ANNEX 12

SUMMARY TABLES OF THE MAIN RULES ON THE AWARD

AND IMPLEMENTATION OF PROCUREMENT CONTRACTS
AND GRANTS

(N.B.: the amounts given are the maximum limits)

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 Projects implementing financing decisions taken after the 01/01/2013
PROGRAMME ESTIMATE FINANCED BY THE BUDGET AND THE 10th EDF(*) (amounts in EUR equivalent)

I M P R E S T C O M M I T M E N T (*)

: : :
: : :
Competitive Local
TYPE OF CONTRACT OR GRANT AWARD Payment on the basis Direct agreement Call
PROCEDURE of an invoice (single tender) : negociated procedure : open : for proposals
: (1) : tender procedure :
: : :
: : :
: : :
: : :
R RELEVANT ROLE TO BE SPECIFIED IN THE FINANCING AGREEMENT AND/OR IN THE DELEGATION AGREEMENT WITH THE THIRD
O REPRESENTATIVE OF THE PARTY ORGANISATION (INDIRECT DECENTRALISED OPERATIONS) OR THE TERMS OF REFERENCE OF THE SERVICE
L BENEFICIARY CONTRACT WITH THE THIRD PARTY ORGANISATION (INDIRECT DECENTRALISED OPERATIONS - EDF ONLY) AND IN THE
E COUNTRY(IES)/NATIONAL TECHNICAL AND ADMINISTRATIVE IMPLEMENTING ARRANGEMENTS OF THE PROGRAMME ESTIMATE FOR
S (REGIONAL) AUTHORISING PROCUREMENT CONTRACTS AND PRECONTRACTUAL DOCUMENTS. COMPULSORY APPROVAL OF GRANT
: : :
: : :
O
F
APPROVAL OF THE PROPOSALS OF AWARD OF CONTRACTS (3) AND GRANTS, INCLUDING TENDER DOSSIERS AND OF
HEAD OF DELEGATION
CALLS FOR PROPOSALS
P
A
R
T : : :
I : : :
E IMPREST ADMINISTR. AND
CONCLUSION AND MANAGEMENT OF CONTRACTS
S IMPREST ACCOUNTING
(for and on behalf of the beneficiary country or the ACP State concerned)
OFFICER
: : :
: : :
: : :
T : : :
Y WORKS N/A </= 20 000 : < 300 000 : N/A : N/A
P : : :
E : : :
: : :
: : :
O SUPPLIES </= 2 500 </= 20 000 : < 100 000 : < 300 000 : N/A
F : : :
: : :
: : :
C : : :
O SERVICES </= 2 500 </= 20 000 : < 300 000 : N/A : N/A
N : : :
T : : :
R : : :
A : : :
C GRANTS N/A N/A : N/A : N/A : </= 100 000
T : : :
: : :
LOCAL OR EU
INVOICE : EU CONTRACT
CONTRACT
: : :
: : :
P : : :
A PAYMENTS APPROVED BY THE RELEVANT REPRESENTATIVE OF THE BENEFICIARY COUNTRY(IES)/NATIONAL
REPLENISHMENTS OF THE
Y (REGIONAL) AUTHORISING OFFICER, AUTHORISED BY THE HEAD OF DELEGATION AND EXECUTED FROM THE
BANK ACCOUNT(S)
M ACCOUNT(S) OF THE EUROPEAN COMMISSION
E : : :
N PAYMENTS AUTHORISED AND EXECUTED BY IMPREST ADMINISTRATOR AND IMPREST ACCOUNTING OFFICER FROM
PAYMENTS TO
T THE "PROGRAMME ESTIMATE" OR "PROJECT" BANK ACCOUNT(S) (for and on behalf of the beneficiary country or the ACP
CONTRACTORS
S State concerned)
: : :
: : :
: : :
DIRECT AND PUBLIC INDIRECT DECENTRALISED OPERATIONS:
FINANCIAL GUARANTEE FOR PAYMENT NOT REQUIRED FOR PAYMENT OF THE INITIAL ALLOCATION
OF PRE-FINANCING PRIVATE INDIRECT DECENTRALISED: REQUIRED FOR PAYMENT OF THE INITIAL ALLOCATION
REQUIRED FOR CONTRACTS FINANCED UNDER IMPREST COMPONENT IF APPLICABLE
: : :

(*) And also by the 9th EDF, only for financing agreements modified accordingly
(**) The amounts are the same as the ceilings mentioned in Chapters 2.3 and 4.2 of the practical guide to procedures for programme estimates. The relevant representative of the beneficiary
country(ies)/National (or Regional) Authorising is empowered to lower these ceilings but may never raise them.
N/A Not applicable
(1) For service contracts, only the use of the simplified procedure by the imprest administrator is applicable as the use of an existing framework contract by the imprest administrator is impossible
(2) Notably for audit and evaluation contracts
(3) Ex-post control is allowed for contracts ≤ EUR equivalent 50,000

Practical guide to procedures for programme estimates – project approach (version 4.0) – Annex 12
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PROGRAMME ESTIMATE FINANCED BY THE BUDGET AND THE 10th EDF(*) (amounts in EUR equivalent)

SPECIFIC COMMITMENTS

: : : :
: : : :
Use of framework
Local International International
TYPE OF CONTRACT OR GRANT AWARD Payment on the basis contracts / Competitive Call
: open : restricted
: open
:
PROCEDURE of an invoice negotiated procedure for proposals
: tender procedure: tender procedure
: tender procedure
:
(2)
: : : :
: : : :
: : : :
: : : :
R RELEVANT PREPARATION OF TENDER DOSSIERS AND OF CALL FOR PROPOSALS DOCUMENTS (3)
O REPRESENTATIVE OF THE : : : :
L BENEFICIARY LAUNCHING OF TENDER PROCEDURES AND OF CALLS FOR PROPOSALS (3)
E COUNTRY(IES)/NATIONAL : : : :
S (REGIONAL) AUTHORISING CONCLUSION AND MANAGEMENT OF CONTRACTS
: : : :
: : : :
O :
APPROVAL OF TENDER DOSSIERS AND OF CALLS FOR PROPOSALS DOCUMENTS (4) BEFORE
F :
LAUNCHING THE PROCEDURE
CONCLUSION AND :
HEAD OF DELEGATION MANAGEMENT OF : : : :
P CONTRACTS : APPROVAL OF THE PROPOSALS OF AWARD OF CONTRACTS AND GRANTS
A : : : :
R : APPROVAL AND SIGNATURE FOR ENDORSEMENT OF CONTRACTS
T : : : :
I : : : :
E IMPREST ADMINISTR. AND : : : :
S IMPREST ACCOUNTING N/A N/A : N/A : N/A : N/A : N/A
OFFICER : : : :
: : : :
: : : :
: : : :
T : : : :
Y WORKS N/A N/A : >/= 300 000 : N/A : >/= 5 000 000 : N/A
P : : : :
E : : : :
: : : :
: : : :
O SUPPLIES N/A N/A : N/A : N/A : >/= 300 000 : N/A
F : : : :
: : : :
: : : :
C : : : :
O SERVICES N/A < 300 000 : N/A : >/= 300 000 : N/A : N/A
N : : : :
T : : : :
R : : : :
A : : : :
C GRANTS N/A N/A : N/A : N/A : N/A : > 100 000
T : : : :
: : : :
INVOICE EU CONTRACT

: : : :
: : : :
P : : : :
A : : : :
REPLENISHMENTS OF THE
Y N/A : N/A : N/A : N/A : N/A
BANK ACCOUNT(S)
M : : : :
E : : : :
N
PAYMENTS TO PAYMENTS APPROVED BY THE RELEVANT REPRESENTATIVE OF THE BENEFICIARY COUNTRY(IES)/NATIONAL (REGIONAL) AUTHORISING OFFICER,
T
CONTRACTORS AUTHORISED BY THE HEAD OF DELEGATION AND EXECUTED FROM THE ACCOUNT(S) OF THE EUROPEAN COMMISSION
S
: : : :
: : : :
: : : :

FINANCIAL GUARANTEE FOR PAYMENT

REQUIRED IN ACCORDANCE WITH THE GENERAL CONDITIONS OF THE EU-FINANCED STANDARD CONTRACTS
OF PRE-FINANCING

: : : :

(*) And also by the 9th EDF, only for financing agreements modified accordingly
(**) The amounts are the same as the ceilings mentioned in Chapters 2.3 and 4.2 of the practical guide to procedures for programme estimates. The relevant representative of the beneficiary
country(ies)/National (or Regional) Authorising is empowered to lower these ceilings but may never raise them.
N/A Not applicable
(1) For service contracts, only the use of the simplified procedure by the imprest administrator is applicable as the use of an existing framework contract by the imprest administrator is impossible
(2) Notably for audit and evaluation contracts
(3) Ex-post control is allowed for contracts ≤ EUR equivalent 50,000
(4) Only in case of decentralised management

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PROGRAMME ESTIMATE FINANCED BY THE BUDGET, THE 10th EDF AND THE 9th EDF(*) (amounts in EUR equivalent)

IM PREST C O M M I T M E N T (*) SPECIFIC COMMIT MENTS

: : : : : : :
: : : : : : :
Direct agreement Use of framework
Competitive Local Local International International
TYPE OF CONTRACT OR GRANT AWARD (single tender) / Call contracts / Competitive Call
: negociated procedure : open : : open : restricted
: open:
PROCEDURE Without call for for proposals negotiated procedure for proposals
: (1) : tender procedure : : tender procedure: tender procedure
: tender procedure
:
proposals (2)
: : : : : : :
: : : : : : :
: : : : : : :
: : : : : : :
R RELEVANT ROLE TO BE SPECIFIED IN THE FINANCING AGREEMENT AND/OR IN THE DELEGATION : PREPARATION OF TENDER DOSSIERS AND OF CALL FOR PROPOSALS DOCUMENTS (3)
O REPRESENTATIVE OF THE AGREEMENT WITH THE THIRD PARTY ORGANISATION (INDIRECT DECENTRALISED OPERATIONS) : : : :
L BENEFICIARY OR THE TERMS OF REFERENCE OF THE SERVICE CONTRACT WITH THE THIRD PARTY : LAUNCHING OF TENDER PROCEDURES AND OF CALLS FOR PROPOSALS (3)
E COUNTRY(IES)/NATIONAL ORGANISATION (INDIRECT DECENTRALISED OPERATIONS - EDF ONLY) AND IN THE TECHNICAL : : : :
S (REGIONAL) AUTHORISING AND ADMINISTRATIVE IMPLEMENTING ARRANGEMENTS OF THE PROGRAMME ESTIMATE : CONCLUSION AND MANAGEMENT OF CONTRACTS
: : : : : : :
: : : : : : :
O :
APPROVAL OF TENDER DOSSIERS (3) AND OF CALLS FOR PROPOSALS DOCUMENTS BEFORE APPROVAL OF TENDER DOSSIERS AND OF CALLS FOR PROPOSALS DOCUMENTS (4) BEFORE
F :
LAUNCHING THE PROCEDURE LAUNCHING THE PROCEDURE
CONCLUSION AND :
HEAD OF DELEGATION : : MANAGEMENT OF : : : :
P CONTRACTS : APPROVAL OF THE PROPOSALS OF AWARD OF CONTRACTS AND GRANTS
A APPROVAL OF THE PROPOSALS OF AWARD OF CONTRACTS (3) AND GRANTS : : : :
R : APPROVAL AND SIGNATURE FOR ENDORSEMENT OF CONTRACTS
T : : : : : : :
I : : : : : : :
E IMPREST ADMINISTR. AND : : : :
CONCLUSION AND MANAGEMENT OF CONTRACTS
S IMPREST ACCOUNTING N/A : N/A : N/A : N/A : N/A
(for and on behalf of the beneficiary country or the ACP State concerned)
OFFICER : : : :
: : : : : : :
: : : : : : :
: : : : : : :
T : : : : : : :
Y WORKS </= 10 000 : < 300 000 : N/A : N/A N/A : >/= 300 000 : N/A : >/= 5 000 000 : N/A
P : : : : : : :
E : : : : : : :
: : : : : : :
: : : : : : :
O SUPPLIES </= 10 000 : < 60 000 : < 150 000 : N/A N/A : N/A : N/A : >/= 150 000 : N/A
F : : : : : : :
: : : : : : :
: : : : : : :
C : : : : : : :
O SERVICES </= 10 000 : < 200 000 : N/A : N/A < 200 000 : N/A : >/= 200 000 : N/A : N/A
N : : : : : : :
T : : : : : : :
R : : : : : : :
A : : : : : : :
C GRANTS </= 10 000 : N/A : N/A : </= 100 000 N/A : N/A : N/A : N/A : > 100 000
T : : : : : : :
: : : : : : :
LOCAL OR EU
: EU CONTRACT EU CONTRACT
CONTRACT
: : : : : : :
: : : : : : :
P : : : : : : :
A PAYMENTS APPROVED BY THE RELEVANT REPRESENTATIVE OF THE BENEFICIARY : : : :
REPLENISHMENTS OF THE
Y COUNTRY(IES)/NATIONAL (REGIONAL) AUTHORISING OFFICER, AUTHORISED BY THE HEAD OF N/A : N/A : N/A : N/A : N/A
BANK ACCOUNT(S)
M DELEGATION AND EXECUTED FROM THE ACCOUNT(S) OF THE EUROPEAN COMMISSION : : : :
E : : : : : : :
N PAYMENTS AUTHORISED AND EXECUTED BY IMPREST ADMINISTRATOR AND IMPREST PAYMENTS APPROVED BY THE RELEVANT REPRESENTATIVE OF THE BENEFICIARY COUNTRY(IES)/NATIONAL
PAYMENTS TO
T ACCOUNTING OFFICER FROM THE "PROGRAMME ESTIMATE" OR "PROJECT" BANK ACCOUNT(S) (REGIONAL) AUTHORISING OFFICER, AUTHORISED BY THE HEAD OF DELEGATION AND EXECUTED FROM THE
CONTRACTORS
S (for and on behalf of the beneficiary country or the ACP State concerned) ACCOUNT(S) OF THE EUROPEAN COMMISSION
: : : : : : :
: : : : : : :
: : : : : : :
DIRECT AND PUBLIC INDIRECT DECENTRALISED OPERATIONS: NOT REQUIRED FOR PAYMENT
FINANCIAL GUARANTEE FOR PAYMENT OF THE INITIAL ALLOCATION
REQUIRED IN ACCORDANCE WITH THE GENERAL CONDITIONS OF THE EU-FINANCED STANDARD CONTRACTS
OF PRE-FINANCING PRIVATE INDIRECT DECENTRALISED: REQUIRED FOR PAYMENT OF THE INITIAL ALLOCATION
REQUIRED FOR CONTRACTS FINANCED UNDER IMPREST COMPONENT
: : : : : : :

(*) : Only for financing agreements modified accordingly (**) : The amounts are the same as the ceilings mentioned in Chapters 2.3 and 4.2 of the practical guide to procedures for programme estimates. The relevant representative of the beneficiary
N/A = Not applicable country(ies)/National (or Regional) Authorising is empowered to lower these ceilings but may never raise them.
(1): For service contracts, only the use of the simplified procedure by the imprest administrator is applicable as the use of an existing framework contract by the imprest administrator is impossible
(2): Notably for audit and evaluation contracts (3): Ex-post control is allowed for contracts ≤ EUR equivalent 50,000 (4): Only in case of decentralised management

Practical guide to procedures for programme estimates – project approach (version 4.0) – Annex 12