EUROPEAN COMMISSION Directorate-General for Trade

Transcription

1 EUROPEAN COMMISSION Directorate-General for Trade Directorate C Asia and Latin America The Director Brussels, Dear Sir/Madam, Subject: Invitation to tender related to a contract to carry out an evaluation of the implementation of the EU-Mexico Free Trade Agreement and an assessment of the possible modernisation of this Agreement 1. The European Commission is planning to award the public contract referred to above. Please find enclosed the related terms of reference listing all the documents that must be produced in order to submit a tender, and the draft contract. 2. If you are interested in this contract, you should submit a tender in one original and 3 copies in one of the official languages of the European Union. 3. Tenderers shall submit tenders by letter: a) either by post or by courier not later than 30/09/2013, in which case the evidence of the date of dispatch shall be constituted by the postmark or the date of the deposit slip, to the address indicated below. b) or delivered by hand not later than on 30/09/2013 to the address indicated below. In this case, a receipt must be obtained as proof of submission, signed and dated by the official in the Commission's central mail department who took delivery. The department is open from to Monday to Thursday, and from 8.00 to on Fridays. It is closed on Saturdays, Sundays and Commission holidays.

2 By post: CALL FOR TENDERS European Commission Directorate-General for Trade, For the attention of Unit A1 - Resources and Strategic Planning (CHAR 07/03) TRADE13/C3/C10 B 1049 Brussels Belgium By courier or by hand: CALL FOR TENDERS European Commission Directorate-General for Trade, For the attention of Unit A1 - Resources and Strategic Planning (CHAR 07/03) TRADE13/C3/C10 Avenue du Bourget 1 B-1140 Brussels (Evere) Belgium Tenders (original plus two copies) must be placed inside two sealed envelopes, one inside the other. Both envelopes should mention the following reference: TRADE13/C3/C10. The inner envelope, addressed to the Department indicated in the invitation to tender, should be marked: "INVITATION TO TENDER RELATED TO EU-MEXICO NOT TO BE OPENED BY THE INTERNAL MAIL DEPARTMENT ". If self-adhesive envelopes are used, they must be sealed with adhesive tape and the sender must sign across this tape. The inner envelope must also contain two sealed envelopes, one containing the technical tender and the other the financial tender. Each of these envelopes must clearly indicate the content ("Technical" and "Financial"). Any other method of transmission of the tender (i.e. , etc.) is not permitted and will automatically render the tender null and void even if the tender has also been sent by the required method specified above. 4. Tenders must be: - signed by a duly authorised representative of the tenderer; - perfectly legible so that there can be no doubt as to words and figures; - drawn up using the model reply forms in the terms of reference. 5. The period of validity of the tender, during which tenderers may not modify the terms of their tenders in any respect, is 12 months from the final date for submission. 6. Submission of a tender implies acceptance of all the terms and conditions set out in this invitation to tender, in the terms of reference and in the draft contract and, where appropriate, waiver of the tenderer's own general or specific terms and conditions. Submission of a tender is binding on the tenderer to whom the contract is awarded for the duration of the contract. 7. All costs incurred during the preparation and submission of tenders, are to be borne by the tenderers and will not be reimbursed. 8. Contacts between the contracting authority and tenderers are prohibited throughout the procedure save in exceptional circumstances and under the following conditions only: - Before the final date for submission of tenders: 2

3 * At the request of the tenderer, the contracting authority may provide additional information solely for the purpose of clarifying the nature of the contract. Any requests for additional information must be made in writing only to TRADE- Requests for additional information received less than five working days before the final date for submission of tenders will not be processed. * The Commission may, on its own initiative, inform interested parties of any error, inaccuracy, omission or any other clerical error in the text of the call for tenders. * Any additional information including that referred to above will be posted on: The website will be updated regularly and it is the tenderers' responsibility to check for updates and modifications during the tendering period. - After the opening of tenders * If clarification is required or if obvious clerical errors in the tender need to be corrected, the contracting authority may contact the tenderer provided the terms of the tender are not modified as a result. 9. This invitation to tender is in no way binding on the Commission. The Commission's contractual obligation commences only upon signature of the contract with the successful tenderer. 10. Up to the point of signature, the contracting authority may either abandon the procurement or cancel the award procedure, without the candidates or tenderers being entitled to claim any compensation. This decision must be substantiated and the candidates or tenderers notified. 11. Once the Commission has opened the tender, the document shall become the property of the Commission and it shall be treated confidentially. 12. You will be informed of the outcome of this procurement procedure. 13. If processing your reply to the invitation to tender involves the recording and processing of personal data (such as your name, address and CV), such data will be processed pursuant to Regulation (EC) No 45/2001 on the protection of individuals with regard to the processing of personal data by the Community institutions and bodies and on the free movement of such data. Unless indicated otherwise, your replies to the questions and any personal data requested are required to evaluate your tender in accordance with the specifications of the invitation to tender and will be processed solely for that purpose by Matthias Jorgensen, Head of Unit Trade C1, Latin America. Details concerning the processing of your personal data are available on the privacy statement at: 3

4 14. Your personal data may be registered in the Early Warning System (EWS) only or both in the EWS and Central Exclusion Database (CED) by the Accounting Officer of the Commission, should you be in one of the situations mentioned in: - the Commission Decision 2008/969 of on the Early Warning System (for more information see the Privacy Statement on ), or - the Commission Regulation 2008/1302 of on the Central Exclusion Database (for more information see the Privacy Statement on ) Mauro Petriccione {signed} 4

5 TERMS OF REFERENCE Related to a contract to carry out an evaluation of the implementation of the EU-Mexico Free Trade Agreement and an assessment of the possible modernisation of this Agreement Reference of the contract notice: OJ 2013/S ) 1. BACKGROUND INFORMATION OR MISSION STATEMENT OF THE DIRECTORATE GENERAL FOR TRADE (DG TRADE): DG Trade is in charge of conducting the Union's commercial policy in accordance with the objectives set out in Articles 206 and 207 of the Treaty on the Functioning of the European Union (EU). DG Trade helps through the EU's trade policy to secure prosperity, solidarity and security in Europe and around the globe. We support the EU's Trade Commissioner and the whole of the European Commission in shaping a trade environment that is good for people and for business. We are committed to helping world trade and development, thereby boosting competitiveness, jobs and growth in the process. We have a full agenda: negotiating bilateral and multilateral trade agreements, ensuring that the rules we agree are actually applied, and working closely with the World Trade Organisation (WTO) and other multilateral institutions. This allows us to tackle international trade and customs barriers, backed up where needed with EU legislation. Our aim is to meet the challenges posed by globalisation and to ensure that as many people as possible can seize the opportunities it offers. We cover all areas of activity from manufactured goods to services, intellectual property and investment. We ensure that our businesses can operate fairly in the EU and across the world and are ready to make full use of our powers to tackle unfair competition and dumping. We work closely with many other services of the Commission - both those shaping our external agenda and those making sure our internal market works - in order to deliver joined up, coherent policies that strengthen Europe's voice in the world and allow people to learn from our experience of integration. Our success in Europe is inextricably bound with the success of our trading partners, both in the developed and developing world. For this reason, sustainable development and development policy in general are central to our overall approach. And as the EU's negotiator in most areas our success is equally dependent on our close working relationship with the other European Institutions and with the Member States. 5

6 See also: 2. CONTEXT OF THE PROJECT The European Councils of Corfu and Essen (in 1994) and of Madrid (in 1995) defined the general outlines of the EU s strategy towards Latin American countries within the framework of a process of integration into the world market. In line with the objectives to reinforce the relationship with Latin America, the European Union has concluded a Free Trade Agreement (FTA) with Mexico and an Association Agreement with Chile. In addition, the EU has an FTA with Colombia and Peru, and an Association Agreement with Central America. Talks on a FTA between the EU and Mercosur are also taking place. Since the EU-Mexico FTA entered into force in 2000, there has been a significant growth in bilateral trade and an increase in investment volumes between the two parties, reaching a record high in excess of EUR 41 billion in Also foreign direct investment (FDI) flows have increased substantially in both directions. In 2011, EU companies held 76.7bn of FDI stocks in Mexico, making the EU the second largest source of FDI in Mexico. The EU also sees Mexico as a key ally in the fight to counter the risks of protectionism in Latin America and globally. The proactive trade policy of both the EU and Mexico is a testimony of the shared commitment to live up to the G-20 commitments to fight protectionism and to pursue an open trade regime as an essential part of the economic policy. Moreover, the EU and Mexico strongly support the strengthening of the multilateral trading system. They are both committed to advancing the Doha Development Agenda negotiations as rapidly as possible, with a view to concluding them at the earliest opportunity; and to focusing on areas where agreements are within reach. Mexico was also the first Latin American country to sign a partnership agreement with the EU in The Economic Partnership, Political Coordination and Cooperation Agreement ("Global Agreement") has three main pillars: political dialogue, trade, and cooperation. It entered into force in 2000 and has promoted closer bilateral political links and shared values, such as democracy and human rights. 3. MOTIVATION FOR THE STUDY On the basis of these successes, the EU wishes to further develop its trade and investment relationship with Mexico. The existing FTA includes review clauses for further liberalisation in agriculture, services and investment but it has not been possible to agree on how to proceed on these issues in isolation. During the EU-CELAC Summit (Santiago, January 2013) leaders therefore decided to explore the options for a comprehensive update of the Economic 6

7 Partnership, Political Coordination and Cooperation Agreement between the EU and Mexico (see paragraph 22 of the EU-CELAC Santiago Declaration 1 ). As part of its initial analysis for such an initiative, the EU wishes to examine the effects of its existing trade agreement with Mexico and the results achieved. The first module of the present study therefore consists of an ex post evaluation of the economic, social, and environmental effects of the existing FTA. This is the second ex post evaluation of the economic impact of an FTA commissioned by DG Trade 2. As such, it responds to the Commission s commitments (in Trade, Growth, and World Affairs 3 ) to step up a gear in embedding impact assessments and evaluations in trade policy making and to carry out ex post evaluation (of existing EU trade agreements) on a more systematic basis. It also reflects broader, longer-standing commitments of the Commission: that every significant proposal for a revision or new measure should be based on an evaluation of the policy framework already in place; and that all the main policy-delivering activities should be subject to periodic evaluation on the basis of operational and strategic decision-making needs. The second module consists of an ex ante evaluation aiming at identifying the advantages and disadvantages of possible policy options for the modernisation of the existing FTA. Any comprehensive modernisation of the FTA would most likely require a negotiation authorisation from the Council of the EU. In this case, an impact assessment would have to be made since they are now mandatory for Commission initiatives such as negotiation authorisations for international agreements. Some of the results of this study could then be used in the context of such an impact assessment. 4. OBJECTIVES OF THE PROJECT The objectives for this project are divided between two modules: an ex post analysis (assessment of the economic, social and environmental impacts of the EU-Mexico FTA since its entry into force), and an ex ante analysis (identification of new/future trade and investments interests, and of the most relevant manner to address them in the context of a modernisation of the EU-Mexico FTA). The objectives of the current project, which is tendered by DG Trade, are therefore: 1 st module (ex post analysis) See the first evaluation concerning the trade pillar of the EU-Chile Association Agreement : In addition, DG EMPL commissioned an ex-post evaluation of social impacts of the trade pillar of the Association Agreement with Chile; see the Final Report from a study "Making effective use of trade sustainability impact assessments and monitoring mechanisms", Ergon Associates Limited, 2011:

8 The ex-post evaluation of the existing EU-Mexico FTA should: a) highlight and evaluate the actual economic, social, and environmental impacts 4 (both immediate measurable effects and consequential impacts) of the agreement on both sides, b) identify sectors, activities and groups that have gained as a result of the FTA and specify the most relevant provisions thereof for such effects, c) identify sectors, activities and groups that have been negatively affected as a result the FTA and specify the most relevant provisions thereof for such effects, d) identify unintended consequences of the entry into force of the FTA, e) pave the way for future ex post analysis of the EU's FTAs, notably by identifying suitable methodological approaches to measure impacts of the FTA on the social and environmental dimensions, 2 nd module (ex ante analysis 5 ) Without prejudice to subsequent policy choices, the second module of this study should: a) identify the major changes which have occurred since the entry into force of the agreement providing an incentive for modernising the EU-Mexico FTA (e.g. changes in the nature of trade and investment flows between the EU and Mexico, recent negotiations/conclusions of more advanced trade agreements with third countries), b) quantify all existing barriers, especially non-tariff barriers (NTBs), to the flow of goods, services and investment between the EU and Mexico, and assess the extent to which they could be addressed in a modernised FTA (see first paragraph of Point 3), c) estimate the potential costs and benefits of removing or reducing such barriers for producers and consumers in the EU and Mexico, d) estimate the potential implications of such a development on global trade and investment flows, in particular on trade between the EU and Mexico, and between these and third countries (notably developing and least developed ones), 4 The period since the entry into force of the trade component of the EU-Mexico FTA has witnessed a substantial rise in bilateral trade and investment. The research should focus on the extent to which this development can be attributed directly to the agreement, and how far it must be explained or accounted for by other factors. 5 See similar studies: and 8

9 e) estimate the effects on gross domestic product (GDP), employment, wages, and output of key sectors as well as on relevant social and environmental indicators in the EU and Mexico, 5. RESEARCH QUESTIONS The 1st module (ex post analysis) should as a minimum: 5.1 Provide a concise but comprehensive descriptive account of the EU-Mexico FTA, the context in which it operates, its institutional framework, and its interaction with other instruments (including parallel FTAs) or other policies; 5.2 List the main features of the FTA that distinguish it from other EU or Mexican trade agreements already in force or about to enter into force/currently under negotiation; 5.3 Assess at sector level the extent to which tariff and, where relevant, non-tariff provisions in the FTA have had an impact either positive or negative on (a) Mexico's access to the EU market, relative to the treatment it enjoyed under GSP preferences prior to the introduction of the FTA; and (b) the EU's access to Mexico's market; In particular, the consultant shall quantify the fill-rates of tariff rate quotas (TRQ) in the agricultural and fisheries sectors. 5.4 Analyse the evolution of trade between the EU and Mexico in goods and services and of FDI beginning 6 years prior to the entry into force of the FTA until as recently as possible, and focusing on: the goods/services/investment that have shown the greatest increases in trade and in preferential trade; sectors in Mexico and the EU that are not exploiting the preferences, including non-filled TRQs offered by the FTA and the underlying reasons for that (e.g. administrative burden, non-tariff barriers); possible effects of the agreement on small and medium enterprises (SME); any evidence relating to the diversification of Mexico's and the EU s exports; any evidence relating to the evolution/gains obtained in the area of government procurement; 9

10 5.5 Undertake a review of the existing literature, including ex ante studies and analyses of the impact of the FTA on total factor productivity in Mexico and in the EU, and other sources of information. Summarise the results of relevant studies and provide information on methods and data used; 5.6 Analyse econometrically (e.g. using gravity models and/or other recent methods) the relationship between the entry into force of the provisions in the EU-Mexico FTA and the development of bilateral and overall trade of the partner countries in aggregate terms as well as in intermediary goods and in broad product/service groups. Estimate the magnitude of trade creation, trade expansion and trade diversion (using econometric or equilibrium modelling techniques) and analyse other factors that are likely to explain the partners' trade performance; 5.7 Compare EU-Mexico bilateral trade and FDI flows with the development of trade and FDI for a suitable reference group of countries, in particular in products and areas where market access has been significantly improved by the FTA, taking into consideration the partners' FTAs with third countries. The most recent developments in the theoretical and empirical literature regarding the effects of free trade agreements (e.g. matching econometrics and dynamic effects) should be taken into account; 5.8 Assess the effects of the EU-Mexico FTA using computable general equilibrium techniques, assuming (for example) the counterfactual scenario to be one where the EU and Mexico apply respectively general scheme of preferences (GSP) and mostfavoured-nation (MFN) level of tariffs vis-à-vis each other; 5.9 Identify regulatory changes undertaken by the partners as a result of and in order to implement the FTA; 5.10 Examine the impact of the FTA on employment, wages, and household income (welfare effect) in Mexico and in the EU. This should be performed both at the level of the whole economy and by sectors. The study should also assess the impact on: - the four pillars of the Decent Work Agenda (job creation, labour standards, social protection and social dialogue). The Contractor should take into account the interaction between the FTA and the effective implementation of International Labour Organisation (ILO) Core Labour Standards (CLS) and the promotion of the ILO Decent Work Agenda in the country under consideration (e.g. on the basis of statistical data, interviews with the relevant stakeholders and reports of the ILO monitoring bodies). The Contractor should assess what the impact of trade opening has been on employment and decent work, and how such impact might be measured or quantified (including reference to decent work indicators, such as proposed in the ILO manual of May 2012, see: stat/documents/publication/wcms_ pdf, 10

11 -working conditions. Examined working conditions could include, but not be limited to e.g. type and duration of labour contracts, wage levels, provision of training and the incidence of accidents at work. See also the above mentioned ILO manual and a study on ex-post social impacts evaluation of the trade pillar of the EU Association Agreement with Chile, "Making effective use of trade sustainability impact assessments and monitoring mechanisms", Ergon Associates Limited, 2011: - poverty reduction, - gender and human rights. The Contractor should also take into account human rights issues (as set out in the Charter of Fundamental Rights of the European Union and in the core UN human rights treaties). The contractor should in particular: identify the specific human rights that have been affected by particular measures included in the FTA; analyse the extent to which the particular measures have enhanced or impaired the enjoyment of the relevant rights, and/or have strengthened or weakened the ability of partner countries to fulfil or progressively realize their human rights obligations; and highlight instances where a negative impact resulting from measures in the agreement has violated any of the relevant rights; 5.11 Examine the environmental impacts of the FTA, and whether the FTA has had a measurable impact on the environmental quality, natural resources (including forest and fisheries) and biodiversity. The Contractor shall carry out a detailed analysis of different types of external environmental impacts of the FTA. This will include impacts on climate change of the FTA, including the impact of trade liberalisation on the most important types of greenhouse gas (GHG) emissions in the EU, Mexico and in the rest of the world. For this purpose, the Contractor should decompose the GHG effect into scale effects (as a result of increased output), composition effects (as a result of shifts in the relative weight of sectors) and possibly technique effects (as a result of productivity increases that can be attributed to the FTA). The analysis should cover at least the emissions of the most energy-intensive sectors and of primary energy producing sectors. The resulting domestic environmental impacts and global climate change impacts should be expressed in units of welfare as well as in million tons of CO2 (GHG equivalent) emissions. The report should also assess whether the implementation of the FTA had contributed to the greening of the economy (e.g. increase in the trade of environmental goods and services); The 2nd module (ex ante analysis) should as a minimum: 5.12 Identify the tariff and non-tariff obstacles still affecting EU-Mexico trade in goods and services, and bilateral investment flows; this should cover in particular: 11

12 (a) horizontal cross-sectoral measures, including behind-the-border issues stemming from technical regulations, sanitary and phyto-sanitary measures, government procurement, intellectual property rights, investment barriers, competition policy, localisation requirements, customs as well as internal regulations concerning registration and licensing, labour mobility/recognition of qualifications and electronic commerce; and (b) any additional sector-specific non-tariff barriers for all relevant sectors. This should cover barriers established by legislation proper and deriving from its practical implementation 6. It should also identify the main practices that affect competition in the EU and Mexico markets. Non-tariff barriers identification should be undertaken in close consultation with the relevant Commission services (DGs TRADE, ENTR, MARKT, ENER, MOVE, SANCO, CNECT, ENV, AGRI, MARE, etc.); For this point the tenderer is invited to suggest an adequate methodology and motivate his choice thereof. Possible methodologies include, but are not limited to, a business survey or an analysis based on information from qualitative databases like WB STRI, MADB and TRAINS. Information sources to be used in the preferred approach and their reliability should be described and discussed in due detail Quantify barriers to trade in both goods and services using gravity methods. Gravity estimates of the trade costs of these barriers should be performed by sector, both for Mexico and for the EU, using panel data of bilateral trade flows. The EU- Mexico non-tariff measures liberalisation scenario should allow for a reduction in services trade costs to the level achieved or envisaged in similar recent FTA negotiations, notably with Canada and the US; 5.14 Review similar previous studies that identify and quantify NTBs in goods and services; and those that model them in a computable general equilibrium (CGE) context; 5.15 Evaluate quantitatively the impact of removing tariff and non-tariff barriers to trade in goods and services between Mexico and the EU using a CGE model under different scenarios. The results should be detailed by sector. The following issues need to be taken into account: The model should be based on the most recent Global Trade Analysis Project (GTAP) database. It should be updated and adjusted in relevant aspects to capture changes up to 2011 in the real world that could affect the results of the simulations (e.g. the great recession, the price of key commodities such as grains and energy or 6 For instance, non-tariff barriers that have emerged due to Mexico aligning its technical regulations or conformity assessment procedures to the ones of neighbouring countries when different from the EU ones or than the ones used at international level. 12

13 the aggregation of particularly sensitive products with non-sensitive products in certain sectors); Two baseline scenarios should be used. The first should include the implementation of all FTAs of the EU and Mexico, for which negotiations are currently finalized (e.g. NAFTA, EU-Colombia/Peru) or almost finalized (e.g. CETA). The second baseline scenario should include additionally an implementation of the likely outcome of the EU-US FTA currently under negotiation. Appropriate assumptions will be supplied by DG Trade. The projection horizon should be 2028; Two liberalisation scenarios should be simulated against each of the two baselines resulting in a total number of six scenarios, including the baselines. The liberalisation scenarios shall differ with respect to the ambition of liberalisation of tariffs and NTBs. According assumptions will be derived from the assessment of actionability of NTBs and the identification of sensitive sectors by the contractor and are subject to final approval by DG TRADE; Increases in productivity coming from goods and services liberalisation should be considered and modelled under appropriate assumptions. The same holds for reduction in trade costs based on progress in regulatory compatibility and trade facilitation; A sensitivity analysis should be carried out, in which assumptions on (a) crucial model parameters and (b) the level of ambition of NTB liberalisation are parameterized; 5.16 Complete and corroborate the quantitative analysis with a qualitative analysis of the costs and benefits of removing barriers, based on input from sectoral experts, existing studies, and business surveys on doing business between the EU and Mexico. This should provide a clear assessment of the gains to be expected from the removal of each kind of obstacle; 5.17 Analyse the effects of a modernisation of the FTA between the EU and Mexico on employment and the labour market of both parties. These effects should be estimated and commented for the following indicators: skilled and unskilled share of labour and the level of employment and wages (for the whole economy and in a breakdown by sectors), as well as household income. This should also cover gender impact as well as impact on working conditions, poverty reduction, and human rights to the extent that the necessary data is available. The quantitative analysis should be complemented by a qualitative analysis, examining in particular impacts on labour standards and other aspects of the Decent Work Agenda, taking into account the possibility of incorporating in a modernised EU-Mexico agreement a chapter on trade and sustainable development chapter with labour-related provisions that are relevant for trade relations between the parties; 13

14 5.18 Conduct a detailed analysis of different types of external environmental costs and benefits of the different scenarios and their impacts on environmental quality, natural resources (including forest and fisheries) and biodiversity. This should cover in particular the impact of the agreement on the most important types of greenhouse gas (GHG) emissions in the EU, Mexico and the rest of the world. For this purpose, the contractor should decompose the GHG effect into scale effects (as a result of increased output), composition effects (as a result of shifts in the relative weight of sectors) and possible technique effects (as a result of productivity increases that can be attributed to the different scenarios). The analysis should cover at least the emissions of the most energy intensive sectors. The effects should be expressed in CO2 equivalents. The report should also identify how modernisation of the FTA could contribute to greening of the economy, and to resource efficiency objectives; 5.19 Provide globally and per sector a synopsis outlining (in order of priority) key factors for competitiveness, non-tariff barriers and behind-the-border measures; 5.20 Analyse to the extent possible whether and how the FTA, and in particular the specific institutional framework (see Title IV of the Interim Agreement 7 ) that it created, could be improved; 5.21 Formulate policy recommendations for modernising the FTA in line with the findings mentioned in points 1 to 20 and when there are several options, compare their respective positive and negative impacts on the basis of objective criteria. Additionally the contractor should consider the following issues, and suggest a suitable research method for how to address them as part of the ex ante analysis: Appropriate assumptions for Mexico and the EU as regards the response of labour and capital supply to changes in wage rates and returns to capital resulting from trade liberalisation; The effect of the provisions included in a modernisation of the FTA on FDI, and on the activities of multinational firms in general; How the modelling could capture expansion of trade at the extensive margin; The effects of rules of origin on trade in goods and services should be examined within the quantification exercise; NB. The extent to which tenderers succeed in elaborating a convincing and adequate research method to these methodologically difficult issues will be an important element in the score for technical quality given to the proposal. Tenderers are invited to justify 7 OJ L226 of

15 their choice, and the information sources to be used, as well as their reliability, should be described and discussed in appropriate detail. 6. SERVICES TO BE RENDERED 6.1 Reporting requirements The project must deliver the following reports 8 : one inception report, two interim technical reports (ie, one for each module), two draft final reports (ie, one for each module), two revised final reports (ie, one for each module). The characteristics of each document are detailed as follows. Inception Report The inception report (due 1 month after the kick-off meeting) should consist of an account of how the contractors intend to achieve the project objectives. It should include: An overview of the project's key features; a description of the project's objectives and how these will be met; a clear explanation of the research method that will be used and of how the work will be structured into phases; a clarification of the scope of work, including a finalised list of research issues to be agreed following consultation with the Commission; and a summary of the resources required at each phase of the project. A draft of the descriptive account of the EU-Mexico FTA stipulated at point 5.1 above. Present in detail the final research method and the data sources to be used in the quantitative analysis. A list of relevant stakeholders in the EU and Mexico and a consultation plan. Copies of the survey tools, questionnaires, interview plans that the contractors intend to use (presented for approval by the Commission in advance). 8 As specified in Point I.4 of the services contract (see Annex 3), each report must first be submitted as a draft to the Commission. The Commission will either inform the contractor that it accepts the draft, or will send the contractor its comments. The contractor should then submit additional information or a finalised report to the Commission. The draft final reports listed at the start of Point 6.1 are itemised separately only because of their significance as milestones in the implementation of the project. 15

16 Draft logistical details and budget for the workshop Interim Technical Reports The interim technical reports (one for each module, due 4 months after the kick-off meeting in the case of the 1st module, and 5 months after the kick-off meeting in the case of the 2 nd module) should summarise the work that has been undertaken to date and its principal results and findings. In the case of the 1 st module (ex post analysis), the interim report should: Include a chapter for each of the descriptive tasks specified in the research questions; Present in detail the final methodology and the data sources to be used in the quantitative analysis; Present preliminary quantitative and qualitative results including preliminary analysis of environmental, social, and human rights impacts; State of play of the consultation of economic operators, representatives from the relevant administrations, and civil society; Provide a roadmap for the work necessary to complete the final report; Include a proposed structure for the draft final report. In the case of the 2 nd module (ex ante analysis), the interim report should: Include a description of the main obstacles to trade and investment between the EU and Mexico; Contain a section reporting on similar previous studies that identify and quantify NTBs in goods and services, and those that model them in a CGE context; Provide a quantification of these obstacles, in particular NTBs; Describe how these barriers and their reduction will be implemented in the CGE analysis; Contain thorough documentation of the methodology and the sources of information employed in the analysis; Provide preliminary results of quantitative and qualitative analysis of social, human rights and environmental impacts; Provide a roadmap for the work necessary to complete the final report; 16

17 Include a proposed structure for the final report. At the time of the interim reports, the contractor must submit to the Commission a set of tables under electronic format with the numerical results of the quantitative analyses for the key economic indicators, by sector and by country. The Commission shall provide its comments on the draft interim technical reports within 15 days from their respective reception. The Contractor shall submit a revised version of the interim technical reports within 15 days from the reception of the Commission's respective comments. Draft final reports The draft final reports (one for each module, due 9 months after the kick-off meeting in the case of the 1st module, and 10 months after the kick-off meeting in the case of the 2 nd module) should respond to all the substantive requirements of the terms of reference. They should cover all the elements specified in the terms of reference, in particular the quantitative and qualitative results validated by the Commission on all parameters and variables, both globally and by sector, as well as the subsequent commentary and analysis. In addition, they should outline the results of the consultations of the relevant stakeholders in the EU and Mexico. They will form the basis for the quality assessment of the deliverables. The draft final reports should include an executive summary, and in annex, a chart which maps the research questions detailed in point 5 to the location(s) in the text where each has been addressed. The Commission shall provide its comments on the draft reports within 30 days from their respective reception. Revised final reports The revised final reports (one for each module, due 12 months after the kick-off meeting in the case of the 1st module, and 13 months after the kick-off meeting in the case of the 2 nd module) should be submitted in a form suitable for publication that: Incorporates additionally the comments expressed by the Commission in response to the draft final reports; Includes separate summary briefings (one for each module) of no more than 2 pages in length. These should summarise, in very succinct form: the subject and scope of the study; the purpose of the project; the main findings and recommendations; the sources of evidence and the evidence-gathering methods employed; limitations in the design or the execution of the project in meeting the study aims and objectives; and where relevant, suggestions of issues or aspects for further investigation. 17

18 The revised final reports must demonstrate the link to the aims of the study and to the specific research questions. They should have structure and signposting that usefully guide the reader through the commentary. Key messages should be highlighted and (where necessary) summarised. All electronic files, data and databases which are produced during the course of the work and which are necessary for replicating the results of the study should be made available to Commission. 6.2 Content, Structure and Graphic requirements Content and Structure Interim technical reports and final study reports The interim technical reports and final study reports shall include: - an abstract of no more than 200 words (one for each module) and an executive summary of maximum 6 pages, in English, French and Spanish (one for each module); - the following standard disclaimer: The information and views set out in this [report/study/article/publication ] are those of the author(s) and do not necessarily reflect the official opinion of the Commission. The Commission does not guarantee the accuracy of the data included in this study. Neither the Commission nor any person acting on the Commission s behalf may be held responsible for the use which may be made of the information contained therein. - specific identifiers which shall be incorporated on the cover page provided by the Contracting Authority. Publishable executive summary - The publishable executive summary (one for each module) shall be provided in English French and Spanish and shall also include the above-mentioned standard disclaimer and the specific identifiers which shall be incorporated on the cover page provided by the Contracting Authority Graphic requirements All studies produced for the European Commission and Executive Agencies shall conform to the corporate visual identity of the European Commission by applying the graphic rules set out in the European Commission's Visual Identity Manual, including its logo 9. 9 The Visual Identity Manual of the European Commission is available upon request. Requests should be made to the following address: comm-visual-identity@ec.europa.eu 18

19 The Commission is committed to making online information as accessible as possible to the largest possible number of users including those with visual, auditory, cognitive or physical disabilities, and those not having the latest technologies. The Commission supports the Web Content Accessibility Guidelines 2.0 of the W3C. For full details on Commission policy on accessibility for information providers, see: Pdf versions of studies destined for online publication should respect W3C guidelines for accessible pdf documents. See: For graphic requirements please refer to the template provided in the annex V. The cover page shall be filled in by the contractor in accordance with the instructions provided in the template. For further details you may also contact 6.3 Delivery The two revised final study reports shall be delivered to the European Commission in both paper (10 copies of each final report) and electronic formats. The draft inception report, the two draft interim technical reports and the two draft final reports shall be submitted electronically to the project officer, prior to their dispatch in annexe of the invoices as indicated in the payment details. 6.4 Consultation In addition to the modelled and quantitative analysis, and the review of existing literature and comparison to similar studies, the contractor should corroborate his findings by gathering more recent, more specific and more local evidence; and in particular, by interacting with economic operators, with representatives from the relevant administrations, and with civil society, including social partners, in both Europe and Mexico. The objectives of the consultation process are: to actively engage with key EU and Mexican stakeholders in business, national administrations and within civil society, including social partners; to contribute to the identification of the sectors which the study should analyse in greater detail; to promote a dialogue in order to validate the intermediate results obtained, and to feed the research process with comments from stakeholders; Principal stakeholders to be consulted during the evaluation are: EU policymakers, including those negotiating present and future FTAs and those managing the bilateral trade and co-operation relation with Mexico; other Directorates 19

20 General of the Commission, EU member states' administrations, and other relevant EU institutions; Government officials and policy analysts of the United Mexican States; EU and Mexico private sector representatives, including SMEs, with an interest in an enhanced relationship between the EU and Mexico and especially those directly affected by the existing FTA or likely to be affected by an enhanced agreement; EU and Mexico social partners (i.e. trade unions and employers' organisations) and other civil society representatives such as non-governmental organisations (NGO) and other civil society organisations, other relevant bodies, researchers and think tanks. A dedicated website and address will be established by the contractor no later than the date of the inception report to facilitate the consultation of stakeholders. It will enable interested parties to provide input to the study. The consultant must also organise a workshop in Mexico with the twin aims of ensuring a better understanding of the research process by national representatives, business, social partners, and civil society; and clarifying the objectives, research method, and expected use of the results. The workshop should take place after submission and approval of the two interim technical reports. It must respect the following specifications: Venue: in 3-star (EU equivalent) hotel/conference centre (the number of rooms will depend on the nature of the agenda and the possible organisation of thematic working groups), estimated number of participants: 60 (the list of participants should ideally be balanced between Mexican and European participants), accommodation provided in 3-star (EU-equivalent) hotels/guest-houses, transport costs based on 1 st class coach fares for distances less than 400 km, and on economy class for air travel for distances equal to or more than 400 km, full board for participants coming from locations situated more than 60 km from the workshop. The workshop will take place in the best suited location for ensuring a wide range of participation of the relevant stakeholders. The contract shall cover the costs of the workshop organisation (logistics, communication, equipment including interpreters and interpreting booths), and transport, accommodation, and catering costs for the participants. The expenses incurred for the workshop will be treated as reimbursable based on a per-head unit rate. The per-head unit rate will be used for the 20

21 calculation of the eligible amount on the base of the actual number of participants for the workshop. Tenderers are reminded that an adequate organisation of the local workshop implies timely preparation from an early stage of the contract in particular, the elaboration of the draft programme, of the list of speakers and participants, and of the necessary logistical arrangements (e.g. invitations, venue). The date of the workshop, its venue, its programme, a balanced list of participants and speakers as well as the draft invitations should be consulted and agreed upon in good time with the Steering Committee and the EU Delegation in Mexico. The Contractor will be responsible for preparing the documentation for the workshop, including an introductory documentation that summarises the main interim findings of the studies and outlines the inter-active nature of the workshop. The working languages of the workshop should be Spanish and English. Documents relating to the workshop will also be provided in, respectively, these languages. The Contractor must publicise the workshop among relevant stakeholders. Information relating to the workshop should be published on the Contractor s website. Participants must be made aware that the Contractor is the organiser and that the EU is financing the local workshop. The EU logo must appear on all documents. The Contractor will ensure a follow-up to the workshop by publishing on the dedicated website a report from the meeting, the list of participating organisations and the views expressed. Moreover, the Contractor should make available information on how the stakeholders' views have been taken into consideration in the final reports. 7. STEERING AND MONITORING 7.1 Steering Committee The Commission will set up a steering committee to oversee the implementation of the project. It will be composed of staff from different Commission services, but may also include external stakeholders. The contractor may be invited by the steering committee to participate in these meetings. The steering committee must be involved with the different steps of the organisation of the studies components and in particular: validation of tasks to be executed validation of the specification of scenarios discussion and approval of all reports 21

22 preparation of the workshop review of recommendations 7.2 Meetings with the Commission The contractor will be required to attend meetings in Brussels with Commission officials throughout the process. The minimum number of meetings for the duration the contract is 4, including: a kick-off meeting within the first ten days after signature of the contract in order to discuss the general approach, planning, and content of the draft inception report a meeting to present the draft inception report a meeting to present the two draft interim technical reports a meeting to present both draft final reports Additional meetings may be called if required. In general, the meetings will include presentations and explanations by the contractor of the work completed. The contractor will be asked to draft detailed minutes for each of these meetings. If required, the contractor should also make available the databases, modelling tools and other quantitative elements that form the basis of its analysis, so as to enable the verification of results by the Commission. All meetings between the contractor and the Commission shall take place in Brussels. All costs relating to the preparation of and participation in these meetings by the contractor must be taken into account when preparing the tender, and should be included in the costs supported by the contractor and included in the proposed price offer (see Point 9). 7.3 Publicity and accountability The contractor should be aware that the final reports will be made public. However, under Article 4 of Regulation 1049/2001 regarding public access to European Parliament, Council and Commission documents, particular information produced in course of the study, such as preliminary findings, simulation results, and suggested policy recommendations may be kept from disclosure if disclosure of the information would seriously undermine the Commission s decision-making process, unless there is an overriding public interest in disclosure. Such cases have to be evaluated on an ad hoc basis. 22

23 If only parts of the requested document are covered by any of the exceptions, the remaining parts of the document shall be released, so the tenderer should be aware that public access will be the norm rather than the exception. 7.4 Quality assessment Quality assessment of the final study will be performed in accordance with the framework and criteria presented in Annex 4 of this document. 8. TIMING The duration of the tasks shall be completed within a maximum period of fifteen months after the signature of the Contract and the tenderers shall respect the timeline below. EVENT/DELIVERABLE Ex post DUE (months from kick-off meeting) Ex ante DUE (months from kick-off meeting) Draft inception report 1 Draft interim technical reports 4 5 Workshop 6 Draft final reports 9 10 Revised final reports It is the contractor's obligation to observe the implementation of the agreed timeframe taking into account the time necessary for consultations. The periods of execution of the tasks may be extended but only with the written agreement of the parties before such period elapses. 9. BUDGET The budget of the contract, including all costs, shall not exceed for its total duration. The tenderer should however be aware that the contract award criteria are based on the most economically advantageous tender. The price offer of the tender must be complete. The price must include, inter alia, the honoraria and costs related to the local workshop in Mexico (general organisation, communication, transport, accommodation, and catering for the participants). The tenderer 23

24 must not include in the price offer expenses for items that cannot be itemized and specified as requested (see Annex 2); otherwise, his tender will be rejected. The Commission shall not reimburse travel or subsistence expenses incurred by the contractor to attend the meetings in Brussels foreseen in point 7.2 of these terms of reference; nor any other costs such as translation costs, database management or administrative costs necessary to carry out the tasks of the contract (offices, secretarial assistance, communications, printing costs of documents, dispatch costs, etc.). Therefore, the tenderer is requested to take into account all these costs when preparing the offer. The costs related to any unexpected meeting convened by the Commission, including any meetings of the steering committee to which the contractor may be invited, shall be reimbursed separately. 10. PAYMENT Payment shall be made in Euro ( ). Remuneration: Payment shall be made in 3 instalments on submission to the Commission by the contractor of duly established invoices: 1 st interim payment 30% upon approval of the inception report; 2 nd interim payment 30% upon approval of the interim technical reports; Payment of balance The balance upon approval of the final reports including the list of participants to the workshop. 11. CONTRACTUAL CONDITIONS In drawing up his bid, the tenderer should bear in mind the provisions of the standard contract attached to this invitation to tender (see Annex 3). This contract will be proposed to the successful tenderer. By submitting an offer, the tenderer accepts the conditions of this contract. The tenderer must not include in the offer conditions or clauses that are not specified in, or that modify, this Terms of Reference, on pain of his/her tender being rejected. Initiation of a tendering procedure imposes no obligation on the Commission to award the contract. The Commission shall not be liable for any compensation with respect to tenderers whose tenders have not been accepted. Nor shall it be so liable if it decides not to award the contract. 24

25 12. THE TENDER MUST INCLUDE (SEE ANNEX 1 AND ANNEX 2 FOR THE STANDARD FORMS TO BE USED): All the information and documents required by the authorising department for the appraisal of tenders on the basis of the exclusion, selection and award criteria set out at points 14, 15 and 16 (please see these points for more details); A. Tender submission form and tenderer s declaration; B. A duly completed legal entity form 10 ; Wherever the tenderer is a consortium of firms or groups of service providers the legal entity form should be provided for each member or group. C. A duly completed banking reference form 11 ; Wherever the tenderer is a consortium of firms or groups of service providers, the banking reference form must be provided for each firm or group D. A duly signed and dated solemn declaration certifying that the tenderer is not in any of the situations which would disqualify him from taking part in a contract awarded by the European Union (see Annex I to the Terms of Reference). Wherever the tenderer is a consortium of firms or groups of service providers, the above mentioned information must be provided for each firm or group. E. Proof of economic and financial capacity 12 (such as financial statements, statements of overall turnover, statements from banks or the annual budget in the case of semi-public or non-profit organisations). 10 The tenderer is not required to submit a legal entity form if he has already submitted such a legal entity form in the context of a contract signed with the European Union since and if the information recorded on this form has remained unaltered since the date of such submission. 11 The tenderer is not required to submit a banking reference form if he has already submitted such a banking reference form in the context of a contract signed with the European Union since and if the information recorded on this form has remained unaltered since the date of such submission. 12 The Commission may waive this obligation if such evidence has already been submitted in another procurement procedure and it is still valid. 25

26 Wherever the tenderer is a consortium of firms or groups of service providers, the above-mentioned information must be provided for each firm or group. F. A statement of exclusivity and availability of each proposed expert. G. The technical offer, including: A description of the general approach to the objectives and scope, setting out the tenderers' understanding of the tasks and services to be rendered. A description of the proposed planning and organisation of the work, including tools for monitoring its progress. A description of the proposed research method and tools, and a description of the proposed sources of data and of the interaction with stakeholders. A description of the proposed team, in particular the variety and the range of skills at its disposal. A description of the relevant local contacts and networking in the EU and Mexico. All other relevant information related to the technical offer. H. Description of the tenderer s technical capacity to perform the tasks involved in this contract notice. The details (CVs) of educational and professional qualifications of the proposed experts and of the persons providing the services. For the proposed experts, this should clearly indicate their expertise and knowledge in the area of Trade Policy (knowledge of WTO rules, of the EU trade policy and of the Mexican/North American trade policy, trade barriers, including their treatment in major recent bilateral and multilateral negotiations, in the agricultural,the manufacturing and the services sectors), as well as their capacity to perform in English, French, and Spanish. The tenderer shall indicate which person would be responsible for the contract and the sole point of contact for the European Commission throughout the performance of the contract. The person responsible for the contract shall have proven experience in contract management, including in the area of Trade policy. 26

27 A list of the principal related projects that were carried out under the applicant s direct responsibility during the past 3 years proving merit and experience in similar studies. I. The price offer, using the quotation form in Annex II to the Term of Reference Tenders can be submitted by groupings of service providers who will not be required to adopt a particular legal form prior to the contract being awarded, but may be required to do so after the award. However, a grouping of firms must nominate one party to be responsible for the receipt and processing of payments for members of the grouping, for managing the service administration, and for coordination. Each member of the grouping assumes a joint and several liability towards the Commission. Wherever the tenderer is a consortium of firms or groups of service providers with a distinct legal personality, the tender should clarify the legal status of the consortium and specify the role, qualifications and experience of each member or group. The above mentioned legal entity form and tenderer s declaration should be provided for each member or group. Candidates or tenderers and, if they are legal entities, persons who have powers of representation, decision-making or control over them, are informed that, should they be in one of the situations mentioned in: the Commission Decision of on the Early Warning System (EWS) for the use of authorising officers of the Commission and the executive agencies (OJ, L 344, , p. 125), or the Commission Regulation of on the Central Exclusion Database CED (OJ L 344, , p. 12), Their personal details (name, given name if natural person, address, legal form and name and given name of the persons with powers of representation, decision-making or control, if legal person) may be registered in the EWS only or both in the EWS and CED, and communicated to the persons and entities listed in the above-mentioned Decision and Regulation, in relation to the award or the execution of a procurement contract. Participation in tendering procedures is open on equal terms to all natural and legal persons from one of the EU Member States and to all natural and legal persons in a third country which has a special agreement with the European Union in the field of public procurement on the conditions laid down in that agreement. Where the Plurilateral Agreement on Government Procurement (GPA) concluded within the WTO applies, the contracts are also open to nationals of the countries that have ratified this Agreement, on the conditions it lays down. In that connection, it should be noted that the services under Annex IIB to Directive 2004/18/EC and the R&D services listed in category 8 of Annex IIA to that Directive are not caught by the Agreement. 27

28 The parties to the GPA can be consulted on the following web page: Operators in third countries which have signed a bilateral or multilateral agreement with the European Union in the field of public procurement must be allowed to take part in the tendering procedure on the conditions laid down in this agreement. For the present call for tender, it will be decided on a case-by-case basis whether tenders submitted by operators established in third countries not covered by such agreements will be allowed to participate. 13. QUOTATION OF PRICES Prices must be quoted in EUR ( ) using the conversion rates published in the C series of the 'Official Journal of the European Union' on the day when this invitation to tender was published. Prices must be fixed amounts that are non-revisable. Prices shall be quoted free of all duties, taxes and other charges, including VAT, as the European Union is exempt from such charges under Articles 3 and 4 of the Protocol on the Privileges and Immunities of the European Union annexed to the Treaty of the European Union and to the Treaty on the Functioning of the European Union. Exemption is granted to the Commission by the governments of the Member States, either through refunds upon presentation of documentary evidence or by immediate exemption. The successful tenderer shall be given the necessary instructions by the Commission. The price for the tender must be quoted in euro 13. Tenderers from countries outside the euro zone have to quote their prices in euro. The price quoted may not be revised in line with exchange rate movements. It is for the tenderer to assume the risks or the benefits deriving from any variation. The quoted price must be a fixed amount which includes all charges (including travel and subsistence). Travel and subsistence expenses are not refundable separately. The quoted price cannot exceed euros. 14. EXCLUSION CRITERIA: Tenderers shall be excluded from participation in this procurement procedure if: a) they are bankrupt or being wound up, are having their affairs administered by the courts, have entered into an arrangement with creditors, have suspended business 13 Using the conversion rates published in the C series of the 'Official Journal of the European Union' on the day when this invitation to tender was published. 28

29 activities, are the subject of proceedings concerning those matters, or are in any analogous situation arising from a similar procedure provided for in national legislation or regulations; b) they have been convicted of an offence concerning their professional conduct by a judgement which has the force of res judicata; c) they have been guilty of grave professional misconduct proven by any means which the contracting authority can justify; d) they have not fulfilled obligations relating to the payment of social security contributions or the payment of taxes in accordance with the legal provisions of the country in which they are established or with those of the country of the contracting authority or those of the country where the contract is to be performed; e) they have been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation or any other illegal activity detrimental to the Union's financial interests; f) they have been the subject of an administrative penalty for being guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in the procurement procedure or failing to supply an information, or being declared to be in serious breach of his obligation under contract covered by the budget. Contracts may not be awarded to tenderers who, during the procurement procedure: (a) (b) (c) are subject to a conflict of interest; are guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in the contract procedure or fail to supply this information; find themselves in one of the situations of exclusion, referred to at the beginning of point 11 (letters (a) to (f)). Tenderers must provide a declaration on honour that they are not in one of the abovementioned situations. Only the tenderer to whom the contract is to be awarded shall be required to submit, before signing the Contract, evidence confirming his declaration on honour, by providing: for points (a), (b) or (e): a recent extract from the judicial record or, failing that, an equivalent document recently issued by a judicial or administrative authority in the country of origin or provenance showing that those requirements are satisfied. for point (d), a recent certificate issued by the competent authority of the State concerned. 29

30 Where no such documents or certificates are issued in the country concerned, they may be replaced by a sworn or, failing that, a solemn statement made by the interested party before a judicial or administrative authority, a notary or a qualified professional body in his country of origin or provenance. Depending on the national legislation of the country in which the tenderer or candidate is established, the documents referred to in the above two paragraphs shall relate to legal persons and/or natural persons including, where considered necessary by the contracting authority, company directors or any person with powers of representation, decisionmaking or control in relation to the candidate or tenderer. Wherever the tenderer is a consortium of firms or groups of service providers, the abovementioned information must be provided for each member or group. However, the Commission may waive the obligation for a candidate or tenderer to submit documentary evidence if such evidence has already been submitted for another procurement procedure and provided the documents were issued not more than one year earlier and are still valid. In such cases, the tenderer must declare on his honour that the documentary evidence has already been provided in a previous procurement procedure, provide reference to that procedure, and confirm that there has been no change in the situation. The above-mentioned information must be included in the terms of reference. Please refer to the e-certis website, which provides the possibility of determinating the exact certificates and attestations required: SELECTION CRITERIA MINIMUM QUALIFICATIONS REQUIRED Tenderers must prove their economic, financial, technical and professional capacity to carry out the work subject to this call for tender. The evidence requested should be provided by each member of the group in case of joint tender and identified subcontractor whose intended share of the contract is above 10%. However a consolidated assessment will be made to verify compliance with the minimum capacity levels. The tenderer may rely on the capacities of other entities, regardless of the legal nature of the links which it has with them. It must in that case prove to the Contracting Authority that it will have at its disposal the resources necessary for performance of the contract, for example by producing an undertaking on the part of those entities to place those resources at its disposal. A. FINANCIAL AND ECONOMIC CAPACITY For this purpose all tenderers must provide a full set of financial statements (comprising at least a balance sheet and profit and loss account) for the last two financial years (or the annual budget of the last two years in the case of 30

31 semipublic or non-profit organisations), where the tenderer is required by law to produce such statements. Proof of economic and financial capacity may in particular be furnished by one or more of the following documents: a) appropriate statements from banks or where appropriate, evidence of relevant professional risk indemnity insurance; b) financial statements for at most the last three years for which account have been closed; c) a statement of overall turnover and turnover concerning the services covered by the contract during a period which may be no more than the last three financial years available. The Commission may waive the obligation of a candidate or tenderer to submit the documentary evidence above if such evidence has already been submitted to it for the purposes of another procedure and it is still valid. If, for some exceptional reasons which the Commission considers justified, the tenderer or candidate is unable to provide the references requested, he may prove his economic and financial capacity by any other means which the Commission considers appropriate. If the economic and financial selection criteria are fulfilled by relying on a third party, the Commission may demand, if that tender wins the contract, that this party signs the contract (becomes a contractor) or, alternatively, provides a joint and several first-call guarantee. If the third party chooses to sign the contract it should prove that it is not in an exclusion situation and that it has access to the market. The Commission will conclude a contract following this tender with a single legal counterpart. B. TECHNICAL AND PROFESSIONAL CAPACITY (a) Criteria relating to tenderers Tenderers (in case of a joint tender the combined capacity of all tenderers and identified subcontractors) must comply with the following criteria: The tenderer must prove experience in the fields of: 1) trade policy (knowledge of WTO rules, of the EU trade policy and of the Mexican/North American trade policy, trade barriers, including their treatment in major recent bilateral and multilateral negotiations, in the agricultural, the manufacturing and the services sectors), 31

32 2) developing and applying methodologies for evaluating trade policies, 3) quantitative analysis in economics and social science (e.g. econometrics), 4) qualitative impact assessment for unquantifiable matters (such as non-tariff barriers and regulatory issues), 5) quantitative and qualitative analysis of social impacts (including issues related to employment, wages, decent work, gender and poverty; human rights expertise), 6) carrying out counterfactual analysis, 7) conducting surveys and other forms of consultation activities engaging civil society and other target groups, 8) producing forecast studies, 9) formulating policy recommendations with at least 3 projects delivered in this field in the last three years with a minimum value for each project of , 10) developing methodologies for assessing and comparing several policy options. The tenderer must prove experience of working and drafting reports in 2 languages (English and Spanish) with at least 3 projects delivered in the last three years showing the necessary language coverage. (b) Criteria relating to the team delivering the service The team delivering the service should include, as a minimum, the following profiles: Project Manager: At least 10 years experience in project management, including overseeing project delivery, quality control of delivered service, client orientation and conflict resolution experience in project of a similar size (at least ) and coverage (assessment of trade policy and formulation of policy recommendations), with experience in management of a team of at least 5 people. Team: it shall include at least one senior expert (with at least 7 years of professional experience in the assessment of trade policies, including analysis of economic, social and environmental impacts), expert with at least 3 years prior experience about EU-North America trade relations (with 32

33 a particular focus on Mexico), experts in quantitative and qualitative analysis with at least 3 years prior experience, expert in surveys and consultations with civil society with at least 3 years prior experience and junior experts (with a background in economics or social science and, at least 2 years of professional experience) 14. Experience in the economic analysis of the agricultural, the manufacturing and the service sectors as well as sufficient knowledge of trade policies applied in these sectors shall be present in the proposed team. The study team should also include local experts with prior and in-depth knowledge of Mexico; partnership with a local research institution or with a consultancy firm is encouraged. Local experts should have an active role in organising the workshop and should therefore have previous experience in stakeholder consultation. Language quality check: at least 3 members of the team should have nativelevel language skills in English or equivalent, as guaranteed by a certificate or past relevant experience; and at least 1 member of the team should have native-level language skills in Spanish or equivalent, as guaranteed by a certificate or past relevant experience. (c) Evidence The following evidence should be provided to fulfil the above criteria: List of relevant services provided in the past three years, with sums, dates and recipients, public or private. The most important services shall be accompanied by certificates of satisfactory execution, specifying that they have been carried out in a professional manner and have been fully completed; The educational and professional qualifications of the persons who will provide the service for this tender (CVs) including the management staff. Each CV provided should indicate the intended function in the delivery of the service. 16. AWARD CRITERIA FOR THE CHOICE OF THE CONTRACTOR The contract will be awarded to the most economically advantageous tender. Criteria to be applied are: 14 Merit and experience in above-mentioned fields must be proven by having carried out related projects in the past three years (see Point 3 below). 33

34 price (price of the tender measured as a ratio compared to the lowest tender 15 ), (25%) and quality in terms of technical quality of the offer (75%) assessed on the basis of the following sub-criteria: No Qualitative award criteria Weighting (maximum points) Quality of the research method proposed to meet the requirements of the first module, in particular on sources of data (both quantitative and qualitative) and analytical framework. (25 points minimum threshold 50%) Quality of the research method proposed to meet the requirements of the second module, in particular on forecasting the evolution of the current situation. (25 points minimum threshold 50%) Quality of the research method proposed in respect of the interaction with stakeholders including the organisation of the local workshop and the possibility of partnership with a Mexican research institution or with Mexican consultancy firms. (10 points minimum threshold 50%) Structural organisation; how the roles and responsibilities of the proposed team and of the economic operators (in case of joint tenders, including subcontractors if applicable) are distributed for each task. (15 points minimum threshold 50%) Global allocation of time and resources to the project and to each task or deliverable, and whether this allocation is adequate for the work. The tender should provide details on the allocation of time and resources and the rationale behind the choice of this allocation. (15 points minimum threshold 50%) This criterion will assess the quality control system applied to the service foreseen in these terms of reference concerning the quality of the deliverables, the language quality check, and continuity of the service in case of absence of the member of the team. The quality system should be detailed in the tender and specific to the tasks at hand; a generic quality system will result in a low score. 60 points 30 points 10 points Total number of points 100 The evaluation board will compare the offers based on this score, it being clear that the Commission cannot be required to accept an offer the quality of which does not reach the minimum standard of 65%. A minimum threshold of 50% will also be applied per criterion, meaning that the Commission will only assess further offers that obtain 50 % or more on a single criterion. 15 By using the formula: Price of the lowest tender * fixed percentage = % for the criterion price Price of the tender 34

35 The sum of the price and quality criteria will result in a numerical score (e.g. 75%). Enclosures of the Terms of reference: Annex 1: Annex 2: Annex 3: Annex 4: Annex 5: Tender submission form including tenderer s declaration, statement of exclusivity and availability, banking references form and legal entities form Quotation form for unit prices Model contract, which will be proposed to the selected Contractor Quality assessment framework Required format for the study 35

36 ANNEX 1. TENDER SUBMISSION FORM TENDERER'S DECLARATION(S) STATEMENT OF EXCLUSIVITY AND AVAILABILITY BANKING REFERENCES FORM LEGAL ENTITIES FORM 36

37 (preferably on headed notepaper of the tenderer) TENDER SUBMISSION FORM To be completed by the authorised signatory of the tenderer One signed original and two copies of this form and each of the documents mentioned in it must be supplied. Contract to [ ] Publication reference: 1 SUBMITTED by Tenderer name * * In the case of a consortium, insert the agreed name of the consortium 2 STATEMENT I, the undersigned, being the authorised signatory of the above tenderer (including all consortium partners, in the case of a consortium), hereby declare that we have examined and accept without reserve or restriction the entire contents of the tender dossier for the tender procedure referred to above. We offer to provide the services requested in the tender dossier on the basis of the following documents, which comprise our technical and financial offer, which is submitted in a sealed envelope: Tenderer's declaration (see below) and all documents as specified in the terms of reference (including one from every consortium partner, in the case of a consortium) Statements of exclusivity and availability signed by each of the key experts Description of the organisation & methodology Key experts (comprising a list of the key experts and their CVs) Unit prices quote, using the model in Annex 2 of the Terms of Reference. [If applicable: We undertake to guarantee the eligibility of the sub-contractor(s) for the parts of the services for which we have stated our intention to sub-contract in the Organisation and Methodology.] This tender is subject to acceptance within the validity period stipulated in the Invitation to tender. Signed on behalf of the tenderer. Name Signature Date 37

38 (preferably on headed notepaper of the tenderer) TENDERER'S DECLARATION(S) Declaration of honour on exclusion criteria and absence of conflict of interest To be completed and signed by the tenderer (including one from each consortium partner, in the case of a consortium). Contract to [ ] Publication reference: (Complete or delete the parts in grey italics in parenthese) [Choose options for parts in grey between square brackets] The undersigned (insert name of the signatory of this form): or in [his][her] own name (for a natural person) representing the following legal person: (only if the economic operator is a legal person) full official name: official legal form: full official address: VAT registration number: declares that [the above-mentioned legal person][he][she] is not in one of the following situations: a) is bankrupt or being wound up, is having its affairs administered by the courts, has entered into an arrangement with creditors, has suspended business activities, is the subject of proceedings concerning those matters, or is in any analogous situation arising from a similar procedure provided for in national legislation or regulations; b) has been convicted of an offence concerning professional conduct by a judgment of a competent authority of a Member State which has the force of res judicata; c) has been guilty of grave professional misconduct proven by any means which the contracting authorities can justify including by decisions of the European Investment Bank and international organisations; d) is not in compliance with all its obligations relating to the payment of social security contributions and the payment of taxes in accordance with the legal provisions of the country in which it is established, with those of the country of the contracting authority and those of the country where the contract is to be performed; e) has been the subject of a judgement which has the force of res judicata for fraud, corruption, involvement in a criminal organisation, money laundering or any other illegal activity, where such activity is detrimental to the Union's financial interests; 38

39 f) is a subject of an administrative penalty for being guilty of misrepresentation in supplying the information required by the contracting authority as a condition of participation in a procurement procedure or failing to supply this information, or having been declared to be in serious breach of its obligations under contracts covered by the Union's budget. (Only for legal persons other than Member States and local authorities, otherwise delete) declares that the natural persons with power of representation, decision-making or control 16 over the above-mentioned legal entity are not in the situations referred to in b) and e) above; declares that [the above-mentioned legal person][he][she]: g) has no conflict of interest in connection with the contract; a conflict of interest could arise in particular as a result of economic interests, political or national affinity, family, emotional life or any other shared interest; h) will inform the contracting authority, without delay, of any situation considered a conflict of interest or which could give rise to a conflict of interest; i) has not granted and will not grant, has not sought and will not seek, has not attempted and will not attempt to obtain, and has not accepted and will not accept any advantage, financial or in kind, to or from any party whatsoever, where such advantage constitutes an illegal practice or involves corruption, either directly or indirectly, inasmuch as it is an incentive or reward relating to award of the contract; j) provided accurate, sincere and complete information to the contracting authority within the context of this procurement procedure ; acknowledges that [the above-mentioned legal person][he][she] may be subject to administrative and financial penalties 17 if any of the declarations or information provided prove to be false. In case of award of contract, the following evidence shall be provided upon request and within the time limit set by the contracting authority: For situations described in (a), (b) and (e), production of a recent extract from the judicial record is required or, failing that, a recent equivalent document issued by a judicial or administrative authority in the country of origin or provenance showing that those requirements are satisfied. Where the tenderer is a legal person and the national legislation of the country in which the tenderer is established does not allow the provision of such documents for legal persons, the documents should be provided for natural persons, such as the company directors or any person with powers of representation, decision making or control in relation to the tenderer. For the situation described in point (d) above, recent certificates or letters issued by the competent authorities of the State concerned are required. These documents must provide evidence covering all taxes and social security contributions for which the tenderer is liable, This covers the company directors, members of the management or supervisory bodies, and cases where one natural person holds a majority of shares. As provided for in Article 109 of the Financial Regulation (EU, Euratom) 966/2012 and Article 145 of the Rules of Application of the Financial Regulation 39

40 including for example, VAT, income tax (natural persons only), company tax (legal persons only) and social security contributions. For any of the situations (a), (b), (d) or (e), where any document described in two paragraphs above is not issued in the country concerned, it may be replaced by a sworn or, failing that, a solemn statement made by the interested party before a judicial or administrative authority, a notary or a qualified professional body in his country of origin or provenance. If the tenderer is a legal person, information on the natural persons with power of representation, decision making or control over the legal person shall be provided only upon request by the contracting authority. Full name Date Signature 40

41 STATEMENT OF EXCLUSIVITY AND AVAILABILITY 18 I, the undersigned, hereby declare that I agree to participate exclusively with the tenderer < tenderer name > in the above-mentioned service tender procedure. I further declare that I am able and willing to work for the position for which my CV has been included in the event that this tender is successful. (the expert should select one of the two options underneath and delete the other one) [I confirm that I am not engaged in another EU-funded project or contract, in a position for which my services are required beyond the expected starting date of my services under this tender.] [I confirm that I am engaged in the following EU-funded project(s) or contract(s), in a position for which my services are required beyond the expected starting date of my services under this tender. Title + reference of the project(s) + DG concerned (if applicable):.. Nevertheless, I confirm that this other engagement will not impair my availability to carry out the tasks for which my CV has been included in this tender. Furthermore, I declare that there will not, by reason of my involvement in both this project under tender and the other aforementioned EU project(s), be any double-financing of time spent or work carried out under any of these projects. I also confirm that my involvement in other EU-funded projects as well as in the project currently tendered will present me with no conflict of interest and will not prevent, or tend to prevent, me from carrying out my tasks under any of the EU-funded contracts with due impartiality.] Name Signature Date 18 To be completed by all key experts 41

42 BANKING REFERENCES FORM AND LEGAL ENTITY FORM Please complete and sign: the banking references form, which can be downloaded from this address n.cfm. Once completed, it must be printed, signed and attached to the tender. the form providing details on the legal entity : select either the public entity form, the private entity form or the form for individuals. The form can be downloaded from this address: _en.cfm. Once completed, it must be printed, signed and attached to the tender. You are not required to submit a legal entity form or a banking reference form if you have already submitted these forms in the context of a contract signed with the European Union since and if the information recorded on these forms has remained unaltered since. In the case of the banking reference form, please submit such a form if you have used more than one bank account with your previous contracts with the European Union. 42

43 ANNEX 2 TO THE TERMS OF REFERENCE OF THE INVITATION TO TENDER TRADE13/C3/C10 Tenderers are required to quote QUOTATION FORM FOR UNIT PRICES COSTS per category Sub-total per category in euro ( ) A. 1st and 2 nd Modules All the reports as specified in the terms of reference to be quoted as a lump sum (1) B. Reimbursable : Local Workshop (2) Cost per participant in Number of participants per workshop Local Workshop Total in euro ( ): Please note: 1) Such a lump-sum shall also cover all the Contractor's costs in order to manage the contract as well as the Contractor's commercial margin. Therefore, it shall cover, inter alia, the travel and subsistence costs incurred by the Contractor to attend meetings explicitly required by this Contract at the moment of the submission of the tender, the management team and supporting staff costs and all administrative costs necessary to carry out the tasks of the contract (offices, communications, printing costs of documents, dispatch costs, etc..). 2) The total expenses for the workshop is reimbursable on the bases of the number of participants as verified by the list of presences. For evaluation prices, however, the tenderer is required to detail in his offer in accordance with the requirements specified under 6.4 of the terms of reference. 43

44 ANNEX 3. EUROPEAN COMMISSION Directorate-General for Trade Directorate C Asia and Latin America The Director SERVICE CONTRACT CONTRACT NUMBER [complete] The European Union (hereinafter referred to as "the Union"), represented by the [European Commission] (hereinafter referred to as "the contracting authority"), which is represented for the purposes of the signature of this contract by, Mr. Mauro Raffaele Petriccione Director Directorate-General for Trade Directorate C - Asia and Latin America on the one part, and [full official name] [official legal form] 19 [statutory registration number] 20 [full official address] [VAT registration number] [(hereinafter referred to as the contractor ),][represented for the purposes of the signature of this contract by [forename, surname and function,]] [The parties identified above and hereinafter collectively referred to as the contractor shall be jointly and severally liable vis-à-vis the contracting authority for the performance of this contract.] on the other part, 19 Delete if contractor is a natural person or a body governed by public law. 20 Delete if contractor is a body governed by public law. For natural persons, indicate the number of their identity card or, failing that, of their passport or equivalent. 44