Annexes to COM(2011)897 - Award of concession contracts - Main contents

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dossier	COM(2011)897 - Award of concession contracts.
document	COM(2011)897
date	February 26, 2014

ANNEX I

LIST OF THE ACTIVITIES REFERRED TO IN POINT (7) OF ARTICLE 5 (1)

NACE Rev. 1 (2)

CPV code

SECTION F

CONSTRUCTION

Division

Group

Class

Subject

Notes

Construction

This division includes:

construction of new buildings and works, restoring and common repairs.

45000000

45.1

Site preparation

45100000

45.11

Demolition and wrecking of buildings; earth moving

This class includes:

—	demolition of buildings and other structures,

—	clearing of building sites,

—	earth moving: excavation, landfill, levelling and grading of construction sites, trench digging, rock removal, blasting, etc.,

—	site preparation for mining,

—	overburden removal and other development and preparation of mineral properties and sites.

This class also includes:

—	building site drainage,

—	drainage of agricultural or forestry land.

45110000

45.12

Test drilling and boring

This class includes:

—	test drilling, test boring and core sampling for construction, geophysical, geological or similar purposes.

This class excludes:

—	drilling of production oil or gas wells, see 11.20,

—	water well drilling, see 45.25,

—	shaft sinking, see 45.25,

—	oil and gas field exploration, geophysical, geological and seismic surveying, see 74.20.

45120000

45.2

Building of complete constructions or parts thereof; civil engineering

45200000

45.21

General construction of buildings and civil engineering works

This class includes:

—	construction of all types of buildings construction of civil engineering constructions,

—	bridges, including those for elevated highways, viaducts, tunnels and subways,

—	long-distance pipelines, communication and power lines,

—	urban pipelines, urban communication and power lines,

—	ancillary urban works,

—	assembly and erection of prefabricated constructions on the site.

This class excludes:

—	service activities incidental to oil and gas extraction, see 11.20,

—	erection of complete prefabricated constructions from self-manufactured parts not of concrete, see divisions 20, 26 and 28,

—	construction work, other than buildings, for stadiums, swimming pools, gymnasiums, tennis courts, golf courses and other sports installations, see 45.23,

—	building installation, see 45.3,

—	building completion, see 45.4,

—	architectural and engineering activities, see 74.20,

—	project management for construction, see 74.20.

45210000

Except:

– 45213316

45220000

45231000

45232000

45.22

Erection of roof covering and frames

This class includes:

—	erection of roofs,

—	roof covering,

—	waterproofing.

45261000

45.23

Construction of highways, roads, airfields and sport facilities

This class includes:

—	construction of highways, streets, roads, other vehicular and pedestrian ways,

—	construction of railways,

—	construction of airfield runways,

—	construction work, other than buildings, for stadiums, swimming pools, gymnasiums, tennis courts, golf courses and other sports installations,

—	painting of markings on road surfaces and car parks.

This class excludes:

—	preliminary earth moving, see 45.11.

45212212 and DA03

45230000

except:

– 45231000

– 45232000

– 45234115

45.24

Construction of water projects

This class includes construction of:

—	waterways, harbour and river works, pleasure ports (marinas), locks, etc.,

—	dams and dykes,

—

dredging,

—	subsurface work.

45240000

45.25

Other construction work involving special trades

This class includes:

—	construction activities specialising in one aspect common to different kinds of structures, requiring specialised skill or equipment,

—	construction of foundations, including pile driving,

—	water well drilling and construction, shaft sinking,

—	erection of non-self-manufactured steel elements,

—	steel bending,

—	bricklaying and stone setting,

—	scaffolds and work platform erecting and dismantling, including renting of scaffolds and work platforms,

—	erection of chimneys and industrial ovens.

This class excludes:

—	renting of scaffolds without erection and dismantling, see 71.32.

45250000

45262000

45.3

Building installation

45300000

45.31

Installation of electrical wiring and fittings

This class includes:

installation in buildings or other construction projects of:

—	electrical wiring and fittings,

—	telecommunications systems,

—	electrical heating systems,

—	residential antennas and aerials,

—	fire alarms,

—	burglar alarm systems,

—	lifts and escalators,

—	lightning conductors, etc.

45213316

45310000

Except:

– 45316000

45.32

Insulation work activities

This class includes:

—	installation in buildings or other construction projects of thermal, sound or vibration insulation.

This class excludes:

—	waterproofing, see 45.22.

45320000

45.33

Plumbing

This class includes:

—	installation in buildings or other construction projects of:

—	plumbing and sanitary equipment,

—	gas fittings,

—	heating, ventilation, refrigeration or air-conditioning equipment and ducts,

—	sprinkler systems.

This class excludes:

—	installation of electrical heating systems, see 45.31.

45330000

45.34

Other building installation

This class includes:

—	installation of illumination and signalling systems for roads, railways, airports and harbours,

—	installation in buildings or other construction projects of fittings and fixtures n.e.c.

45234115

45316000

45340000

45.4

Building completion

45400000

45.41

Plastering

This class includes:

—	application in buildings or other construction projects of interior and exterior plaster or stucco, including related lathing materials.

45410000

45.42

Joinery installation

This class includes:

—	installation of not self-manufactured doors, windows, door and window frames, fitted kitchens, staircases, shop fittings and the like, of wood or other materials,

—	interior completion such as ceilings, wooden wall coverings, movable partitions, etc.

This class excludes:

—	laying of parquet and other wood floor coverings, see 45.43.

45420000

45.43

Floor and wall covering

This class includes:

—	laying, tiling, hanging or fitting in buildings or other construction projects of:

—	ceramic, concrete or cut stone wall or floor tiles,

—	parquet and other wood floor coverings carpets and linoleum floor coverings,

—	including of rubber or plastic,

—	terrazzo, marble, granite or slate floor or wall coverings,

—	wallpaper.

45430000

45.44

Painting and glazing

This class includes:

—	interior and exterior painting of buildings,

—	painting of civil engineering structures,

—	installation of glass, mirrors, etc.

This class excludes:

—	installation of windows, see 45.42.

45440000

45.45

Other building completion

This class includes:

—	installation of private swimming pools,

—	steam cleaning, sand blasting and similar activities for building exteriors,

—	other building completion and finishing work n.e.c.

This class excludes:

—	interior cleaning of buildings and other structures, see 74.70.

45212212 and DA04

45450000

45.5

Renting of construction or demolition equipment with operator

45500000

45.50

Renting of construction or demolition equipment with operator

This class excludes:

—	renting of construction or demolition machinery and equipment without operators, see 71.32.

45500000

(1) In the event of any difference of interpretation between the CPV and the NACE, the CPV nomenclature will apply.

(2) Council Regulation (EEC) No 3037/90 of 9 October 1990 on the statistical classification of economic activities in the European Community (OJ L 293, 24.10.1990, p. 1).

ANNEX II

ACTIVITIES EXERCISED BY CONTRACTING ENTITIES AS REFERRED TO IN ARTICLE 7

The provisions of this Directive governing concessions awarded by contracting entities shall apply to the following activities:

As far as gas and heat are concerned:

(a)	the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of gas or heat;

(b)	the supply of gas or heat to such fixed networks.

The supply by a contracting entity referred to in points (b) and (c) of Article 7(1) of gas or heat to fixed networks which provide a service to the public shall not be considered to be a relevant activity within the meaning of paragraph 1 where all of the following conditions are met:

(i)	the production of gas or heat by that contracting entity is the unavoidable consequence of carrying out an activity other than those referred to in this paragraph or in paragraphs 2 and 3 of this Annex;

(ii)	the supply to the public network is aimed only at the economic exploitation of such production and amounts to not more than 20 % of that contracting entity’s turnover on the basis of the average for the preceding three years, including the current year.

For the purposes of this Directive, ‘supply’ includes the generation/production, wholesale and retail sale of gas. However, production of gas in the form of extraction falls within the scope of paragraph 4 of this Annex.

As far as electricity is concerned:

(a)	the provision or operation of fixed networks intended to provide a service to the public in connection with the production, transport or distribution of electricity;

(b)	the supply of electricity to such fixed networks.

For the purposes of this Directive, supply of electricity includes generation/production, wholesale and retail sale of electricity.

The supply by a contracting entity referred to in points (b) and (c) of Article 7(1) of electricity to networks which provide a service to the public shall not be considered to be a relevant activity within the meaning of paragraph 1 where all of the following conditions are met:

(a)	the production of electricity by that contracting entity takes place because its consumption is necessary for carrying out an activity other than those referred to in this paragraph or in paragraphs 1 and 3 of this Annex;

(b)	supply to the public network depends only on that contracting entity’s own consumption and has not exceeded 30 % of that contracting entity’s total production of energy, on the basis of the average for the preceding three years, including the current year.

Activities relating to the provision or operation of networks providing a service to the public in the field of transport by railway, automated systems, tramway, trolley bus, bus or cable.

As regards transport services, a network shall be considered to exist where the service is provided under operating conditions laid down by a competent authority of a Member State, such as conditions on the routes to be served, the capacity to be made available or the frequency of the service.

4.	Activities relating to the exploitation of a geographical area for the purpose of the provision of airports and maritime or inland ports or other terminal facilities to carriers by air, sea or inland waterway.

Activities relating to the provision of:

(a)	postal services;

(b)

other services than postal services, on condition that such services are provided by an entity which also provides postal services within the meaning of point (ii) of the second subparagraph of this paragraph and provided that the conditions set out in Article 34(1) of Directive 2014/25/EU are not satisfied in respect of the services falling within point (ii) of the second subparagraph.

For the purpose of this Directive and without prejudice to Directive 97/67/EC:

(i)

‘postal item’ means an item addressed in the final form in which it is to be carried, irrespective of weight. In addition to items of correspondence, such items also include for instance books, catalogues, newspapers, periodicals and postal packages containing merchandise with or without commercial value, irrespective of weight;

(ii)	‘postal services’: means services consisting of the clearance, sorting, routing and delivery of postal items. This shall include both services falling within as well as services falling outside the scope of the universal service set up in conformity with Directive 97/67/EC;

(iii)

‘other services than postal services’: means services provided in the following areas:

—	mail service management services (services both preceding and subsequent to despatch, including ‘mailroom management services’),

—	services concerning postal items not included in point (a), such as direct mail bearing no address.

Activities relating to the exploitation of a geographical area for the purpose of:

(a)	extracting oil or gas;

(b)	exploring for, or extracting, coal or other solid fuels.

ANNEX III

LIST OF LEGAL ACTS OF THE UNION REFERRED TO IN POINT (B) OF ARTICLE 7(2)

Rights which have been granted by means of a procedure in which adequate publicity has been ensured and where the granting of those rights was based on objective criteria shall not constitute ‘special or exclusive rights’ within the meaning of this Directive. The following lists procedures, ensuring adequate prior transparency, for granting authorisations on the basis of other legislative acts of the Union which do not constitute ‘special or exclusive rights’ within the meaning of this Directive:

(a)	Granting authorisation to operate natural gas installations in accordance with the procedures laid down in Article 4 of Directive 2009/73/EC;

(b)	Authorisation or an invitation to tender for the construction of new electricity production installations in accordance with Directive 2009/72/EC;

(c)	The granting in accordance with the procedures laid down in Article 9 of Directive 97/67/EC of authorisations in relation to a postal service which is not or shall not be reserved;

(d)	A procedure for granting an authorisation to carry on an activity involving the exploitation of hydrocarbons in accordance with Directive 94/22/EC;

(e)

Public service contracts within the meaning of Regulation (EC) No 1370/2007 for the provision of public passenger transport services by bus, tramway, rail or metro, which have been awarded on the basis of a competitive tendering procedure in accordance with its Article 5(3), provided that its length is in conformity with Article 4(3) or (4) of that Regulation.

ANNEX IV

SERVICES REFERRED TO IN ARTICLE 19

Description	CPV Code
79611000-0; 75200000-8; 75231200-6; 75231240-8; 79622000-0 [Supply services of domestic help personnel]; 79624000-4 [Supply services of nursing personnel] and 79625000-1 [Supply services of medical personnel] from 85000000-9 to 85323000-9; 85143000-3, 98133100-5, 98133000-4 and 98200000-5 and 98500000-8 [Private households with employed persons] and 98513000-2 to 98514000-9 [Manpower services for households, Agency staff services for households, Clerical staff services for households, Temporary staff for households, Home-help services and Domestic services],	Health, social and related services
85321000-5 and 85322000-2, 75000000-6 [Administration, defence and social security services], 75121000-0, 75122000-7, 75124000-1; from 79995000-5 to 79995200-7; from 80000000-4 Education and training services to 80660000-8; from 92000000-1 to 92342200-2; from 92360000-2 to 92700000-8; 79950000-8 [Exhibition, fair and congress organisation services], 79951000-5 [Seminar organisation services], 79952000-2 [Event services], 79952100-3 [Cultural event organisation services], 79953000-9 [Festival organisation services], 79954000-6 [Party organisation services], 79955000-3[Fashion shows organisation services], 79956000-0 [Fair and exhibition organisation services]	Administrative, social, educational, healthcare and cultural services
75300000-9	Compulsory social security services (1)
75310000-2, 75311000-9, 75312000-6, 75313000-3, 75313100-4, 75314000-0, 75320000-5, 75330000-8, 75340000-1	Benefit services
98000000-3; 98120000-0; 98132000-7; 98133110-8 and 98130000-3	Other community, social and personal services including services furnished by trade unions, political organisations, youth associations and other membership organisation services.
98131000-0	Religious services
55100000-1 to 55410000-7; 55521000-8 to 55521200-0 [55521000-8 Catering services for private households, 55521100-9 Meals-on-wheels services, 55521200-0 Meal delivery service]. 55520000-1 Catering services, 55522000-5 Catering services for transport enterprises, 55523000-2 Catering services for other enterprises or other institutions, 55524000-9 School catering services 55510000-8 Canteen services, 55511000-5 Canteen and other restricted-clientele cafeteria services, 55512000-2 Canteen management services, 55523100-3 School-meal services	Hotel and restaurant services
79100000-5 to 79140000-7; 75231100-5;	Legal services, to the extent not excluded pursuant to Article 10(8)(d)
75100000-7 to 75120000-3; 75123000-4; 75125000-8 to 75131000-3	Other administrative services and government services
75200000-8 to 75231000-4	Provision of services to the community
75231210-9 to 75231230-5; 75240000-0 to 75252000-7; 794300000-7; 98113100-9	Prison related services, public security and rescue services, to the extent not excluded pursuant to point (g) of Article 10(8)
79700000-1 to 79721000-4 [Investigation and security services, Security services, Alarm-monitoring services, Guard services, Surveillance services, Tracing system services, Absconder-tracing services, Patrol services, Identification badge release services, Investigation services and Detective agency services] 79722000-1[Graphology services], 79723000-8 [Waste analysis services]	Investigation and security services
64000000-6 [Postal and telecommunications services], 64100000-7 [Post and courier services], 64110000-0 [Postal services], 64111000-7 [Postal services related to newspapers and periodicals], 64112000-4 [Postal services related to letters], 64113000-1 [Postal services related to parcels], 64114000-8 [Post office counter services], 64115000-5 [Mailbox rental], 64116000-2 [Post-restante services], 64122000-7 [Internal office mail and messenger services]	Postal Services
50116510-9 [Tyre-remoulding services], 71550000-8 [Blacksmith services]	Miscellaneous services
98900000-2 [Services provided by extra-territorial organisations and bodies] and 98910000-5 [Services specific to international organisations and bodies]	International services

(1) These services are not covered by the present Directive where they are organised as non-economic services of general interest. Member States are free to organise the provision of compulsory social services or of other services as services of general interest or as non-economic services of general interest.

ANNEX V

INFORMATION TO BE INCLUDED IN CONCESSION NOTICES REFERRED TO IN ARTICLE 31

Name, identification number (where provided for in national legislation), address, including NUTS code, telephone, fax number, e-mail and internet address of the contracting authority or entity and, where different, of the service from which additional information may be obtained.

Type of contracting authority or entity and main activity exercised.

If the applications are to contain tenders, e-mail or internet address at which the concession documents will be available for unrestricted and full direct access, free of charge. Where unrestricted and full direct access, free of charge, is not available in the cases referred to in Article 34(2) an indication of how the procurement documents can be accessed.

Description of the concession: nature and extent of works, nature and extent of services, order of magnitude or indicative value and, where possible, duration of the contract. Where the concession is divided into lots, this information shall be provided for each lot. Where appropriate, description of any options.

CPV codes. Where the concession is divided into lots, this information shall be provided for each lot.

NUTS code for the main location of works in case of works concessions or NUTS code for the main place of performance service concessions; where the concession is divided into lots, this information shall be provided for each lot.

Conditions for participation, including:

(a)	where appropriate, indication whether the concession is restricted to sheltered workshops, or whether its execution is restricted to the framework of protected job programmes;

(b)	where appropriate, indication whether the provision of the service is reserved by law, regulation or administrative provision to a particular profession; reference to the relevant law, regulation or administrative provision;

(c)	a list and brief description of selection criteria where applicable; minimum level(s) of standards possibly required; indication of required information (self-declarations, documentation).

Time limit for the submission of applications or receipt of tenders.

Criteria which will be applied in the award of the concession where they do not appear in other concession documents.

10.

Date of dispatch of the notice.

11.

Name and address of the body responsible for appeal and, where appropriate, mediation procedures. Precise information concerning the deadline for lodging appeals or, if need be, the name, address, telephone number, fax number and e-mail address of the service from which this information may be obtained.

12.

Where appropriate, particular conditions to which performance of the concession is subject.

13.

Address where applications or tenders shall be transmitted.

14.

Where appropriate, indication of requirements and conditions related to the use of electronic means of communication.

15.

Information as to whether the concession is related to a project and/or programme financed by Union funds.

16.

For works concessions, indication as to whether the concession is covered by the GPA.

ANNEX VI

INFORMATION TO BE INCLUDED IN PRIOR INFORMATION NOTICES CONCERNING CONCESSIONS FOR SOCIAL AND OTHER SPECIFIC SERVICES, AS REFERRED TO IN ARTICLE 31(3)

1.	Name, identification number (where provided for in national legislation), address including NUTS code, telephone, fax number, e-mail and internet address of the contracting authority or contracting entity and, where different, of the service from which additional information may be obtained.

2.	Where appropriate, e-mail or internet address at which the specifications and any supporting documents will be available.

3.	Type of contracting authority or contracting entity and main activity exercised.

4.	CPV codes; where the contract is divided into lots, this information shall be provided for each lot.

5.	NUTS code for the main place of delivery or performance of service concessions.

6.	Description of the services, indicative order of magnitude or value.

7.	Conditions for participation.

8.	Where applicable, time limit(s) for contacting the contracting authority or contracting entity in view of participation.

9.	Where applicable, brief description of the main features of the award procedure to be applied.

10.	Any other relevant information.

ANNEX VII

INFORMATION TO BE INCLUDED IN CONCESSION AWARD NOTICES, AS REFERRED TO IN ARTICLE 32

Name, identification number (where provided for in national legislation), address including NUTS code and, where appropriate, telephone, fax number, e-mail and internet address of the contracting authority or entity and, where different, of the service from which additional information may be obtained.

Type of contracting authority or entity and main activity exercised.

CPV codes.

NUTS code for the main location of works in case of works concessions or NUTS code for the main place of performance in case of service concessions;

Description of the concession: nature and extent of works, nature and extent of services, duration of the contract. Where the concession is divided into lots, this information shall be provided for each lot. Where appropriate, description of any options.

Description of award procedure used, in the case of award without prior publication, justification.

Criteria referred to in Article 41 which were used for award of the concession or concessions.

Date of concession award decision or decisions.

Number of tenders received with respect of each award, including:

(a)	number of tenders received from economic operators which are small and medium enterprises;

(b)	number of tenders received from abroad;

(c)	number of tenders received electronically.

10.

For each award, name, address including NUTS code and, where applicable, telephone, fax number, e-mail address and internet address of the successful tenderer(s) including:

(a)	information whether the successful tenderer is small and medium enterprise;

(b)	information whether the concession was awarded to a consortium.

11.

Value and main financial terms of the awarded concession, including:

(a)	fees prices and fines if any;

(b)	prizes and payments if any;

(c)	any other details relevant to the value of the concession as laid down in Article 8(3).

12.

Information whether the concession is related to a project and/or programme financed by Union funds.

13.

Name and address of the body responsible for review and, where appropriate, mediation procedures. Precise information concerning the deadline for review procedures, or if need be, the name, address, telephone number, fax number and e-mail address of the service from which this information may be obtained.

14.

Date(s) and reference(s) of previous publications in the Official Journal of the European Union relevant to the concession(s) advertised in this notice.

15.

Date of dispatch of the notice.

16.

Method used to calculate the estimated value of the concession, if not specified in other concession documents in accordance with Article 8.

17.

Any other relevant information.

ANNEX VIII

INFORMATION TO BE INCLUDED IN CONCESSION AWARD NOTICES CONCERNING CONCESSIONS FOR SOCIAL AND OTHER SPECIFIC SERVICES, AS REFERRED TO IN ARTICLE 32

Name, identification number (where provided for in national legislation), address including NUTS code, where applicable, telephone, fax number, e-mail and internet address of the contracting authority or entity and, where different, of the service from which additional information may be obtained.

Type of contracting authority or entity and main activity exercised.

CPV codes; where the contract is divided into lots, this information shall be provided for each lot.

Summary indication of the subject of the concession.

Number of tenders received.

Value of the successful tender, including fees and prices.

Name and address including NUTS code, telephone, fax number, e-mail address and internet address of the successful economic operator(s).

Any other relevant information.

ANNEX IX

FEATURES CONCERNING PUBLICATION

1. Publication of notices

The notices referred to in Articles 31 and 32 shall be sent by the contracting authorities or contracting entities to the Publications Office of the European Union and published in accordance with the following rules:

Notices referred to in Articles 31 and 32 shall be published by the Publications Office of the European Union

The Publications Office of the European Union shall give the contracting authority or entity the confirmation referred to in Article 33(2).

2. Format and procedures for sending notices electronically

The format and procedure for sending notices electronically as established by the Commission are made accessible at the internet address ‘http://simap.europa.eu’

ANNEX X

LIST OF INTERNATIONAL SOCIAL AND ENVIRONMENTAL CONVENTIONS REFERRED TO IN ARTICLE 30(3)

ILO Convention 87 on Freedom of Association and the Protection of the Right to Organise;

ILO Convention 98 on the Right to Organise and Collective Bargaining;

ILO Convention 29 on Forced Labour;

ILO Convention 105 on the Abolition of Forced Labour;

ILO Convention 138 on Minimum Age;

ILO Convention 111 on Discrimination (Employment and Occupation);

ILO Convention 100 on Equal Remuneration;

ILO Convention 182 on Worst Forms of Child Labour;

Vienna Convention for the protection of the Ozone Layer and its Montreal Protocol on substances that deplete the Ozone Layer;

Basel Convention on the Control of Transboundary Movements of Hazardous Wastes and their Disposal (Basel Convention);

Stockholm Convention on Persistent Organic Pollutants (Stockholm POPs Convention);

Convention on the Prior Informed Consent Procedure for Certain Hazardous Chemicals and Pesticides in International Trade (UNEP/FAO) (PIC Convention) and its 3 regional Protocols.

ANNEX XI

INFORMATION TO BE INCLUDED IN NOTICES OF MODIFICATIONS OF A CONCESSION DURING ITS TERM ACCORDING TO ARTICLE 43

Name, identification number (where provided for in national legislation), address including NUTS code, telephone, fax number, e-mail and internet address of the contracting authority or entity and, where different, of the service from which additional information may be obtained.

CPV codes.

NUTS code for the main location of works in case of works concessions or NUTS code for the main place of performance in service concessions.

Description of the concession before and after the modification: nature and extent of the works, nature and extent of services.

Where applicable, modification of value of the concession, including increase in prices or fees caused by the modification.

Description of the circumstances which have rendered necessary the modification.

Date of concession award decision.

Where applicable, the name, address including NUTS code telephone, fax number, e-mail address and internet address of the new economic operator or operators.

Information whether the concession is related to a project and/or programme financed by Union funds.

10.

11.

Date(s) and reference(s) of previous publications in the Official Journal of the European Union relevant to the contract(s) concerned by this notice.

12.

Date of dispatch of the notice.

13.

Any other relevant information.