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EIB Procurement Policy Kick Off Meeting of Ukraine Urban Public Transport KIEV, 13 th EIB Procurement Policy Kick Off Meeting of Ukraine Urban Public Transport KIEV, 13 th December 2016 Istvan HEINCZINGER, Senior Sector Economist 17/03/2018 European Investment Bank 1

Presentation outline 1. General Principles 1. 1 Introduction 1. 2 Guide to Procurement 1. Presentation outline 1. General Principles 1. 1 Introduction 1. 2 Guide to Procurement 1. 3 Key points 2. Operations Outside the EU 2. 1 Eligibility 2. 2 Public sector operations 2. 3 Procurement monitoring procedures 2. 4 Co-financing 3. Covenant of Integrity 4. Differences between EIB and EBRD procedure 4. 1 Standstill period and Remedies 4. 2 Tender publication 17/03/2018 European Investment Bank 2

1. 1 Procurement: what is it for? The Bank will ensure that its funds 1. 1 Procurement: what is it for? The Bank will ensure that its funds are employed as rationally as possible in the interest of the Union (EIB statute). The objective of procurement: procure in the economically most advantageous way works, goods and services to implement a project. Why are there strict and formal rules for public procurement? The promoter is using public money. Therefore, the proccess must be: Transparent Fair and non-discriminatory Traceable Full access of EU firms to procurement under EIB financed projects. 17/03/2018 European Investment Bank 3

1. 1 Procurement: Cornerstone of project implementation Procurement is an integral part of project 1. 1 Procurement: Cornerstone of project implementation Procurement is an integral part of project implementation, and necessary for a promoter to be able to contract firms for physical works and equipment supplies. An inadequate procurement strategy results in delays and cost overruns. The aim of procurement rules is also to keep the process free of corruption, fraud and other prohibited practices, thus reducing the reputational risk for EIB. Good procurement practices allow faster implementation and therefore faster disbursements with lower risks. 17/03/2018 European Investment Bank 4

1. 2 Guide to Procurement: What is it? The Guide to Procurement is the 1. 2 Guide to Procurement: What is it? The Guide to Procurement is the main reference document regarding EIB Procurement Policy. Sets the requirements for the procurement of the project to be acceptable to the Bank. Produced by EIB in collaboration and consultation with the EC, MDBs and other stakeholders. Enforceable through the Finance Contract. 17/03/2018 European Investment Bank 5

1. 3 Key points outside the EU (GP § 3. 1) Countries outside the 1. 3 Key points outside the EU (GP § 3. 1) Countries outside the EU, the Bank requires that the main mechanisms of the EU Procurement Directives be complied with, with the necessary procedural adaptations. (2014/24 Directive for Public Sector and 2014/25 Directive for Public Utilities. ) Procurement of works, goods and services financed by the Bank must be carried out in accordance with the EIB Guide to Procurement. The Bank monitors the procurement process to ensure that it is compliant with the Guide to Procurement. 17/03/2018 European Investment Bank 6

2. 1 Eligibility (GP § 3. 2) Financed from the Bank’s own resources: Open 2. 1 Eligibility (GP § 3. 2) Financed from the Bank’s own resources: Open to nationals of all countries. (GP § 3. 2. 1) Financed partially or completely from resources from third parties (GP § 3. 2. 2): Other instruments (NIF, MPSF, etc. ): Depends on the rules of the instrument. At least EU and parties to or beneficiaries of such agreement. Co-financed from own resources (GP § 3. 2. 3): Joint co-financing: Open as much as possible, at least EU and beneficiary country. Parallel co-financing: Normal EIB eligibility rules 17/03/2018 European Investment Bank 7

2. 1 Eligibility (2) The following types of schemes, alone or in combination, are 2. 1 Eligibility (2) The following types of schemes, alone or in combination, are targeted as eligible provided they meet the eligibility and appraisal standards to be defined in the Programme Procedures Manual (PPM): Category ID Description 1 Purchase of new rolling stock (trolleybuses, trams, metro and buses) 2 Capital rehabilitation of rolling stock 3 Infrastructure rehabilitation – tracks, catenary, depots, stations 4 Infrastructure development – new tram tracks, catenary, depots, stations, supply and installation of information and ticket collection systems 5 Services for planning, design, supervision and monitoring of above activities 6 Services for technical assistance to city authorities 17/03/2018 European Investment Bank 8

2. 1 Eligibility (3) The Bank’s funds will be allocated according to the scheme 2. 1 Eligibility (3) The Bank’s funds will be allocated according to the scheme size in line with applicable framework loan procedures: a) Eligible schemes with a total investment cost below EUR 25 m are selected by the Promoter. The choices are subject to ex-post confirmation of eligibility by the Bank’s services. The Promoter is to submit an allocation request in a form required by the Bank (as defined in the PPM). b) Eligible schemes with a cost between EUR 25 m and including EUR 50 m are submitted ex-ante to the Bank for approval before funding, using a template as defined in the PPM or a feasibility study. The Bank keeps the right to ask for additional information; partial or in-depth appraisal of the scheme will be undertaken, if judged necessary. c) Eligible schemes with a cost above EUR 50 m are to be treated, in principle, like separate loans and appraised separately by the Bank’s services. Schemes will be subject to approval before disbursement of the Bank’s funds to the final beneficiaries. The Bank will request documentation, at its discretion, as individually indicated by the Bank to the Promoter. 17/03/2018 European Investment Bank 9

2. 2 Thresholds (GP § 3. 4. 1) There are thresholds in PPM over 2. 2 Thresholds (GP § 3. 4. 1) There are thresholds in PPM over which it is mandatory to use international procurement procedures: Nature of the Contract Threshold in Euro Works 1 million Goods and Services except Consultancy services: In General Electricity, Gas, Water and Transport Telecommunications 200, 000 600, 000 17/03/2018 European Investment Bank 10

2. 2 Procurement procedures for public sector operations (GP § 3. 3) International procurement 2. 2 Procurement procedures for public sector operations (GP § 3. 3) International procurement procedures (GP § 3. 3. 2) Open procedure: allow all interested parties to submit tenders Strict requirements: a) b) c) d) International Notification (OJEU) and national Clear and comprehensive tender documents Fair and transparent tendering, evaluation and award practices Restricted procedure (with pre-qualification) National procurement procedures (below GP thresholds) (GP § 3. 3. 3) a) National Notification 17/03/2018 European Investment Bank 11

2. 2 Consultancy Services (GP § 4. 2. 2) Section 4 of the GP 2. 2 Consultancy Services (GP § 4. 2. 2) Section 4 of the GP sets the requirements for consultancy services contracts. There are specific procedures and thresholds for consultancy services: Contract Amount in Euro Above 200, 000 50, 000 - 200, 000 Below 50, 000 Number of Shortlisted Candidates Number of Nationalities Open or Restricted Procedure 3 to 7 At least 2 1 Not applicable The cases where a direct negotiated procedure is allowed are listed in GP § 4. 2. 2 17/03/2018 European Investment Bank 12

2. 2 Local Preference (GP § 3. 7. 9) Available for equipment/goods/supply contracts outside 2. 2 Local Preference (GP § 3. 7. 9) Available for equipment/goods/supply contracts outside EU, except in candidate countries. NOT accepted: local preference on works or services contracts. 15% margin of preference on price. NOT accepted: mandatory local component. In line with other MDBs (except EBRD). 17/03/2018 European Investment Bank 13

2. 2 Tender Documents (GP § 3. 7. 4) The conditions of contracts: § 2. 2 Tender Documents (GP § 3. 7. 4) The conditions of contracts: § Use internationally-recognised standard procurement documentation such as 1. the World Bank tender documents (website www. worldbank. org, Projects & Operations) 2. the FIDIC (Fédération Internationale des Ingénieurs-Conseils) {website www. fidic. org} provided that these are compatible with the provisions of this Gt. P. (Site visit, briefing, time: 35 days) The tender documents should include a statement to the effect that tenderers should alert the promoter in writing, with a copy to the Bank, in case they should consider that certain clauses or technical specifications of the tender documents might limit international competition or introduce an unfair advantage to some tenderers. 17/03/2018 European Investment Bank 14

2. 2 Tender Evaluation Criteria (GP § 3. 7. 10) Either the lowest price 2. 2 Tender Evaluation Criteria (GP § 3. 7. 10) Either the lowest price of the compliant and technically responsive tenders; or The most economically advantageous tender, applying a number of criteria adapted to the contract in question: e. g. price, payment terms, construction or delivery period, technical merit (proposed staff, equipment, construction method and planning, technical characteristics, etc. ), environmental characteristics, technical compatibility with other equipment, availability of service and spare parts, operating costs, maintenance costs, etc. 17/03/2018 European Investment Bank 15

2. 2 Non-objections (international procedures) Given to pre-qualification reports and/or tender evaluation reports which 2. 2 Non-objections (international procedures) Given to pre-qualification reports and/or tender evaluation reports which should include a clear recommendation for prequalification or contract award. • The pre-qualification of tenderers, the evaluation of bids and the proposed decision on the award of contracts must obtain the non-objection from the Bank based on appropriate documents; Not given to tender documents (only commented on). • Procurement Notice, the documents relating to the prequalification stage and the tender documents must be sent to the Bank for information and possible comments before being published or given to potential tenderers (ANNEX 2 Gt. P) Formal communication (letter or fax). No email. A signed and scanned pdf version must be archived. 17/03/2018 European Investment Bank 16

2. 3 Procurement monitoring procedures (GP § 3. 5) International procurement procedures (GP § 2. 3 Procurement monitoring procedures (GP § 3. 5) International procurement procedures (GP § 3. 7, Annex 2) Ex-ante monitoring The Bank requires promoters to seek its concurrence for all major procurement decisions and monitors the procurement process The Covenant of Integrity must be sent to the Bank together with the contract Other procurement procedures (GP Annex 2) Ex-post monitoring The promoter must obtain the non-objection from the Bank for the procurement procedure chosen and the final selection of the tenderer on the basis of adequate justifications The Covenant of Integrity is kept by the promoter and available upon request 17/03/2018 European Investment Bank 17

2. 4 Joint Co-financing (GP § 3. 4. 5) (I) Minimum requirements and standards: 2. 4 Joint Co-financing (GP § 3. 4. 5) (I) Minimum requirements and standards: Eligibility open as much as possible (in line with GP § 3. 2, at least EU Member States and the beneficiary country). Adequate publicity to ensure wide international competition. (OJEU) Basic EU principles are respected: Non discrimination of tenderers. Fairness and transparency of the process. Contract award to most economically advantageous offer. 17/03/2018 European Investment Bank 18

2. 4 Joint Co-financing (GP § 3. 4. 5) (II) Various degrees of reliance 2. 4 Joint Co-financing (GP § 3. 4. 5) (II) Various degrees of reliance possible: Use the procurement procedures of the co-financing institution Entrust the co-financing institution with the supervision of procurement Entrust the co-financing institution to appraise and/or monitor the project on its behalf: “Mutual Reliance” 17/03/2018 European Investment Bank 19

2. 4 “Mutual Reliance” (GP § 3. 4. 5) (III) The Lead Institution is 2. 4 “Mutual Reliance” (GP § 3. 4. 5) (III) The Lead Institution is fully in charge of procurement and applies its own rules and procedures, as long as they meet the Bank’s minimum requirements and standards as described in previous slides. Mutual Reliance Initiative with EBRD and Kf. W: Operational Guidelines, describing more precisely how to handle, among other, procurement matters have been produced. 17/03/2018 European Investment Bank 20

3. Covenant of Integrity (GP § 3. 5 and Annex 3) The Bank operations 3. Covenant of Integrity (GP § 3. 5 and Annex 3) The Bank operations are free from prohibited conduct (including but not limited to, fraud, corruption, collusion, coercion and obstruction and money laundering and terrorist financing). The promoters must insert in the tender documents or in the contract in a clause: • requires any tenderer for works, goods or services, as a condition of admission to eligibility, to execute and attach to its tender a Covenant of Integrity in the form indicated in Annex 3; • grants the promoter, the Bank and auditors appointed by either of them, as well as any authority or European Union institution or body having competence under European Union law, the right of inspection of the records of the contractor, supplier or consultant in connection with any Bank-financed contract. 17/03/2018 European Investment Bank 21

3. Covenant of Integrity (GP § 3. 6 and Annex 3) Applicable to all 3. Covenant of Integrity (GP § 3. 6 and Annex 3) Applicable to all contracts outside the EU No threshold Public and Private sector operations Undertaking not to engage in Prohibited Practice extended to the tenderers’ sub-contractors Obligation for tenderers to declare if they have been excluded by the European Institutions or the main MDBs Obligation of keeping records for possible auditing extended to the tenderers’ sub-contractors 17/03/2018 European Investment Bank 22

4. 1 Standstill period and remedies (GP § 1. 3) Standstill period: to allow 4. 1 Standstill period and remedies (GP § 1. 3) Standstill period: to allow tenderers to access the remedies mechanism before all decision and contract is signed Bank remedies requirement originates form EU “remedies Directives 89/665/EEC and 92/13/EEC Remedies procedure: EIB requires to ensure the review procedures for effectives remedies are available to any party having or having had an interest in obtaining a particular contract and who has been or risk being harmed by an alleged infringement. National remedies mechanism 17/03/2018 European Investment Bank 23

4. 2 Publication Notice – Award Notice (GP § 3. 7. 2 - 3. 4. 2 Publication Notice – Award Notice (GP § 3. 7. 2 - 3. 7. 14. ) Publication Notice: Invitation fro tender has to be published in OJEU o promoter’s title, project’s name and reference to the Bank’s potential financing; o description of the works or nature of the supplies or services to be furnished; o projected timetable; o list of tender evaluation criteria in decreasing order of importance; o place where tender documents can be obtained; o final date for receipt of tenders; and o date and place of public opening of tenders. Award Notice: The result of the approved tender evaluation has to be published in OJEU immediately after the signature of the contract Project title and number; Lot number and name; Publication reference; Publication date of the Procurement Notice; Promoter’s name; Reference of the Bank’s financing; Contract value (only when price is the evaluation criterion); Date of award of contract; Number of bids received; and Name and address of successful bidder. 17/03/2018 European Investment Bank 24

Thank you for your kind attention More information at: www. eib. org info@eib. org Thank you for your kind attention More information at: www. eib. org [email protected] org Tel. : +380 44 390 80 37 Tel. : +380 67 326 0720 i. [email protected] org 17/03/2018 European Investment Bank 25

Distribution of Sub-projects between IFIs (I) № City 1 Nikolaev 2 Ivano-Frankovsk 3 Sumy Distribution of Sub-projects between IFIs (I) № City 1 Nikolaev 2 Ivano-Frankovsk 3 Sumy - 100% EIB 4 Chernihiv 5 Lutzk 6 Ternopil - 100% EIB 7 Lviv Amount in M EURO To be financed by EIB Installation of new Integrated Transport Management Systems Construction of new trolleybus line 3, 3 km + 9 buses Purchasing new trolleybuses and reconstruction of lcatenary systems Purchasing new trolleybuses, Construction of new trolleybus line, ATC Purchasing new buses Construction of new trolleybus line To be financed by EBRD Amount in M EURO 1. 47 Purchasing new trolleybuses 8. 00 3. 00 Purchasing new trolleybuses 8. 00 4. 00 6. 15 Purchasing new trolleybuses 5. 00 Under sub-sovereign guarantee 4. 92 Electrical ticketing 6. 00 Under sub-sovereign guarantee 0. 80 0. 00 Electrical ticketing 10. 00 10. 50 Purchasing new 35 trolleybuses 7. 00 4. 50 Construction of tram line and roads alongside of the tram line 15. 00 Construction of 3 tram lines 14. 00 Purchasing new 65 buses 7. 80 Purchasing new 50 buses 10 Kiev 4. 00 Reconstruction of DEPO 9 Kharkiv 6. 00 Reconstruction of DEPO 1. 50 Purchasing new 20 new trams 11. 00 Purchasing new trolleybuses 5. 00 Purchasing new metro wagons 55. 00 Purchasing 13 new trams 14. 60 Purchasing new 40 buses Reconstruction of tram line 17/03/2018 Under sub-sovereign guarantee 0. 00 Purchasing new 10 new trams 8 Zhaporyzhya Commnents 10. 00 Purchasing new trolleybuses Under sub-sovereign guarantee 5. 00 30. 00 European Investment Bank 40. 20 Under sub-sovereign guarantee Under sub-sovereign guarantee 26

Distribution of Sub-projects between IFIs (II) Kremenchuk 0. 00 10. 00 Under sub-sovereign guarantee Distribution of Sub-projects between IFIs (II) Kremenchuk 0. 00 10. 00 Under sub-sovereign guarantee Chernovtzy 0. 00 8. 00 Under sub-sovereign guarantee Beliy Tzerkov 0. 00 8. 00 Under sub-sovereign guarantee Zhytomyr 0. 00 8. 00 Under sub-sovereign guarantee Vinitza 0. 00 8. 00 Under sub-sovereign guarantee Electronic ticketing 174. 94 Одесса Subtotals 17/03/2018 Reconstruction of tram line, new substation for tram catenary systems and purchasing 13 new trams 25. 00 165. 50 Reconstruction of tram line, new substation for tram catenary systems and purchasing 13 new trams 199. 94 European Investment Bank 34. 70 The total project of 59, 70 M EURO under sovereign guarantee 200. 20 27