1: Rules on procedures and management ## 130 Financial framework partnerships . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 131 Suspension, termination and reduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 132 Record-keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 133 Adversarial procedure and means of redress . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 134 Interest rate rebates and guarantee fee subsidies . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Early-detection and exclusion system ## 135 Protection of the financial interests of the Union by means of detection of risks, exclusion and imposition of financial penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 136 Exclusion criteria and decisions on exclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 137 Declaration and evidence of absence of an exclusion situation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 138 Financial penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 139 Duration of exclusion and limitation period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 140 Publication of exclusion and financial penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 141 Rejection from an award procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 142 The early-detection and exclusion system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 143 Panel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 144 Functioning of the database for the early-detection and exclusion system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 145 Exception applicable to the Joint Research Centre . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: IT systems and e-government ## 146 Electronic management of operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 147 e-Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 148 Electronic exchange systems . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 149 Submission of application documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Rules applicable to direct management ## 150 Evaluation committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 151 Clarification and correction of application documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 152 Guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 153 Guarantee on pre-financing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title VI: INDIRECT MANAGEMENT ## 154 Indirect management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 155 Implementation of Union funds and budgetary guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 156 Indirect management with international organisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 157 Indirect management with Member State organisations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 158 Indirect management with third countries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 159 Blending operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title VII: PROCUREMENT AND CONCESSIONS ### Chapter 1: Common provisions ## 160 Principles applicable to contracts and scope . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 161 Annex on procurement and delegation of powers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 162 Mixed contracts and common procurement vocabulary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 163 Publicity measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 164 Procurement procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 165 Interinstitutional procurement and joint procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 166 Preparation of a procurement procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 167 Award of contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 168 Submission, electronic communication and evaluation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 169 Contacts during the procurement procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 170 Award decision and information to candidates or tenderers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 171 Cancellation of the procurement procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 172 Performance and modifications of the contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 173 Performance guarantees and retention money guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Provisions applicable to contracts awarded by Union institutions on their own account ## 174 The contracting authority . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 175 Thresholds applicable and standstill period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 176 Rules on access to procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 177 Procurement rules of the World Trade Organisation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Provisions applicable for procurement in the field of external actions ## 178 External action procurement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 179 Rules on access to procurement in the field of external actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title VIII: GRANTS ### Chapter 1: Scope and form of grants ## 180 Scope and form of grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 181 Lump sums, unit costs and flat-rate financing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 182 Single lump sums . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 183 Checks and controls on beneficiaries related to lump sums, unit costs and flat rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 184 Periodic assessment of lump sums, unit costs or flat-rates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 185 Usual cost accounting practices of the beneficiary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 186 Eligible costs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 187 Affiliated entities and sole beneficiary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Principles ## 188 General principles applicable to grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 189 Transparency . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 190 Co-financing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 191 Principle of non-cumulative award and prohibition of double funding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 192 No-profit principle . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 193 Principle of non-retroactivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Grant award procedure and grant agreement ## 194 Content and publication of calls for proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 195 Exceptions to calls for proposals . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 196 Content of grant applications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 197 Eligibility criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 198 Selection criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 199 Award criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 200 Evaluation procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 201 Grant agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 4: Implementation of grants ## 202 Amount of the grant and extension of audit findings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 203 Supporting documents for payment requests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 204 Financial support to third parties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 205 Implementation contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title IX: PRIZES ## 206 General rules . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 207 Rules of contest, award and publication . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title X: FINANCIAL INSTRUMENTS, BUDGETARY GUARANTEES AND FINANCIAL ASSISTANCE ### Chapter 1: Common provisions ## 208 Scope and implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 209 Principles and conditions applicable to financial instruments and budgetary guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 210 Financial liability of the Union . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 211 Provisioning of financial liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 212 Common provisioning fund . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 213 Effective provisioning rate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 214 Annual reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Specific provisions ### Section 1: Financial instruments ## 215 Rules and implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 216 Financial instruments directly implemented by the Commission . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 217 Treatment of contributions from funds implemented under shared management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Budgetary guarantees ## 218 Rules for budgetary guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 219 Implementation of budgetary guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Financial assistance ## 220 Rules and implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XI: CONTRIBUTIONS TO EUROPEAN POLITICAL PARTIES ## 221 General provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 222 Principles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 223 Budgetary aspects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 224 Call for contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 225 Award procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 226 Form of contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 227 Guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 228 Use of contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 229 Report on the use of the contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 230 Amount of the contribution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 231 Control and penalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 232 Record keeping . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 233 Selection of external audit bodies or experts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XII: OTHER BUDGET IMPLEMENTATION INSTRUMENTS ## 234 Union trust funds for external actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 235 Implementation of Union trust funds for external actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 236 Use of budget support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 237 Remunerated external experts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 238 Non-remunerated experts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 239 Membership fees and other payments of subscriptions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 240 Expenditure on the members and staff of Union institutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XIII: ANNUAL ACCOUNTS AND OTHER FINANCIAL REPORTING ### Chapter 1: Annual accounts ### Section 1: Accounting framework ## 241 Structure of the accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 242 Supporting documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 243 Financial statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Budget implementation reports ## 244 Budget implementation reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 3: Annual accounts timetable ## 245 Provisional accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 246 Approval of the final consolidated accounts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Integrated financial and accountability reporting ## 247 Integrated financial and accountability reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Budgetary and other financial reporting ## 248 Monthly reporting on budget implementation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 249 Annual report on budgetary and financial management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 250 Annual report on financial instruments, budgetary guarantees and financial assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 251 Status report on accounting issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 252 Reporting on Union trust funds for external actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 253 Publication of information on recipients . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XIV: EXTERNAL AUDIT AND DISCHARGE ### Chapter 1: External audit ## 254 External audit by the Court of Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 255 Rules and procedure on the audit . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 256 Checks on securities and cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 257 Court of Auditors’ right of access . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 258 Annual report of the Court of Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 259 Special reports of the Court of Auditors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Discharge ## 260 Timetable of the discharge procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 261 The discharge procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 262 Follow-up measures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 263 Specific provisions regarding the EEAS . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XV: ADMINISTRATIVE APPROPRIATIONS ## 264 General provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 265 Payments made in advance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 266 Specific provisions regarding building projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 267 Early information procedure and prior approval procedure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Title XVI: INFORMATION REQUESTS AND DELEGATED ACTS ## 268 Information requests by the European Parliament and by the Council . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 269 Exercise of the delegation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part TWO: AMENDMENTS TO SECTOR-SPECIFIC RULES ## 270 Amendments to Regulation (EU) No 1296/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 271 Amendments to Regulation (EU) No 1301/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 272 Amendments to Regulation (EU) No 1303/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 273 Amendments to Regulation (EU) No 1304/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 274 Amendments to Regulation (EU) No 1309/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 275 Amendments to Regulation (EU) No 1316/2013 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 276 Amendments to Regulation (EU) No 223/2014 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 277 Amendments to Regulation (EU) No 283/2014 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 278 Amendment to Decision No 541/2014/EU . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Part THREE: FINAL AND TRANSITIONAL PROVISIONS ## 279 Transitional provisions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 280 Review . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 281 Repeal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 282 Entry into force and application . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Signature . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 1: Common provisions ### Section 1: Framework contracts and publicity ## 1 Framework contracts and specific contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.1 The duration of a framework contract shall not exceed four years, save in exceptional cases duly justified in particular by the subject matter of the framework contract. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.2 Where a framework contract is concluded with a single economic operator, the specific contracts shall be awarded within the limits of the terms laid down in the framework contract. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.3 Where a framework contract is to be concluded with several economic operators (‘multiple framework contract’), it may take the form of separate contracts signed in identical terms with each contractor. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.4 A multiple framework contract with reopening of competition shall be concluded with at least three economic operators, provided that there is a sufficient number of admissible tenders as referred to in point 29.3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 1.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.2 The contracting authority may make known its intentions of planned procurement for the financial year through the publication of a prior information notice. It shall cover a period equal to or less than 12 months from the date on which the notice is sent to the Publications Office of the European Union (the Publications Office). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.3 The contracting authority shall send to the Publications Office an award notice on the results of the procedure no later than 30 days after the signature of a contract or framework contract with a value equal to or greater than the thresholds referred to in Article 175(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.4 The contracting authority shall publish an award notice: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 2.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3.3 Contract award information shall contain the name of the contractor, the amount legally committed and the subject matter of the contract and, in the case of direct contracts and specific contracts, it shall comply with Article 38(3). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 3.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4 Publication of notices . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4.2 The Publications Office shall publish the notices referred to in points 2 and 3 in the Official Journal of the European Union no later than: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 4.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 5 Other forms of advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Section 2: Procurement procedures ## 6 Minimum number of candidates and arrangements for negotiation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.3 Points 6.1 and 6.2 shall not apply in the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.5 During a negotiation, the contracting authority shall ensure equal treatment for all tenderers. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 6.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7 Innovation partnership . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7.1 An innovation partnership shall aim at the development of an innovative product, service or innovative works and the subsequent purchase of the resulting works, supplies or services, provided that they correspond to the performance levels and maximum costs agreed between the contracting authorities and the partners. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7.2 Before launching an innovation partnership, the contracting authority shall consult the market as provided for in point 15 in order to ascertain that the work, supply or service does not exist on the market or as near-to-market development activity. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 7.3 In the procurement documents, the contracting authority shall specify the arrangements applicable to intellectual property rights. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8 Design contests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8.1 Design contests shall be subject to the rules on advertising set out in point 2 and may include the award of prizes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8.2 The jury shall be appointed by the authorising officer responsible. It shall be composed exclusively of natural persons who are independent of candidates in the contest. Where a particular professional qualification is required from candidates in a contest, at least one third of the members of the jury shall have the same or an equivalent qualification. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8.3 The proposals of the jury, based on the merits of each project, and its ranking and remarks, shall be recorded in a report signed by its members. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 8.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9 Dynamic purchasing system . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9.3 The contracting authority shall give any economic operator, throughout the period of validity of the dynamic purchasing system, the possibility of requesting to participate in the system. It shall complete its evaluation of such requests within 10 working days of their receipt. That deadline may be prolonged to 15 working days where justified. However, the contracting authority may extend the evaluation period provided that no invitation to tender is issued in the meantime. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 9.5 The contracting authority shall indicate the period of validity of the dynamic purchasing system in the contract notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10 Competitive dialogue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10.1 The contracting authority shall specify its needs and requirements, the award criteria and an indicative timeframe in the contract notice or in a descriptive document. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10.2 The contracting authority shall open a dialogue with the candidates satisfying the selection criteria in order to identify and define the means best suited to satisfying its needs. It may discuss all aspects of the procurement with the selected candidates during that dialogue but it cannot alter its needs and requirements and award criteria as provided for in point 10.1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10.3 The contracting authority shall continue the dialogue until it can identify the solution or solutions which are capable of meeting its needs. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 10.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11 Use of a negotiated procedure without prior publication of a contract notice . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11.1 Where the contracting authority uses the negotiated procedure without prior publication of a contract notice, it shall comply with the arrangements on negotiation set out in Article 164(4) and in point 6.5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 11.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12 Use of a competitive procedure with negotiation or competitive dialogue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12.1 When the contracting authority uses the competitive procedure with negotiation or the competitive dialogue, it shall follow the arrangements on negotiation set out in Article 164(4) and in point 6.5. The contracting authority may use those procedures, regardless of the estimated value of the contract, in the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12.2 A tender shall be considered irregular in any of the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12.3 A tender shall be considered unacceptable in any of the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 12.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13 Procedure involving a call for expression of interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13.1 For contracts with a value below the thresholds referred to in Article 175(1) or in Article 178(1), and without prejudice to points 11 and 12, the contracting authority may use a call for expression of interest to do either of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13.2 The list drawn up following a call for expression of interest shall be valid for not more than four years from the date on which the notice referred to in point 3.1 is published. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 13.3 Where a contract is to be awarded, the contracting authority shall invite all candidates or vendors entered on the relevant list or sub-list to do either of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14 Middle, low and very low value contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 14.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 15 Preliminary market consultation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 15.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 15.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16 Procurement documents . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16.1 The procurement documents shall include the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16.2 The invitation to tender shall: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16.3 The tender specifications shall contain the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 16.4 The draft contract shall: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17 Technical specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.1 Technical specifications shall allow equal access of economic operators to the procurement procedures and not have the effect of creating unjustified obstacles to the opening up of procurement to competition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.2 The characteristics referred to in point 17.1 may include as appropriate: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.3 The technical specifications shall be formulated in any of the following ways: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.5 Where the contracting authority uses the option provided for in point (b) of point 17.3 to formulate technical specifications in terms of performance or of functional requirements, it shall not reject a tender which complies with a national standard transposing a European standard, a European technical approval, a common technical specifications, an international standard or technical reference systems established by a European standardisation body, if those specifications address the performance or functional requirements which it has laid down. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.6 Where a contracting authority intends to purchase works, supplies or services with specific environmental, social or other characteristics, it may require a specific label or specific requirements from a label, provided that all of the following conditions are satisfied: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 17.8 Unless justified by the subject matter of the contract, technical specifications shall not refer to a specific make or source, or a particular process which characterises the products or services provided by a specific economic operator, or to trade marks, patents, types or a specific origin or production with the effect of favouring or eliminating certain products or economic operators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18 Exclusion and selection criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.1 For the purpose of Article 137, the contracting authority shall accept the European Single Procurement Document (ESPD) referred to in Directive 2014/24/EU, or, failing that, a declaration on honour signed and dated. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.2 The contracting authority shall indicate in the procurement documents the selection criteria, the minimum levels of capacity and the evidence required to prove that capacity. All requirements shall be related and proportionate to the subject matter of the contract. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.3 With regard to capacity to pursue the professional activity, the contracting authority may require an economic operator to fulfil at least one of the following conditions: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.4 When receiving requests to participate or tenders, the contracting authority shall accept the ESPD or, failing that, a declaration on honour stating that the candidate or tenderer fulfils the selection criteria. The requirement to submit an ESPD or a declaration on honour may be waived for very low value contracts. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.5 The contracting authority may, depending on its assessment of risks, decide not to require evidence of the legal, regulatory, financial, economic, technical and professional capacity of economic operators in the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.6 An economic operator may, where appropriate and for a particular contract, rely on the capacities of other entities, regardless of the legal nature of the links which it has with them. It shall in that case prove to the contracting authority that it will have at its disposal the resources necessary for the performance of the contract by producing a commitment by those entities to that effect. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.7 The contracting authority shall verify whether the entities on whose capacity the economic operator intends to rely and the envisaged subcontractors, when subcontracting represents a significant part of the contract, fulfil the relevant selection criteria. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 18.9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19 Economic and financial capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19.1 To ensure that economic operators possess the necessary economic and financial capacity to perform the contract, the contracting authority may require in particular that: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 19.3 The contracting authority shall define in the procurement documents the evidence to be provided by an economic operator to demonstrate its economic and financial capacity. It may request in particular one or more of the following documents: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20 Technical and professional capacity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.2 The contracting authority shall define in the procurement documents the evidence to be provided by an economic operator to demonstrate its technical and professional capacity. It may request one or more of the following documents: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 20.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21 Award criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21.2 The contracting authority shall specify in the procurement documents the relative weighting which it gives to each of the criteria chosen to determine the most economically advantageous tender except when using the lowest price method. Those weightings may be expressed as a range with an appropriate maximum spread. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21.4 Life-cycle costing shall cover parts or all of the following costs, to the extent relevant, over the life cycle of works, supplies or services: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 21.5 Where the contracting authority assesses the costs using a life-cycle costing approach, it shall indicate in the procurement documents the data to be provided by the tenderers and the method which it will use to determine the life-cycle costs on the basis of those data. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22 Use of electronic auctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.1 The contracting authority may use electronic auctions, in which new prices, revised downwards, or new values concerning certain elements of tenders are presented. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.2 In open, restricted or competitive procedures with negotiation, the contracting authority may decide that the award of a public contract is preceded by an electronic auction when the procurement documents can be established with precision. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.3 The contracting authority which decides to hold an electronic auction shall state that fact in the contract notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.4 All tenderers who have submitted admissible tenders shall be invited simultaneously by electronic means to participate in the electronic auction using the connections in accordance with the instructions. The invitation shall specify the date and time of the start of the electronic auction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.5 The invitation shall be accompanied by the outcome of a full evaluation of the relevant tender. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.7 The contracting authority shall close an electronic auction in one or more of the following ways: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 22.8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23 Abnormally low tenders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23.1 If, for a given contract, the price or costs proposed in a tender appears to be abnormally low, the contracting authority shall request in writing details of the constituent elements of the price or costs which it considers relevant and shall give the tenderer the opportunity to present its observations. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23.2 The contracting authority shall only reject the tender where the evidence supplied does not satisfactorily account for the low price or costs proposed. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 23.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24 Time limits for receipt of tenders and requests to participate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.1 The time limits shall be longer than the minimum time limits set out in this point where tenders can only be drawn up after a visit to the site or after an on-the-spot consultation of the documents supporting the procurement documents. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.6 In the procedures after a call for expression of interest referred to in point 13.1, the time limit shall be: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 24.7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25 Access to procurement documents and time limit to provide additional information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25.1 The contracting authority shall offer direct access free of charge by electronic means to the procurement documents from the date of publication of the contract notice or, for the procedures without contract notice or referred to in point 13, from the date of dispatch of the invitation to tender. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25.2 The contracting authority shall provide additional information linked to the procurement documents simultaneously and in writing to all interested economic operators as soon as possible. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 25.3 The contracting authority shall extend the time limit for receipt of tenders where: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26 Time limits in urgent cases . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26.1 Where duly substantiated urgency renders impracticable the minimum time limits laid down in points 24.2 and 24.3 for open or restricted procedures, the contracting authority may set: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 26.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27 Electronic catalogues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27.2 Where the presentation of tenders in the form of electronic catalogues is accepted or required, the contracting authority shall: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27.3 Where a multiple framework contract has been concluded following the submission of tenders in the form of electronic catalogues, the contracting authority may provide that the reopening of competition for specific contracts takes place on the basis of updated catalogues by using one of the following methods: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 27.4 When using the method referred to in point (b) of point 27.3, the contracting authority shall notify contractors of the date and time at which they intend to collect the information needed to constitute tenders adapted to the requirements of the specific contract in question and shall give contractors the possibility to refuse such collection of information. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28 Opening of tenders and requests to participate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.2 Where the value of a contract is equal to or greater than the thresholds referred to in Article 175(1), the authorising officer responsible shall appoint a committee to open the tenders. The authorising officer may waive that obligation on the basis of a risk analysis when reopening competition within a framework contract and for the cases referred to in the second subparagraph of point 11.1 except points (d) and (g) of that subparagraph. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 28.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29 Evaluation of tenders and requests to participate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 29.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30 Results of the evaluation and award decision . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30.1 The outcome of the evaluation shall be an evaluation report containing the proposal to award the contract. The evaluation report shall be dated and signed by the person or persons who carried out the evaluation or by the members of the evaluation committee. That report may be signed in an electronic system providing sufficient identification of the signatory. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30.2 The evaluation report shall contain the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30.3 The contracting authority shall take its award decision providing any of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30.4 The authorising officer may merge the content of the evaluation report and the award decision into a single document and sign it in any of the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 30.5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 31 Information for candidates and tenderers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 31.1 The contracting authority shall inform all candidates or tenderers, simultaneously and individually, by electronic means of decisions reached concerning the outcome of the procedure as soon as possible after any of the following stages: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 31.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 31.3 When the contracting authority communicates by electronic means, information shall be deemed to have been received by candidates or tenderers if the contracting authority can prove to have sent it to the electronic address referred to in the tender or in the request to participate. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 2: Provisions applicable to contracts awarded by Union institutions on their own account ## 32 Central purchasing body . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 32.1 A central purchasing body may act as any of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 32.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33 Lots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33.2 Where the subject matter of a contract is subdivided into several lots, each one being the subject of an individual contract, the total value of all the lots shall be taken into account for the overall evaluation pursuant to the applicable threshold. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 33.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34 Arrangements for estimating the value of a contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.1 The contracting authority shall estimate the value of a contract based on the total amount payable, including any form of options and any renewal. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.2 For framework contracts and dynamic purchasing systems the value to be taken into account shall be the maximum value of all the contracts envisaged during the total duration of the framework contract or dynamic purchasing system. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.3 For service contracts, account shall be taken of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.4 In the case of service contracts which do not specify a total price or of supply contracts for leasing, hire, rental or hire purchase of products, the basis for calculating the estimated contract value shall be: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.5 In the case of service or supply contracts which are awarded regularly or are to be renewed within a given period, the basis for calculating the estimated contract value shall be any of the following: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 34.7 In the case of concession contracts, the value shall be the estimated total turnover of the concessionaire generated over the duration of the contract. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 35 Standstill period before signature of the contract . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 35.1 The standstill period shall run from either of the following dates: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 35.2 The period set out in point 35.1 shall not apply in the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ### Chapter 3: Procurement in the field of external actions ## 36 Special provisions relating to thresholds and the arrangements for awarding contracts in the field of external actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 37 Advertising . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 37.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 37.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38 Thresholds and procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.1 The procurement procedures in the field of external actions shall be as follows: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.2 The use of procurement procedures according to thresholds shall be as follows: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.3 In the restricted procedure referred to in point (a) of point 38.1, the contract notice shall state the number of candidates who will be invited to submit tenders. For service contracts at least four candidates shall be invited. The number of candidates allowed to submit tenders shall be sufficient to ensure genuine competition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.5 Under the simplified procedure referred to in point (d) of point 38.1, the contracting authority shall draw up a list of at least three tenderers of its choice, without publication of a notice. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 38.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 39 Use of the negotiated procedure for service, supply and works contracts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 39.1 Contracting authorities may use the negotiated procedure with a single tender in the following cases: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 39.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 39.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 40 Tender specifications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41 Time limits for procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.4 In open procedures, the time limits for receipt of tenders, running from the date following that on which the contract notice is published, shall be at least: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.5 In local open procedures, the time limits for receipt of tenders, running from the date when the contract notice is published, shall be at least: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## 41.6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ## Annex II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . --- Source: https://www.legislation.gov.uk/eur/2018/1046 (the official version) Page: https://openlegislation.uk/eu-regulation-2018-1046 Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.