# Official Journal L 313/2016

| | ISSN 1977-0677 |
| --- | --- |
| Official Journal
  of the European Union | L 313 |
| | |
| English edition | Legislation | Volume 5919 November 2016 |

ISSN 1977-0677

Official Journal

of the European Union

L 313

English edition

Legislation

Volume 5919 November 2016

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| Contents | | II   Non-legislative acts | page |
| --- | --- | --- | --- |
| | | INTERNATIONAL AGREEMENTS |
| | * | Information relating to the date of the entry into force of the Cooperation Agreement on a Civil Global Navigation Satellite System (GNSS) between the European Community and its Member States, of the one part, and the Republic of Korea, of the other part | 1 |
| | * | Information relating to the date of the entry into force of the Cooperation Agreement on a civil Global Navigation Satellite System (GNSS) between the European Community and its Member States and Ukraine | 1 |
| | * | Information relating to the date of the entry into force of the Agreement on the promotion, provision and use of Galileo and GPS satellite-based navigation systems and related applications between the European Community and its Member States, of the one part, and the United States of America, of the other part | 1 |
| | | REGULATIONS |
| | * | Commission Delegated Regulation (EU) 2016/2020 of 26 May 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation (
  1
  ) | 2 |
| | * | Commission Delegated Regulation (EU) 2016/2021 of 2 June 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on access in respect of benchmarks (
  1
  ) | 6 |
| | * | Commission Delegated Regulation (EU) 2016/2022 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients (
  1
  ) | 11 |
| | * | Commission Implementing Regulation (EU) 2016/2023 of 18 November 2016 concerning the authorisation of sodium benzoate, potassium sorbate, formic acid and sodium formate as feed additives for all animal species (
  1
  ) | 14 |
| | | Commission Implementing Regulation (EU) 2016/2024 of 18 November 2016 establishing the standard import values for determining the entry price of certain fruit and vegetables | 21 |
| | | DECISIONS |
| | * | Council Decision (EU) 2016/2025 of 8 November 2016 appointing three members and two alternate members, proposed by the Republic of Poland of the Committee of the Regions | 23 |
| | * | Council Decision (EU) 2016/2026 of 15 November 2016 on the financial contributions to be paid by Member States to finance the European Development Fund, including the ceiling for 2018, the annual amount for 2017, the first instalment for 2017 and an indicative and non-binding forecast for the expected annual amounts for the years 2019 and 2020 | 25 |
| | | ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS |
| | * | Decision No 1/2016 of the EU-Republic of Moldova Association Committee in Trade configuration of 19 October 2016 updating Annex XVI to the Association Agreement [2016/2027] | 28 |
| | * | Decision No 2/2016 of the EU-Republic of Moldova Association Committee in Trade configuration of 19 October 2016 updating Annex XXIX to the Association Agreement [2016/2028] | 36 |

Contents

II   Non-legislative acts

page

INTERNATIONAL AGREEMENTS

*

Information relating to the date of the entry into force of the Cooperation Agreement on a Civil Global Navigation Satellite System (GNSS) between the European Community and its Member States, of the one part, and the Republic of Korea, of the other part

1

*

Information relating to the date of the entry into force of the Cooperation Agreement on a civil Global Navigation Satellite System (GNSS) between the European Community and its Member States and Ukraine

1

*

Information relating to the date of the entry into force of the Agreement on the promotion, provision and use of Galileo and GPS satellite-based navigation systems and related applications between the European Community and its Member States, of the one part, and the United States of America, of the other part

1

REGULATIONS

*

Commission Delegated Regulation (EU) 2016/2020 of 26 May 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation (
  1
  )

1

2

*

Commission Delegated Regulation (EU) 2016/2021 of 2 June 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on access in respect of benchmarks (
  1
  )

1

6

*

Commission Delegated Regulation (EU) 2016/2022 of 14 July 2016 supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients (
  1
  )

1

11

*

Commission Implementing Regulation (EU) 2016/2023 of 18 November 2016 concerning the authorisation of sodium benzoate, potassium sorbate, formic acid and sodium formate as feed additives for all animal species (
  1
  )

1

14

Commission Implementing Regulation (EU) 2016/2024 of 18 November 2016 establishing the standard import values for determining the entry price of certain fruit and vegetables

21

DECISIONS

*

Council Decision (EU) 2016/2025 of 8 November 2016 appointing three members and two alternate members, proposed by the Republic of Poland of the Committee of the Regions

23

*

Council Decision (EU) 2016/2026 of 15 November 2016 on the financial contributions to be paid by Member States to finance the European Development Fund, including the ceiling for 2018, the annual amount for 2017, the first instalment for 2017 and an indicative and non-binding forecast for the expected annual amounts for the years 2019 and 2020

25

ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS

*

Decision No 1/2016 of the EU-Republic of Moldova Association Committee in Trade configuration of 19 October 2016 updating Annex XVI to the Association Agreement [2016/2027]

28

*

Decision No 2/2016 of the EU-Republic of Moldova Association Committee in Trade configuration of 19 October 2016 updating Annex XXIX to the Association Agreement [2016/2028]

36

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| | (1)   Text with EEA relevance |

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(1)   Text with EEA relevance

1

| EN | Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.
  The titles of all other Acts are printed in bold type and preceded by an asterisk. |
| --- | --- |

EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.

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II Non-legislative acts

INTERNATIONAL AGREEMENTS

| 19.11.2016 | EN | Official Journal of the European Union | L 313/1 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/1

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Information relating to the date of the entry into force of the Cooperation Agreement on a Civil Global Navigation Satellite System (GNSS) between the European Community and its Member States, of the one part, and the Republic of Korea, of the other part

The Cooperation Agreement on a Civil Global Navigation Satellite System (GNSS) between the European Community and its Member States, of the one part, and the Republic of Korea, of the other part (1), signed in Brussels on 9 September 2006, entered into force on 1 July 2016, in accordance with its Article 18(1).

1

---

(1)  
  OJ L 288, 19.10.2006, p. 31.

1

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/1 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/1

---

Information relating to the date of the entry into force of the Cooperation Agreement on a civil Global Navigation Satellite System (GNSS) between the European Community and its Member States and Ukraine

The Cooperation Agreement on a civil Global Navigation Satellite System (GNSS) between the European Community and its Member States and Ukraine (1), signed in Kiev on 1 December 2005, entered into force on 1 December 2013, in accordance with its Article 17(1).

1

---

(1)  
  OJ L 125, 26.4.2014, p. 3.

1

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/1 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/1

---

Information relating to the date of the entry into force of the Agreement on the promotion, provision and use of Galileo and GPS satellite-based navigation systems and related applications between the European Community and its Member States, of the one part, and the United States of America, of the other part

Agreement on the promotion, provision and use of Galileo and GPS satellite-based navigation systems and related applications (1) between the European Community and its Member States, of the one part, and the United States of America, of the other part, signed in Brussels on 26 June 2004, entered into force on 12 December 2011, in accordance with its Article 20(1).

1

---

(1)  
  OJ L 348, 31.12.2011, p. 3.

1

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REGULATIONS

| 19.11.2016 | EN | Official Journal of the European Union | L 313/2 |
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19.11.2016

EN

Official Journal of the European Union

L 313/2

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COMMISSION DELEGATED REGULATION (EU) 2016/2020

of 26 May 2016

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on criteria for determining whether derivatives subject to the clearing obligation should be subject to the trading obligation

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (1), and in particular Article 32(6) thereof,

Whereas:

| (1) | This Regulation contributes to the specification of the criteria for the determination of sufficient third-party buying and selling interest in a class of derivatives or a relevant subset of a class of derivatives. Where the European Securities and Markets Authority (ESMA) has established that a class of derivatives should be subject to the clearing obligation under Regulation (EU) No 648/2012 of the European Parliament and of the Council (2) and that the derivatives are admitted to trading or traded on a trading venue, ESMA should follow the criteria in this Regulation to determine whether the derivatives or subset thereof are considered sufficiently liquid to trade exclusively on trading venues. |
| --- | --- |

(1)

This Regulation contributes to the specification of the criteria for the determination of sufficient third-party buying and selling interest in a class of derivatives or a relevant subset of a class of derivatives. Where the European Securities and Markets Authority (ESMA) has established that a class of derivatives should be subject to the clearing obligation under Regulation (EU) No 648/2012 of the European Parliament and of the Council (2) and that the derivatives are admitted to trading or traded on a trading venue, ESMA should follow the criteria in this Regulation to determine whether the derivatives or subset thereof are considered sufficiently liquid to trade exclusively on trading venues.

| (2) | Regulation (EU) No 648/2012 sets out that derivatives are considered to be executed on an OTC basis when they are not traded on, or not subject to the rules of, a regulated market, whereas the definition of derivatives executed over-the-counter (OTC) under Directive 2014/65/EU of the European Parliament and of the Council (3) is narrower, comprising derivatives not traded on, or not subject to the rules of, a regulated market, multilateral trading facility (MTF) or organised trading facility (OTF). ESMA should therefore assess the extent to which trades are executed already on trading venues in a class of derivatives or a relevant subset thereof and compare this to the level of trading not executed on a trading venue. The prevalence of trading outside a trading venue should not, however, automatically establish that a class of derivatives or a relevant subset thereof is not suitable for the trading obligation. ESMA should have regard also to the anticipated impact of the trading obligation considering both the possibility to promote liquidity and market integrity through increased transparency and availability of the financial instruments, as well as the potential negative consequences of such a decision. |
| --- | --- |

(2)

Regulation (EU) No 648/2012 sets out that derivatives are considered to be executed on an OTC basis when they are not traded on, or not subject to the rules of, a regulated market, whereas the definition of derivatives executed over-the-counter (OTC) under Directive 2014/65/EU of the European Parliament and of the Council (3) is narrower, comprising derivatives not traded on, or not subject to the rules of, a regulated market, multilateral trading facility (MTF) or organised trading facility (OTF). ESMA should therefore assess the extent to which trades are executed already on trading venues in a class of derivatives or a relevant subset thereof and compare this to the level of trading not executed on a trading venue. The prevalence of trading outside a trading venue should not, however, automatically establish that a class of derivatives or a relevant subset thereof is not suitable for the trading obligation. ESMA should have regard also to the anticipated impact of the trading obligation considering both the possibility to promote liquidity and market integrity through increased transparency and availability of the financial instruments, as well as the potential negative consequences of such a decision.

| (3) | Given the similarity of the definition of a liquid market for non-equities under point 17(a) of Article 2(1) of Regulation (EU) No 600/2014 to the criteria for determining whether a class of derivatives or subset thereof is sufficiently liquid under Article 32(3) of that Regulation, the assessment undertaken for one should be taken into consideration for the other to promote consistency in the treatment of instruments. However, a class of derivatives or subset thereof deemed to have a liquid market for transparency purposes should not be deemed automatically to be sufficiently liquid for the trading obligation. The quantitative thresholds and qualitative weightings may differ, taking into account the different objectives of the assessments. |
| --- | --- |

(3)

Given the similarity of the definition of a liquid market for non-equities under point 17(a) of Article 2(1) of Regulation (EU) No 600/2014 to the criteria for determining whether a class of derivatives or subset thereof is sufficiently liquid under Article 32(3) of that Regulation, the assessment undertaken for one should be taken into consideration for the other to promote consistency in the treatment of instruments. However, a class of derivatives or subset thereof deemed to have a liquid market for transparency purposes should not be deemed automatically to be sufficiently liquid for the trading obligation. The quantitative thresholds and qualitative weightings may differ, taking into account the different objectives of the assessments.

| (4) | Given the wide range of instruments potentially affected by the trading obligation for derivatives and their specific characteristics, the constant evolution of financial markets and the variety of national markets involved, it is not possible to determine for each and every derivative type an exhaustive list specifying the elements relevant to an assessment of third-party buying and selling interest or the weighting to be given to any particular element. |
| --- | --- |

(4)

Given the wide range of instruments potentially affected by the trading obligation for derivatives and their specific characteristics, the constant evolution of financial markets and the variety of national markets involved, it is not possible to determine for each and every derivative type an exhaustive list specifying the elements relevant to an assessment of third-party buying and selling interest or the weighting to be given to any particular element.

| (5) | However, a degree of clarity should be provided for the determination of a class of derivatives or relevant subset thereof which is sufficiently liquid, in particular, through specifying the criteria with respect to average frequency of trades, average size of trades, number and type of active market participants and average size of spreads, which together indicate the level of third-party buying and selling interest. |
| --- | --- |

(5)

However, a degree of clarity should be provided for the determination of a class of derivatives or relevant subset thereof which is sufficiently liquid, in particular, through specifying the criteria with respect to average frequency of trades, average size of trades, number and type of active market participants and average size of spreads, which together indicate the level of third-party buying and selling interest.

| (6) | The observation period for determining whether a class of derivatives or relevant subset thereof is sufficiently liquid to trade exclusively on trading venues should vary depending on the class of derivatives or relevant subset thereof concerned. It should be sufficiently long to ensure that the data collected is not skewed by any type of events that may cause unusual trading patterns. In any circumstance the observation period should not be shorter than three months. |
| --- | --- |

(6)

The observation period for determining whether a class of derivatives or relevant subset thereof is sufficiently liquid to trade exclusively on trading venues should vary depending on the class of derivatives or relevant subset thereof concerned. It should be sufficiently long to ensure that the data collected is not skewed by any type of events that may cause unusual trading patterns. In any circumstance the observation period should not be shorter than three months.

| (7) | The criteria described in this Regulation should be designed so that the assessment of one derivative or classes of derivatives may be compared with other derivatives or classes of derivatives with similar characteristics. The identification of classes of derivatives with similar characteristics may include a number of elements such as the currency in which they are traded, maturity dates, the starting term of the contracts' tenor, whether they follow a standard convention or not, and whether they are on-the-run contracts. |
| --- | --- |

(7)

The criteria described in this Regulation should be designed so that the assessment of one derivative or classes of derivatives may be compared with other derivatives or classes of derivatives with similar characteristics. The identification of classes of derivatives with similar characteristics may include a number of elements such as the currency in which they are traded, maturity dates, the starting term of the contracts' tenor, whether they follow a standard convention or not, and whether they are on-the-run contracts.

| (8) | ESMA should refer to historical data indicating shifts in liquidity to determine both whether the class of derivatives or subset thereof is sufficiently liquid to trade only on venues and whether it is only sufficiently liquid in transactions below a certain size. The thresholds for these assessments may vary between classes of derivatives or subsets thereof where the characteristics and the notional size of the classes or subsets vary. In its assessment of spreads, ESMA should have regard to both the average size and the availability of spreads, balancing the consideration that a lack of or wide spreads indicate insufficient liquidity against the possibility that spreads may become narrower through increased transparency and the availability of the financial instruments if the trading obligation is introduced. |
| --- | --- |

(8)

ESMA should refer to historical data indicating shifts in liquidity to determine both whether the class of derivatives or subset thereof is sufficiently liquid to trade only on venues and whether it is only sufficiently liquid in transactions below a certain size. The thresholds for these assessments may vary between classes of derivatives or subsets thereof where the characteristics and the notional size of the classes or subsets vary. In its assessment of spreads, ESMA should have regard to both the average size and the availability of spreads, balancing the consideration that a lack of or wide spreads indicate insufficient liquidity against the possibility that spreads may become narrower through increased transparency and the availability of the financial instruments if the trading obligation is introduced.

| (9) | In its assessment, ESMA should remove from its calculations those trades which are clearly identifiable as post-trade risk reduction trades which reduce non-market risks in derivatives portfolios. To include such transactions in the assessment for the trading obligation may otherwise result in an inflated view of the level of third party buying and selling interest. |
| --- | --- |

(9)

In its assessment, ESMA should remove from its calculations those trades which are clearly identifiable as post-trade risk reduction trades which reduce non-market risks in derivatives portfolios. To include such transactions in the assessment for the trading obligation may otherwise result in an inflated view of the level of third party buying and selling interest.

| (10) | ESMA should also take into consideration the need or otherwise to permit package transactions during its assessment. Investment firms often conduct, on their own account or on behalf of clients, transactions in derivatives and other financial instruments that comprise a number of interlinked trades which are contingent on one another. Given that package transactions enable investment firms and their clients to manage their risks and improve the resiliency of financial markets, it may be desirable to continue to permit the execution of some package transactions which comprise one or more derivatives subject to the trading obligation to be executed, on a bilateral basis, outside a trading venue. |
| --- | --- |

(10)

ESMA should also take into consideration the need or otherwise to permit package transactions during its assessment. Investment firms often conduct, on their own account or on behalf of clients, transactions in derivatives and other financial instruments that comprise a number of interlinked trades which are contingent on one another. Given that package transactions enable investment firms and their clients to manage their risks and improve the resiliency of financial markets, it may be desirable to continue to permit the execution of some package transactions which comprise one or more derivatives subject to the trading obligation to be executed, on a bilateral basis, outside a trading venue.

| (11) | Criteria should also be set out to enable ESMA to determine whether an existing trading obligation for a class of derivatives or a relevant subset thereof should be amended, suspended or revoked, unless the class of derivatives or a relevant subset thereof is no longer traded on at least one trading venue. |
| --- | --- |

(11)

Criteria should also be set out to enable ESMA to determine whether an existing trading obligation for a class of derivatives or a relevant subset thereof should be amended, suspended or revoked, unless the class of derivatives or a relevant subset thereof is no longer traded on at least one trading venue.

| (12) | For reasons of consistency and legal certainty, it is necessary that the provisions of this Regulation and the provisions laid down in Directive 2014/65/EU and Regulation (EU) No 600/2014 apply from the same date. |
| --- | --- |

(12)

For reasons of consistency and legal certainty, it is necessary that the provisions of this Regulation and the provisions laid down in Directive 2014/65/EU and Regulation (EU) No 600/2014 apply from the same date.

| (13) | This Regulation is based on the draft regulatory technical standards submitted by the ESMA to the Commission. |
| --- | --- |

(13)

This Regulation is based on the draft regulatory technical standards submitted by the ESMA to the Commission.

| (14) | ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (4), |
| --- | --- |

(14)

ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (4),

HAS ADOPTED THIS REGULATION:

Article 1

Sufficient third party buying and selling interest

When establishing whether a class of derivatives or relevant subset thereof has sufficient third-party buying and selling interest to be considered sufficiently liquid for the trading obligation, ESMA shall apply the criteria in Article 32(3) of Regulation (EU) No 600/2014, as further specified in Articles 2 to 5 below.

Article 2

Average frequency of trades

1.   In relation to the average frequency of trades, ESMA shall take into consideration the following elements:

| (a) | the number of days on which trading took place; |
| --- | --- |

(a)

the number of days on which trading took place;

| (b) | the number of trades. |
| --- | --- |

(b)

the number of trades.

2.   ESMA analysis of the criteria in paragraph 1 shall take into account the distribution of trading executed on trading venues and executed OTC. ESMA shall assess these criteria over a period of time of sufficient length to determine whether the liquidity of each class of derivatives or a relevant subset thereof is subject to seasonal or structural factors. ESMA shall also consider whether trades are concentrated at certain points in time and over certain sizes over the period assessed and determine to what extent such concentration constitutes predictable patterns.

Article 3

Average size of trades

1.   In relation to the average size of trades, ESMA shall take into consideration the following elements:

| (a) | the average daily turnover whereby the notional size of all trades combined shall be divided by the number of trading days; |
| --- | --- |

(a)

the average daily turnover whereby the notional size of all trades combined shall be divided by the number of trading days;

| (b) | the average value of trades whereby the notional size of all trades combined shall be divided by the number of trades. |
| --- | --- |

(b)

the average value of trades whereby the notional size of all trades combined shall be divided by the number of trades.

2.   ESMA analysis of the criteria in paragraph 1 shall take into account the factors specified in Article 2(2).

Article 4

Number and type of active market participants

1.   In relation to the number and type of active market participants, ESMA shall take into consideration the following elements:

| (a) | the total number of market participants trading in that class of derivatives or relevant subset thereof is not lower than two; |
| --- | --- |

(a)

the total number of market participants trading in that class of derivatives or relevant subset thereof is not lower than two;

| (b) | the number of trading venues that have admitted to trading or are trading the class of derivatives or a relevant subset thereof; |
| --- | --- |

(b)

the number of trading venues that have admitted to trading or are trading the class of derivatives or a relevant subset thereof;

| (c) | the number of market makers and other market participants under a binding written agreement or an obligation to provide liquidity. |
| --- | --- |

(c)

the number of market makers and other market participants under a binding written agreement or an obligation to provide liquidity.

2.   ESMA analysis shall compare the ratio of market participants to the findings in the data obtained for the analyses of average size of trades and the average frequency of trades.

Article 5

Average size of spreads

1.   In relation to the average size of spreads, ESMA shall take into consideration the following elements:

| (a) | the size of weighted spreads, including volume weighted spreads, over different periods of time; |
| --- | --- |

(a)

the size of weighted spreads, including volume weighted spreads, over different periods of time;

| (b) | spreads at different points in time of trading sessions. |
| --- | --- |

(b)

spreads at different points in time of trading sessions.

2.   Where information on spreads is not available, ESMA shall take into consideration a proxy for the assessment of this criterion.

Article 6

Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Official Journal of the European Union

It shall apply from the date referred to in the second paragraph of Article 55 of Regulation (EU) No 600/2014.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 26 May 2016.

For the Commission

The President

Jean-Claude JUNCKER

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(1)  
  OJ L 173, 12.6.2014, p. 84.

1

(2)  Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1)

2

(3)  Directive 2014/65/EU of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Directive 2002/92/EC and Directive 2011/61/EU (OJ L 173, 12.6.2014, p. 349).

3

(4)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

4

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| 19.11.2016 | EN | Official Journal of the European Union | L 313/6 |
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19.11.2016

EN

Official Journal of the European Union

L 313/6

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COMMISSION DELEGATED REGULATION (EU) 2016/2021

of 2 June 2016

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council on markets in financial instruments with regard to regulatory technical standards on access in respect of benchmarks

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (1), and in particular the third subparagraph of Article 37(4) thereof,

Whereas:

| (1) | Regulation (EU) No 600/2014 provides for the non-discriminatory access for clearing and trading between central counterparties (CCPs) and trading venues, including access to licences of and information relating to benchmarks which are used to determine the value of some financial instruments for trading and clearing purposes. Given the variety of benchmarks, the information CCPs and trading venues need for clearing or trading purposes may vary depending on a number of factors, including the relevant financial instrument being traded or cleared and the type of benchmark that the financial instrument references. Therefore, CCPs and trading venues should be allowed to request access to any information, provided it is required for clearing or trading purposes. |
| --- | --- |

(1)

Regulation (EU) No 600/2014 provides for the non-discriminatory access for clearing and trading between central counterparties (CCPs) and trading venues, including access to licences of and information relating to benchmarks which are used to determine the value of some financial instruments for trading and clearing purposes. Given the variety of benchmarks, the information CCPs and trading venues need for clearing or trading purposes may vary depending on a number of factors, including the relevant financial instrument being traded or cleared and the type of benchmark that the financial instrument references. Therefore, CCPs and trading venues should be allowed to request access to any information, provided it is required for clearing or trading purposes.

| (2) | The diversity of benchmarks and the different uses identified render a one size fits all approach inappropriate and a high degree of harmonisation on the content of licence agreements unsuitable. Limiting the conditions under which access is granted on predetermined and exhaustive terms might therefore be detrimental to all parties. |
| --- | --- |

(2)

The diversity of benchmarks and the different uses identified render a one size fits all approach inappropriate and a high degree of harmonisation on the content of licence agreements unsuitable. Limiting the conditions under which access is granted on predetermined and exhaustive terms might therefore be detrimental to all parties.

| (3) | A person with proprietary rights to a benchmark should be able to set different conditions for different categories of CCPs and trading venues to access its benchmark only where objectively justified, such as in terms of the quantity, scope or field of use demanded and applied in a proportionate manner. The different categories and the criteria defining the various categories of CCPs and trading venues should be made publicly available. |
| --- | --- |

(3)

A person with proprietary rights to a benchmark should be able to set different conditions for different categories of CCPs and trading venues to access its benchmark only where objectively justified, such as in terms of the quantity, scope or field of use demanded and applied in a proportionate manner. The different categories and the criteria defining the various categories of CCPs and trading venues should be made publicly available.

| (4) | The way a benchmark is assessed as new or not will vary on a case by case basis. The person with proprietary rights to a benchmark should therefore demonstrate in what way that benchmark is new, if that is invoked as the reason for denying immediate access. Each assessment of a declared new benchmark should consider a combination of various factors and their appropriate weightings and not rely on a single factor to assess whether or not the benchmark meets the criteria specified in Regulation (EU) No 600/2014. |
| --- | --- |

(4)

The way a benchmark is assessed as new or not will vary on a case by case basis. The person with proprietary rights to a benchmark should therefore demonstrate in what way that benchmark is new, if that is invoked as the reason for denying immediate access. Each assessment of a declared new benchmark should consider a combination of various factors and their appropriate weightings and not rely on a single factor to assess whether or not the benchmark meets the criteria specified in Regulation (EU) No 600/2014.

| (5) | Although the values of two benchmarks could be highly correlated, particularly in the short run, their compositions or methodology could be fundamentally different. The long run correlation and similarities in the composition and the methodology of each of the benchmarks should therefore be taken into account for assessing whether a benchmark is new. Considering the heterogeneity of benchmarks, in addition to the factors laid down in this Regulation, a person with proprietary rights to a benchmark should also take into account additional factors, considering standards in use, that are specific to the type of benchmark concerned. For commodity benchmarks other factors should be assessed, including whether the relevant benchmarks are based on different underlying commodities and different delivery locations. |
| --- | --- |

(5)

Although the values of two benchmarks could be highly correlated, particularly in the short run, their compositions or methodology could be fundamentally different. The long run correlation and similarities in the composition and the methodology of each of the benchmarks should therefore be taken into account for assessing whether a benchmark is new. Considering the heterogeneity of benchmarks, in addition to the factors laid down in this Regulation, a person with proprietary rights to a benchmark should also take into account additional factors, considering standards in use, that are specific to the type of benchmark concerned. For commodity benchmarks other factors should be assessed, including whether the relevant benchmarks are based on different underlying commodities and different delivery locations.

| (6) | New series of benchmarks are released on a periodic basis, such as credit default swaps benchmarks. In those cases, the newly released benchmark is a continuation of the previous series and should therefore not be considered a new benchmark. |
| --- | --- |

(6)

New series of benchmarks are released on a periodic basis, such as credit default swaps benchmarks. In those cases, the newly released benchmark is a continuation of the previous series and should therefore not be considered a new benchmark.

| (7) | For reasons of consistency and in order to ensure the smooth functioning of the financial markets, it is necessary that the provisions laid down in this Regulation and the provisions laid down in Regulation (EU) No 600/2014 apply from the same date. |
| --- | --- |

(7)

For reasons of consistency and in order to ensure the smooth functioning of the financial markets, it is necessary that the provisions laid down in this Regulation and the provisions laid down in Regulation (EU) No 600/2014 apply from the same date.

| (8) | This Regulation is based on the draft regulatory technical standards submitted by the European Securities and Markets Authority (ESMA) to the Commission. |
| --- | --- |

(8)

This Regulation is based on the draft regulatory technical standards submitted by the European Securities and Markets Authority (ESMA) to the Commission.

| (9) | ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2), |
| --- | --- |

(9)

ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established by Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2),

HAS ADOPTED THIS REGULATION:

Article 1

Information to be made available to CCPs and trading venues

1.   A person with proprietary rights to a benchmark shall, upon request, make available to central counterparties (CCPs) and trading venues the information necessary for performing their clearing or trading functions, as appropriate to the specific type of benchmark to which access is sought and to the relevant financial instrument to be traded or cleared.

2.   A CCP or trading venue shall in its request explain why such information is required for clearing or trading purposes.

3.   For the purposes of paragraph 1, relevant trading and clearing functions shall at least include the following:

| (a) | for a trading venue:






  (i) | the initial assessment of the characteristics of the benchmark; |
| --- | --- | --- |

(a)

for a trading venue:

(i)

the initial assessment of the characteristics of the benchmark;

| (ii) | the marketing of the relevant product; |
| --- | --- |

(ii)

the marketing of the relevant product;

| (iii) | the support of the price formation process for the contracts admitted or being admitted to trading; |
| --- | --- |

(iii)

the support of the price formation process for the contracts admitted or being admitted to trading;

| (iv) | the on-going market surveillance activities; |
| --- | --- |

(iv)

the on-going market surveillance activities;

| (b) | for a CCP:






  (i) | appropriate risk management of relevant open positions in exchange-traded derivatives, including netting; |
| --- | --- | --- |

(b)

for a CCP:

(i)

appropriate risk management of relevant open positions in exchange-traded derivatives, including netting;

| (ii) | compliance with relevant obligations set out in Regulation (EU) No 648/2012 of the European Parliament and of the Council (3). |
| --- | --- |

(ii)

compliance with relevant obligations set out in Regulation (EU) No 648/2012 of the European Parliament and of the Council (3).

4.   Relevant information in respect of price and data feeds referred to in Article 37(1)(a) of Regulation (EU) No 600/2014 shall at least include:

| (a) | a feed of the benchmark's values; |
| --- | --- |

(a)

a feed of the benchmark's values;

| (b) | prompt notification of any inaccuracy in the calculation of the benchmark values and of the updated or corrected benchmark values; |
| --- | --- |

(b)

prompt notification of any inaccuracy in the calculation of the benchmark values and of the updated or corrected benchmark values;

| (c) | historical benchmark values where the person with proprietary rights to the benchmark maintains such information. |
| --- | --- |

(c)

historical benchmark values where the person with proprietary rights to the benchmark maintains such information.

5.   In respect of composition, methodology and pricing, the information provided shall allow CCPs and trading venues to understand how each benchmark value is created, and the actual methodology used to make the benchmark values. Relevant information in respect of composition, methodology and pricing shall at least include:

| (a) | the definitions for all key terms used in relation to the benchmark; |
| --- | --- |

(a)

the definitions for all key terms used in relation to the benchmark;

| (b) | the rationale for adopting a methodology and procedures for the review and approval of the methodology; |
| --- | --- |

(b)

the rationale for adopting a methodology and procedures for the review and approval of the methodology;

| (c) | the criteria and procedures used to determine the benchmark, including a description of the input data, the priority given to different types of input data, the use of any models or methods of extrapolation and any procedure for rebalancing the constituents of a benchmark; |
| --- | --- |

(c)

the criteria and procedures used to determine the benchmark, including a description of the input data, the priority given to different types of input data, the use of any models or methods of extrapolation and any procedure for rebalancing the constituents of a benchmark;

| (d) | the controls and rules that govern any exercise of discretion or judgement, to ensure consistency in the use of such discretion or judgment; |
| --- | --- |

(d)

the controls and rules that govern any exercise of discretion or judgement, to ensure consistency in the use of such discretion or judgment;

| (e) | the procedures which govern benchmark determination in periods of stress, or periods where transaction data sources may be insufficient, inaccurate or unreliable and the potential limitations of the benchmark in such periods; |
| --- | --- |

(e)

the procedures which govern benchmark determination in periods of stress, or periods where transaction data sources may be insufficient, inaccurate or unreliable and the potential limitations of the benchmark in such periods;

| (f) | the hours during which the benchmark is calculated; |
| --- | --- |

(f)

the hours during which the benchmark is calculated;

| (g) | the procedures which govern the benchmark's rebalancing methodology and the resulting weightings of the constituents of the benchmark; |
| --- | --- |

(g)

the procedures which govern the benchmark's rebalancing methodology and the resulting weightings of the constituents of the benchmark;

| (h) | the procedures for dealing with errors in input data, or the benchmark determination, including when a re-determination of the benchmark may be required; |
| --- | --- |

(h)

the procedures for dealing with errors in input data, or the benchmark determination, including when a re-determination of the benchmark may be required;

| (i) | information regarding the frequency for any internal reviews and approvals of the composition and methodology and, where applicable, information regarding the procedures and frequency for external review of the composition and methodology. |
| --- | --- |

(i)

information regarding the frequency for any internal reviews and approvals of the composition and methodology and, where applicable, information regarding the procedures and frequency for external review of the composition and methodology.

Article 2

General conditions for the information through licensing to be provided to CCPs and trading venues

1.   A person with proprietary rights to a benchmark shall make available all relevant information referred to in Article 1 requested by CCPs and trading venues through licensing without undue delay, either on a one-off basis, including amendments to previously provided information, or on a continuous or periodic basis, depending on the type of information concerned.

2.   A person with proprietary rights to a benchmark shall provide all relevant information referred to in Article 1 to all CCPs and trading venues through licensing on the same timescales and under the same conditions, unless different conditions can be objectively justified.

3.   The requirements in paragraphs 1 and 2 do not apply if, and for as long as, a person with proprietary rights to a benchmark can demonstrate that certain information is available publicly or through other commercial means to CCPs and trading venues, if such information is reliable and timely.

Article 3

Differentiation and non-discrimination

1.   Where a person with proprietary rights to a benchmark sets, in accordance with Article 37(1) of Regulation (EU) No 600/2014, different conditions, including fees and their payment conditions, those conditions shall apply in a manner specific to each category of licensees.

2.   A person with proprietary rights to a benchmark shall set the same rights and obligations for the licensees within the same category.

3.   A person with proprietary rights to a benchmark shall make the criteria defining the different categories of licensees publicly available.

4.   A person with proprietary rights to a benchmark shall, on request, provide to any CCP or trading venue for free the conditions applying to the category to which that CCP or trading venue belongs.

5.   A person with proprietary rights to a benchmark shall make available to all licensees within the same category any additions to or modifications of the conditions for licensing agreements agreed with a licensee within that category under the same conditions.

Article 4

Other conditions under which access is granted

1.   A person with proprietary rights to a benchmark shall set the conditions for licensing agreements and make them available to CCPs and trading venues upon request free of charge. The conditions shall include the following:

| (a) | the scope of use and content of information for each use under the licensing agreements, clearly identifying in each case confidential information; |
| --- | --- |

(a)

the scope of use and content of information for each use under the licensing agreements, clearly identifying in each case confidential information;

| (b) | the conditions for redistribution, if allowed, of information by CCPs and trading venues; |
| --- | --- |

(b)

the conditions for redistribution, if allowed, of information by CCPs and trading venues;

| (c) | the technical requirements for the delivery of the service; |
| --- | --- |

(c)

the technical requirements for the delivery of the service;

| (d) | the fees and the conditions for paying them; |
| --- | --- |

(d)

the fees and the conditions for paying them;

| (e) | the conditions under which the agreement expires taking into consideration the lifespan of financial instruments that reference the benchmark; |
| --- | --- |

(e)

the conditions under which the agreement expires taking into consideration the lifespan of financial instruments that reference the benchmark;

| (f) | the contingency circumstances and the relevant measures to regulate the continuation, transitional periods and interruption of the service during a contingency period, which:






  (i) | allow for termination in an orderly manner; |
| --- | --- | --- |

(f)

the contingency circumstances and the relevant measures to regulate the continuation, transitional periods and interruption of the service during a contingency period, which:

(i)

allow for termination in an orderly manner;

| (ii) | ensure that termination is not triggered by minor breaches of the contract and that the relevant party is given a reasonable amount of time to remedy any breach that does not give rise to immediate termination; |
| --- | --- |

(ii)

ensure that termination is not triggered by minor breaches of the contract and that the relevant party is given a reasonable amount of time to remedy any breach that does not give rise to immediate termination;

| (g) | the governing law and allocation of liabilities. |
| --- | --- |

(g)

the governing law and allocation of liabilities.

2.   The licensing agreement shall require that CCPs, trading venues and persons with proprietary rights to a benchmark establish adequate policies, procedures and systems to ensure the following:

| (a) | implementation of the service without undue delay according to a prearranged schedule; |
| --- | --- |

(a)

implementation of the service without undue delay according to a prearranged schedule;

| (b) | keeping up to date all information provided by the parties throughout the duration of the access arrangement, including information that could have a reputational impact; |
| --- | --- |

(b)

keeping up to date all information provided by the parties throughout the duration of the access arrangement, including information that could have a reputational impact;

| (c) | a communication channel between the parties that is timely, reliable and secure during the lifetime of the licence agreement; |
| --- | --- |

(c)

a communication channel between the parties that is timely, reliable and secure during the lifetime of the licence agreement;

| (d) | consultation where any change to either entity's operations is likely to have a material impact on the licence agreement or on the risks to which the other entity is exposed and notification within a reasonable notice period before any change to either entity's operation is implemented; |
| --- | --- |

(d)

consultation where any change to either entity's operations is likely to have a material impact on the licence agreement or on the risks to which the other entity is exposed and notification within a reasonable notice period before any change to either entity's operation is implemented;

| (e) | the provision of information and the relevant instructions to transmit and use it through the technical means agreed; |
| --- | --- |

(e)

the provision of information and the relevant instructions to transmit and use it through the technical means agreed;

| (f) | the provision of up-to-date information to persons with proprietary rights to a benchmark regarding the redistribution, if allowed, of information to clearing members of CCPs and members or participants of trading venues; |
| --- | --- |

(f)

the provision of up-to-date information to persons with proprietary rights to a benchmark regarding the redistribution, if allowed, of information to clearing members of CCPs and members or participants of trading venues;

| (g) | resolution of disputes and termination of the agreement occurs in an orderly manner according to the identified circumstances. |
| --- | --- |

(g)

resolution of disputes and termination of the agreement occurs in an orderly manner according to the identified circumstances.

Article 5

Standards guiding how a benchmark may be proven to be new

1.   When establishing whether a new benchmark meets the criteria set out in points (a) and (b) of Article 37(2) of Regulation (EU) No 600/2014, a person with proprietary rights to a benchmark shall take the following standards into account:

| (a) | whether contracts based on the more recent benchmark are not capable of being netted nor substantially offset with contracts based on the relevant existing benchmark by a CCP; |
| --- | --- |

(a)

whether contracts based on the more recent benchmark are not capable of being netted nor substantially offset with contracts based on the relevant existing benchmark by a CCP;

| (b) | whether the regions and industry sectors covered by the relevant benchmarks are not the same, nor similar; |
| --- | --- |

(b)

whether the regions and industry sectors covered by the relevant benchmarks are not the same, nor similar;

| (c) | whether the values of the relevant benchmarks are not highly correlated; |
| --- | --- |

(c)

whether the values of the relevant benchmarks are not highly correlated;

| (d) | whether composition of the relevant benchmarks, having regard to the number of constituents, the actual constituents, their values and their weightings are not the same, nor similar; |
| --- | --- |

(d)

whether composition of the relevant benchmarks, having regard to the number of constituents, the actual constituents, their values and their weightings are not the same, nor similar;

| (e) | whether the methodologies of each relevant benchmark are not the same, nor similar. |
| --- | --- |

(e)

whether the methodologies of each relevant benchmark are not the same, nor similar.

2.   For commodity benchmarks, in addition to the standards specified in paragraph 1, the following additional standards shall be taken into account:

| (a) | whether the relevant benchmarks are not based on the same underlying commodities; |
| --- | --- |

(a)

whether the relevant benchmarks are not based on the same underlying commodities;

| (b) | whether the delivery locations of the underlying commodities are not the same. |
| --- | --- |

(b)

whether the delivery locations of the underlying commodities are not the same.

3.   In addition to the standards specified in paragraphs 1 and 2, a person with proprietary rights to a benchmark shall take into account further standards in use specific to the types of benchmarks being assessed, as appropriate.

4.   A newly released series of a benchmark shall not constitute a new benchmark.

Article 6

Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Official Journal of the European Union

It shall apply from the date referred to in the fourth paragraph of Article 55 of Regulation (EU) No 600/2014.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 2 June 2016.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 173, 12.6.2014, p. 84.

1

(2)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

2

(3)  Regulation (EU) No 648/2012 of the European Parliament and of the Council of 4 July 2012 on OTC derivatives, central counterparties and trade repositories (OJ L 201, 27.7.2012, p. 1).

3

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/11 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/11

---

COMMISSION DELEGATED REGULATION (EU) 2016/2022

of 14 July 2016

supplementing Regulation (EU) No 600/2014 of the European Parliament and of the Council with regard to regulatory technical standards concerning the information for registration of third-country firms and the format of information to be provided to the clients

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 600/2014 of the European Parliament and of the Council of 15 May 2014 on markets in financial instruments and amending Regulation (EU) No 648/2012 (1), and in particular Article 46(7) thereof,

Whereas:

| (1) | Regulation (EU) No 600/2014 sets out a harmonised framework for the treatment of third-country firms accessing the Union to provide investment services and activities to eligible counterparties and to professional clients. |
| --- | --- |

(1)

Regulation (EU) No 600/2014 sets out a harmonised framework for the treatment of third-country firms accessing the Union to provide investment services and activities to eligible counterparties and to professional clients.

| (2) | It is appropriate to set out the information that a third-country firm applying for the provision of investment services or performance of activities throughout the Union should provide to the European Securities and Markets Authority (ESMA) and the format in which the information to clients as referred to in Article 46(5) of Regulation (EU) No 600/2014 should be provided in order to establish uniform requirements relating to third-country firms and to benefit from the possibility to provide services throughout the Union. |
| --- | --- |

(2)

It is appropriate to set out the information that a third-country firm applying for the provision of investment services or performance of activities throughout the Union should provide to the European Securities and Markets Authority (ESMA) and the format in which the information to clients as referred to in Article 46(5) of Regulation (EU) No 600/2014 should be provided in order to establish uniform requirements relating to third-country firms and to benefit from the possibility to provide services throughout the Union.

| (3) | In order to enable ESMA to correctly identify and register the third-country firms, ESMA should be provided with their contact details, their national and international identification codes and proof of their authorisation to provide investment services in the country where the firm is established. |
| --- | --- |

(3)

In order to enable ESMA to correctly identify and register the third-country firms, ESMA should be provided with their contact details, their national and international identification codes and proof of their authorisation to provide investment services in the country where the firm is established.

| (4) | Attention should be paid to the language and layout used to provide information to clients by third-country firms, in order to ensure that the information is understandable and clear. |
| --- | --- |

(4)

Attention should be paid to the language and layout used to provide information to clients by third-country firms, in order to ensure that the information is understandable and clear.

| (5) | The application of this Regulation should be deferred in order to be aligned with the date of application of Regulation (EU) No 600/2014. |
| --- | --- |

(5)

The application of this Regulation should be deferred in order to be aligned with the date of application of Regulation (EU) No 600/2014.

| (6) | This Regulation is based on the draft regulatory technical standards submitted by ESMA to the Commission. |
| --- | --- |

(6)

This Regulation is based on the draft regulatory technical standards submitted by ESMA to the Commission.

| (7) | ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2), |
| --- | --- |

(7)

ESMA has conducted open public consultations on the draft regulatory technical standards on which this Regulation is based, analysed the potential related costs and benefits and requested the opinion of the Securities and Markets Stakeholder Group established in accordance with Article 37 of Regulation (EU) No 1095/2010 of the European Parliament and of the Council (2),

HAS ADOPTED THIS REGULATION:

Article 1

Information necessary for the registration

A third-country firm applying for the provision of investment services or performance of activities throughout the Union in accordance with the second subparagraph of Article 46(4) of Regulation (EU) No 600/2014 shall submit the following information to ESMA:

| (a) | full name of the firm, including its legal name and any other trading name to be used by the firm; |
| --- | --- |

(a)

full name of the firm, including its legal name and any other trading name to be used by the firm;

| (b) | contact details of the firm, including the head office address, telephone number and email address; |
| --- | --- |

(b)

contact details of the firm, including the head office address, telephone number and email address;

| (c) | contact details of the person in charge of the application, including telephone number and email address; |
| --- | --- |

(c)

contact details of the person in charge of the application, including telephone number and email address;

| (d) | website, where available; |
| --- | --- |

(d)

website, where available;

| (e) | national identification number of the firm, where available; |
| --- | --- |

(e)

national identification number of the firm, where available;

| (f) | legal entity identifier (LEI) of the firm, where available; |
| --- | --- |

(f)

legal entity identifier (LEI) of the firm, where available;

| (g) | Business Identifier Code (BIC) of the firm, where available; |
| --- | --- |

(g)

Business Identifier Code (BIC) of the firm, where available;

| (h) | name and address of the competent authority of the third country that is responsible for the supervision of the firm; where more than one authority is responsible for supervision, the details of the respective areas of competence shall be provided; |
| --- | --- |

(h)

name and address of the competent authority of the third country that is responsible for the supervision of the firm; where more than one authority is responsible for supervision, the details of the respective areas of competence shall be provided;

| (i) | the link to the register of each competent authority of the third country, where available; |
| --- | --- |

(i)

the link to the register of each competent authority of the third country, where available;

| (j) | information on which investment services, activities, and ancillary services it is authorised to provide in the country where the firm is established; |
| --- | --- |

(j)

information on which investment services, activities, and ancillary services it is authorised to provide in the country where the firm is established;

| (k) | the investment services to be provided and activities to be performed in the Union, together with any ancillary services. |
| --- | --- |

(k)

the investment services to be provided and activities to be performed in the Union, together with any ancillary services.

Article 2

Information submission requirements

1.   The third-country firm shall inform ESMA, within 30 days, of any change of the information provided under Article 1(a) to (g), (j) and (k).

2.   Information provided to ESMA under Article 1(j) shall be provided through a written declaration issued by a competent authority of the third country.

3.   The information provided to ESMA under Article 1 shall be in English, using the Latin alphabet. Any accompanying documents provided to ESMA under Article 1 and in paragraph 2 of this Article shall be in English or, where they have been written in a different language, a certified English translation shall also be provided.

Article 3

Information concerning type of clients in the Union

1.   A third-country firm shall provide the information referred to in Article 46(5) of Regulation (EU) No 600/2014 to the clients in a durable medium.

2.   The information referred to in Article 46(5) of Regulation (EU) No 600/2014, shall be:

| (a) | provided in English or in the official language, or one of the official languages, of the Member State where the services are to be provided; |
| --- | --- |

(a)

provided in English or in the official language, or one of the official languages, of the Member State where the services are to be provided;

| (b) | presented and laid out in a way that is easy to read, using characters of readable size; |
| --- | --- |

(b)

presented and laid out in a way that is easy to read, using characters of readable size;

| (c) | without using colours that may diminish the comprehensibility of the information. |
| --- | --- |

(c)

without using colours that may diminish the comprehensibility of the information.

Article 4

Entry into force and application

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Official Journal of the European Union

It shall apply from the date referred to in the second paragraph of Article 55 of Regulation (EU) No 600/2014.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 14 July 2016.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 173, 12.6.2014, p. 84.

1

(2)  Regulation (EU) No 1095/2010 of the European Parliament and of the Council of 24 November 2010 establishing a European Supervisory Authority (European Securities and Markets Authority), amending Decision No 716/2009/EC and repealing Commission Decision 2009/77/EC (OJ L 331, 15.12.2010, p. 84).

2

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/14 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/14

---

COMMISSION IMPLEMENTING REGULATION (EU) 2016/2023

of 18 November 2016

concerning the authorisation of sodium benzoate, potassium sorbate, formic acid and sodium formate as feed additives for all animal species

(Text with EEA relevance)

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EC) No 1831/2003 of the European Parliament and of the Council of 22 September 2003 on additives for use in animal nutrition (1), and in particular Article 9(2) thereof,

Whereas:

| (1) | Regulation (EC) No 1831/2003 provides for the authorisation of additives for use in animal nutrition and for the grounds and procedures for granting such authorisation. Article 10(7) of Regulation (EC) No 1831/2003 in conjunction with Article 10(1) to (4) thereof sets out specific provisions for the evaluation of products used in the Union as silage additives. |
| --- | --- |

(1)

Regulation (EC) No 1831/2003 provides for the authorisation of additives for use in animal nutrition and for the grounds and procedures for granting such authorisation. Article 10(7) of Regulation (EC) No 1831/2003 in conjunction with Article 10(1) to (4) thereof sets out specific provisions for the evaluation of products used in the Union as silage additives.

| (2) | In accordance with Article 10(1)(b) of Regulation (EC) No 1831/2003, sodium benzoate was entered in the Register of Feed Additives as existing product belonging to the functional group of silage additives, for all animal species. |
| --- | --- |

(2)

In accordance with Article 10(1)(b) of Regulation (EC) No 1831/2003, sodium benzoate was entered in the Register of Feed Additives as existing product belonging to the functional group of silage additives, for all animal species.

| (3) | In accordance with Article 10(2) of Regulation (EC) No 1831/2003 in conjunction with Article 7 thereof, application was submitted for the authorisation of sodium benzoate and in accordance with Article 7 of Regulation (EC) No 1831/2003 applications were submitted for the authorisations of potassium sorbate, formic acid and sodium formate. Those applications were accompanied by the particulars and documents required under Article 7(3) of Regulation (EC) No 1831/2003. |
| --- | --- |

(3)

In accordance with Article 10(2) of Regulation (EC) No 1831/2003 in conjunction with Article 7 thereof, application was submitted for the authorisation of sodium benzoate and in accordance with Article 7 of Regulation (EC) No 1831/2003 applications were submitted for the authorisations of potassium sorbate, formic acid and sodium formate. Those applications were accompanied by the particulars and documents required under Article 7(3) of Regulation (EC) No 1831/2003.

| (4) | Those applications concern the authorisations of sodium benzoate, potassium sorbate, formic acid and sodium formate as feed additives for all animal species to be classified in the category ‘technological additives’. |
| --- | --- |

(4)

Those applications concern the authorisations of sodium benzoate, potassium sorbate, formic acid and sodium formate as feed additives for all animal species to be classified in the category ‘technological additives’.

| (5) | The European Food Safety Authority (‘the Authority’) concluded in its opinion of 13 June 2012 (2) that, under the proposed conditions of use, sodium benzoate does not have an adverse effect on animal health, human health or the environment; however it was considered as a potential sensitizer and a risk for inhalation cannot be excluded. The Authority also concluded that the additive has a potential to improve the production of silage by reducing the pH and increasing the preservation of dry matter in easy, moderate difficult and difficult to ensile material. |
| --- | --- |

(5)

The European Food Safety Authority (‘the Authority’) concluded in its opinion of 13 June 2012 (2) that, under the proposed conditions of use, sodium benzoate does not have an adverse effect on animal health, human health or the environment; however it was considered as a potential sensitizer and a risk for inhalation cannot be excluded. The Authority also concluded that the additive has a potential to improve the production of silage by reducing the pH and increasing the preservation of dry matter in easy, moderate difficult and difficult to ensile material.

| (6) | The Authority concluded in its opinion of 18 June 2013 (3) that, under the proposed conditions of use, potassium sorbate does not have an adverse effect on animal health, human health or the environment; however it was considered irritant for skin and eyes and potential irritant to respiratory tract. The Authority also concluded that the additive has a potential to improve the aerobic stability of silage in easy and moderate difficult to ensile material. |
| --- | --- |

(6)

The Authority concluded in its opinion of 18 June 2013 (3) that, under the proposed conditions of use, potassium sorbate does not have an adverse effect on animal health, human health or the environment; however it was considered irritant for skin and eyes and potential irritant to respiratory tract. The Authority also concluded that the additive has a potential to improve the aerobic stability of silage in easy and moderate difficult to ensile material.

| (7) | The Authority concluded in its opinion of 11 September 2014 (4) that, under the proposed conditions of use, formic acid does not have an adverse effect on animal health, human health or the environment; however it was considered corrosive for skin and eyes and respiratory tract. The Authority also concluded that the additive has a potential to improve the ensiling process and the quality of the silage in aerobic stability of silage in easy, in moderate difficult and difficult to ensile material. |
| --- | --- |

(7)

The Authority concluded in its opinion of 11 September 2014 (4) that, under the proposed conditions of use, formic acid does not have an adverse effect on animal health, human health or the environment; however it was considered corrosive for skin and eyes and respiratory tract. The Authority also concluded that the additive has a potential to improve the ensiling process and the quality of the silage in aerobic stability of silage in easy, in moderate difficult and difficult to ensile material.

| (8) | The Authority concluded in its opinion of 11 March 2015 (5) that, under the proposed conditions of use, sodium formate does not have an adverse effect on animal health, human health or the environment; however the liquid form was considered corrosive for skin and eyes and to respiratory tract. The Authority also concluded that the additive has a potential to improve the preservation of nutrients by reducing the dry matter loss in easy, moderate and difficult to ensile material. |
| --- | --- |

(8)

The Authority concluded in its opinion of 11 March 2015 (5) that, under the proposed conditions of use, sodium formate does not have an adverse effect on animal health, human health or the environment; however the liquid form was considered corrosive for skin and eyes and to respiratory tract. The Authority also concluded that the additive has a potential to improve the preservation of nutrients by reducing the dry matter loss in easy, moderate and difficult to ensile material.

| (9) | For sodium benzoate, potassium sorbate, formic acid and sodium formate, the Authority does not consider that there is a need for specific requirements of post-market monitoring. It also verified the report on the method of analysis of the feed additives in feed submitted by the Reference Laboratory set up by Regulation (EC) No 1831/2003. |
| --- | --- |

(9)

For sodium benzoate, potassium sorbate, formic acid and sodium formate, the Authority does not consider that there is a need for specific requirements of post-market monitoring. It also verified the report on the method of analysis of the feed additives in feed submitted by the Reference Laboratory set up by Regulation (EC) No 1831/2003.

| (10) | The assessments of sodium benzoate, potassium sorbate, formic acid and sodium formate show that the conditions for authorisation, as provided for in Article 5 of Regulation (EC) No 1831/2003, are satisfied. Accordingly, the use of those additives should be authorised as specified in the Annex to this Regulation. |
| --- | --- |

(10)

The assessments of sodium benzoate, potassium sorbate, formic acid and sodium formate show that the conditions for authorisation, as provided for in Article 5 of Regulation (EC) No 1831/2003, are satisfied. Accordingly, the use of those additives should be authorised as specified in the Annex to this Regulation.

| (11) | Since safety reasons do not require the immediate application of the modifications to the conditions of authorisation of sodium benzoate, it is appropriate to allow a transitional period for interested parties to prepare themselves to meet the new requirements resulting from the authorisation. |
| --- | --- |

(11)

Since safety reasons do not require the immediate application of the modifications to the conditions of authorisation of sodium benzoate, it is appropriate to allow a transitional period for interested parties to prepare themselves to meet the new requirements resulting from the authorisation.

| (12) | The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed, |
| --- | --- |

(12)

The measures provided for in this Regulation are in accordance with the opinion of the Standing Committee on Plants, Animals, Food and Feed,

HAS ADOPTED THIS REGULATION:

Article 1

Authorisation

The additives specified in the Annex, belonging to the additive category ‘technological additives’ and to the functional group ‘silage additives’, are authorised as additives in animal nutrition, subject to the conditions laid down in that Annex.

Article 2

Transitional measures

The sodium benzoate specified in the Annex and feed containing it, which are produced and labelled before 9 June 2017 in accordance with the rules applicable before 9 December 2016 may continue to be placed on the market and used until the existing stocks are exhausted.

Article 3

Entry into force

This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.

Official Journal of the European Union

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 18 November 2016.

For the Commission

The President

Jean-Claude JUNCKER

---

(1)  
  OJ L 268, 18.10.2003, p. 29.

1

(2)  EFSA Journal 2012;10(7):2779.

2

(3)  EFSA Journal 2013;11(7):3283.

3

(4)  EFSA Journal 2014;1(10):3827.

4

(5)  EFSA Journal 2015;13(5):4056.

5

---

ANNEX

| Identification number of the additive | Name of the holder of authorisation | Additive | Composition, chemical formula, description, analytical method | Species or category of animal | Maximum age | Minimum content | Maximum content | Other provisions | End of period of authorisation |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| mg/kg of complete feedingstuff with a moisture content of 12 % |
| Category of technological additives. Functional group: silage additives |
| 1k301 | — | Sodium benzoate | Additive composition

  Sodium benzoate ≥ 99,5 %
  Solid form

  Characterisation of the active substance

  Sodium benzoate ≥ 99,5 %
  C7 H5 Na O2

  CAS no 532-32-1
  Produced by chemical synthesis

  Analytical method
   (1)

  For the determination of sodium benzoate: titrimetric method (01/2008:0123 of European Pharmacopoeia). | All animal species | — | | 2 400 | 1. | For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves. |

Identification number of the additive

Name of the holder of authorisation

Additive

Composition, chemical formula, description, analytical method

Species or category of animal

Maximum age

Minimum content

Maximum content

Other provisions

End of period of authorisation

mg/kg of complete feedingstuff with a moisture content of 12 %

Category of technological additives. Functional group: silage additives

1k301

—

Sodium benzoate

Additive composition

Sodium benzoate ≥ 99,5 %

Solid form

Characterisation of the active substance

Sodium benzoate ≥ 99,5 %

C7 H5 Na O2

CAS no 532-32-1

Produced by chemical synthesis

Analytical method
   (1)

For the determination of sodium benzoate: titrimetric method (01/2008:0123 of European Pharmacopoeia).

All animal species

—

2 400

1.

For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.

| 2. | The mixture of different sources of sodium benzoate shall not exceed the permitted maximum contents. |
| --- | --- |

2.

The mixture of different sources of sodium benzoate shall not exceed the permitted maximum contents.

9 December 2026

1k202

—

Potassium sorbate

Additive composition

Potassium sorbate ≥ 99 %

Solid form

Characterisation of the active substance

Potassium sorbate ≥ 99 %

C6 H7 KO2

CAS no 24634-61-5

Produced by chemical synthesis

Analytical method
   (1)

For the determination of potassium sorbate in feed additive: titration with perchloric acid (European Pharmacopoeia, monographs 6.0 method 01/2008:0618).

For the determination of potassium sorbate in premixture and feedingstuffs: ion exclusion High Performance Liquid Chromatography with UV detection (HPLC-UV).

All animal species

300

| 1. | For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves. |
| --- | --- |

1.

For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.

| 2. | The additive shall be used in easy and moderate difficult to ensile materials. (2) |
| --- | --- |

2.

The additive shall be used in easy and moderate difficult to ensile materials. (2)

9 December 2026

1k236

—

Formic acid

Additive composition

Formic acid (≥ 84,5 %)

Liquid form

Characterisation of the active substance

Formic acid ≥ 84,5 %

H2CO2

CAS no 64-18-6

Analytical method
   (1)

For the determination of formic acid: ion chromatography method equipped with electrical conductivity detection (IC-ECD).

All animal species

—

10 000

| 1. | For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves |
| --- | --- |

1.

For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves

| 2. | The mixture of different sources of formic acid shall not exceed the permitted maximum content in complete feedingstuffs. |
| --- | --- |

2.

The mixture of different sources of formic acid shall not exceed the permitted maximum content in complete feedingstuffs.

9 December 2026

1k237

—

Sodium formate

Additive composition

Solid form

Sodium formate ≥ 98 %

Liquid form

Sodium formate ≥ 15 %

Formic acid ≤ 75 %

Water ≤ 25 %

Characterisation of the active substance

Sodium formate ≥ 98 % (solid form)

NaHCO2

CAS no 141-53-7

formaldehyde ≤ 6,2 mg/kg

acetaldehyde ≤ 5 mg/kg

butylaldehyde ≤ 25 mg/kg

Sodium formate ≥ 15 % (liquid form)

Formic acid ≤ 75 %

Produced by chemical synthesis

Analytical method
   (1)

Determination of sodium in feed additives: EN ISO 6869: atomic absorption spectrometry (AAS) or EN 15510: inductively coupled plasma atomic emission spectrometry, (ICP-AES).

Determination of total formate in feed additives: EN 15909 reverse phase HPLC with UV detection (RP-HPLC-UV).

Determination of total formate in premixtures and feedingstuffs: Ion-exclusion high performance liquid chromatography with UV or with refractive index detection (HPLC-UV/RI) or Ion chromatography method equipped with electrical conductivity detection (IC-ECD).

All animal species

—

10 000

(formic acid equivalent)

| 1. | For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves. |
| --- | --- |

1.

For users of the additive and premixtures, feed business operators shall establish operational procedures and organisational measures to address potential risks resulting from its use. Where those risks cannot be eliminated or reduced to a minimum by such procedures and measures, the additive and premixtures shall be used with personal protective equipment, including breathing protection, safety glasses and gloves.

| 2. | The mixture of different sources of formic acid shall not exceed the permitted maximum contents in complete feedingstuffs. |
| --- | --- |

2.

The mixture of different sources of formic acid shall not exceed the permitted maximum contents in complete feedingstuffs.

9 December 2026

---

(1)  Details of the analytical methods are available at the following address of the Reference Laboratory: https://ec.europa.eu/jrc/en/eurl/feed-additives/evaluation-reports

(2)  Easy to ensile forage: > 3 % soluble carbohydrates in fresh materials. Moderately difficult to ensile forage: 1,5-3,0 % soluble carbohydrates in fresh materials. Commission Regulation (EC) No 429/2008 (OJ L 133, 22.5.2008, p. 1).

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/21 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/21

---

COMMISSION IMPLEMENTING REGULATION (EU) 2016/2024

of 18 November 2016

establishing the standard import values for determining the entry price of certain fruit and vegetables

THE EUROPEAN COMMISSION,

Having regard to the Treaty on the Functioning of the European Union,

Having regard to Regulation (EU) No 1308/2013 of the European Parliament and of the Council of 17 December 2013 establishing a common organisation of the markets in agricultural products and repealing Council Regulations (EEC) No 922/72, (EEC) No 234/79, (EC) No 1037/2001 and (EC) No 1234/2007 (1),

Having regard to Commission Implementing Regulation (EU) No 543/2011 of 7 June 2011 laying down detailed rules for the application of Council Regulation (EC) No 1234/2007 in respect of the fruit and vegetables and processed fruit and vegetables sectors (2), and in particular Article 136(1) thereof,

Whereas:

| (1) | Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto. |
| --- | --- |

(1)

Implementing Regulation (EU) No 543/2011 lays down, pursuant to the outcome of the Uruguay Round multilateral trade negotiations, the criteria whereby the Commission fixes the standard values for imports from third countries, in respect of the products and periods stipulated in Annex XVI, Part A thereto.

| (2) | The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the Official Journal of the European Union, |
| --- | --- |

(2)

The standard import value is calculated each working day, in accordance with Article 136(1) of Implementing Regulation (EU) No 543/2011, taking into account variable daily data. Therefore this Regulation should enter into force on the day of its publication in the Official Journal of the European Union,

HAS ADOPTED THIS REGULATION:

Article 1

The standard import values referred to in Article 136 of Implementing Regulation (EU) No 543/2011 are fixed in the Annex to this Regulation.

Article 2

This Regulation shall enter into force on the day of its publication in the Official Journal of the European Union.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Brussels, 18 November 2016.

For the Commission,

On behalf of the President,

Jerzy PLEWA

Director-General for Agriculture and Rural Development

---

(1)  
  OJ L 347, 20.12.2013, p. 671.

1

(2)  
  OJ L 157, 15.6.2011, p. 1.

2

---

ANNEX

Standard import values for determining the entry price of certain fruit and vegetables

| (EUR/100 kg) |
| --- |
| CN code | Third country code (1) | Standard import value |
| 0702 00 00 | MA | 78,0 |
| TR | 102,4 |
| ZZ | 90,2 |
| 0707 00 05 | TR | 146,6 |
| ZZ | 146,6 |
| 0709 93 10 | MA | 99,2 |
| TR | 142,1 |
| ZZ | 120,7 |
| 0805 20 10 | MA | 74,6 |
| ZZ | 74,6 |
| 0805 20 30 , 0805 20 50 , 0805 20 70 , 0805 20 90 | JM | 98,8 |
| MA | 98,3 |
| PE | 116,9 |
| TR | 75,5 |
| ZZ | 97,4 |
| 0805 50 10 | TR | 79,8 |
| ZZ | 79,8 |
| 0806 10 10 | BR | 298,5 |
| IN | 166,9 |
| LB | 214,0 |
| PE | 312,2 |
| TR | 155,5 |
| US | 362,7 |
| ZZ | 251,6 |
| 0808 10 80 | CL | 213,0 |
| NZ | 153,2 |
| ZA | 167,7 |
| ZZ | 178,0 |
| 0808 30 90 | CN | 77,8 |
| TR | 126,8 |
| ZZ | 102,3 |

(EUR/100 kg)

CN code

Third country code (1)

Standard import value

0702 00 00

MA

78,0

TR

102,4

ZZ

90,2

0707 00 05

TR

146,6

ZZ

146,6

0709 93 10

MA

99,2

TR

142,1

ZZ

120,7

0805 20 10

MA

74,6

ZZ

74,6

0805 20 30 , 0805 20 50 , 0805 20 70 , 0805 20 90

JM

98,8

MA

98,3

PE

116,9

TR

75,5

ZZ

97,4

0805 50 10

TR

79,8

ZZ

79,8

0806 10 10

BR

298,5

IN

166,9

LB

214,0

PE

312,2

TR

155,5

US

362,7

ZZ

251,6

0808 10 80

CL

213,0

NZ

153,2

ZA

167,7

ZZ

178,0

0808 30 90

CN

77,8

TR

126,8

ZZ

102,3

---

(1)  Nomenclature of countries laid down by Commission Regulation (EU) No 1106/2012 of 27 November 2012 implementing Regulation (EC) No 471/2009 of the European Parliament and of the Council on Community statistics relating to external trade with non-member countries, as regards the update of the nomenclature of countries and territories (OJ L 328, 28.11.2012, p. 7). Code ‘ZZ’ stands for ‘of other origin’.

---

DECISIONS

| 19.11.2016 | EN | Official Journal of the European Union | L 313/23 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/23

---

COUNCIL DECISION (EU) 2016/2025

of 8 November 2016

appointing three members and two alternate members, proposed by the Republic of Poland of the Committee of the Regions

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 305 thereof,

Having regard to the proposal of the Polish Government,

Whereas:

| (1) | On 26 January 2015, 5 February 2015 and 23 June 2015, the Council adopted Decisions (EU) 2015/116 (1), (EU) 2015/190 (2) and (EU) 2015/994 (3) appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020. |
| --- | --- |

(1)

On 26 January 2015, 5 February 2015 and 23 June 2015, the Council adopted Decisions (EU) 2015/116 (1), (EU) 2015/190 (2) and (EU) 2015/994 (3) appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020.

| (2) | Three members' seats on the Committee of the Regions have become vacant following the end of the terms of office of Mr Jacek PROTAS, Mr Marek SOWA and Mr Jerzy ZAJĄKAŁA. |
| --- | --- |

(2)

Three members' seats on the Committee of the Regions have become vacant following the end of the terms of office of Mr Jacek PROTAS, Mr Marek SOWA and Mr Jerzy ZAJĄKAŁA.

| (3) | An alternate member's seat has become vacant following the end of the term of office of Mr Krysztof PASZYK. |
| --- | --- |

(3)

An alternate member's seat has become vacant following the end of the term of office of Mr Krysztof PASZYK.

| (4) | An alternate member's seat has become vacant following the appointment of Mr Władysław ORTYL as a member of the Committee of the Regions, |
| --- | --- |

(4)

An alternate member's seat has become vacant following the appointment of Mr Władysław ORTYL as a member of the Committee of the Regions,

HAS ADOPTED THIS DECISION:

Article 1

The following are hereby appointed to the Committee of the Regions for the remainder of the current term of office, which runs until 25 January 2020:

| (a) | as members:






  — | Gustaw Marek BRZEZIN, marszałek województwa warmińsko-mazurskiego, |
| --- | --- | --- |

(a)

as members:

—

Gustaw Marek BRZEZIN, marszałek województwa warmińsko-mazurskiego,

| — | Władysław ORTYL, marszałek województwa podkarpackiego, |
| --- | --- |

—

Władysław ORTYL, marszałek województwa podkarpackiego,

| — | Dariusz Antoni STRUGAŁA, burmistrz miasta i gminy Jaraczewo; |
| --- | --- |

—

Dariusz Antoni STRUGAŁA, burmistrz miasta i gminy Jaraczewo;

and

| (b) | as alternate members:






  — | Jacek KRUPA, marszałek województwa malopolskiego, |
| --- | --- | --- |

(b)

as alternate members:

—

Jacek KRUPA, marszałek województwa malopolskiego,

| — | Wojciech SAŁUGA, marszałek województwa śląskiego. |
| --- | --- |

—

Wojciech SAŁUGA, marszałek województwa śląskiego.

Article 2

This Decision shall enter into force on the date of its adoption.

Done at Brussels, 8 November 2016.

For the Council

The President

P. KAŽIMÍR

---

(1)  Council Decision (EU) 2015/116 of 26 January 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 20, 27.1.2015, p. 42).

1

(2)  Council Decision (EU) 2015/190 of 5 February 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 31, 7.2.2015, p. 25).

2

(3)  Council Decision (EU) 2015/994 of 23 June 2015 appointing the members and alternate members of the Committee of the Regions for the period from 26 January 2015 to 25 January 2020 (OJ L 159, 25.6.2015, p. 70).

3

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/25 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/25

---

COUNCIL DECISION (EU) 2016/2026

of 15 November 2016

on the financial contributions to be paid by Member States to finance the European Development Fund, including the ceiling for 2018, the annual amount for 2017, the first instalment for 2017 and an indicative and non-binding forecast for the expected annual amounts for the years 2019 and 2020

THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on European Union and to the Treaty on the Functioning of the European Union,

Having regard to the Partnership Agreement between the members of the African, Caribbean and Pacific Group of States of the one part, and the European Community and its Member States, of the other part, signed in Cotonou on 23 June 2000 (1), as last amended (‘ACP-EU Partnership Agreement’),

Having regard to the Internal Agreement between the Representatives of the Governments of the Member States of the European Union, meeting within the Council, on the financing of European Union aid under the multiannual financial framework for the period 2014 to 2020, in accordance with the ACP-EU Partnership Agreement, and on the allocation of financial assistance for the Overseas Countries and Territories to which Part Four of the Treaty on the Functioning of the European Union applies (2) (‘the Internal Agreement’) and in particular Article 7(2) thereof,

Having regard to the Council Regulation (EU) 2015/323 of 2 March 2015 on the financial regulation applicable to the 11th European Development Fund (3) (‘the 11th EDF Financial Regulation’), and in particular Article 21(2) thereof,

Having regard to the proposal from the European Commission,

Whereas:

| (1) | In accordance with the procedure laid down in Article 21(2) of the 11th EDF Financial Regulation, the Commission presented a proposal by 15 October 2016 specifying (a) the ceiling for the annual amount of the contribution for 2018; (b) the annual amount of the contribution for 2017; (c) the amount of the first instalment of the contribution for 2017; and (d) an indicative, non-binding forecast for the expected annual amounts of contributions for the years 2019 to 2020. |
| --- | --- |

(1)

In accordance with the procedure laid down in Article 21(2) of the 11th EDF Financial Regulation, the Commission presented a proposal by 15 October 2016 specifying (a) the ceiling for the annual amount of the contribution for 2018; (b) the annual amount of the contribution for 2017; (c) the amount of the first instalment of the contribution for 2017; and (d) an indicative, non-binding forecast for the expected annual amounts of contributions for the years 2019 to 2020.

| (2) | In accordance with Article 52 of the 11th EDF Financial Regulation, the European Investment Bank (EIB) sent on 28 July 2016 to the Commission its updated estimates of commitments and payments under the instruments it manages. |
| --- | --- |

(2)

In accordance with Article 52 of the 11th EDF Financial Regulation, the European Investment Bank (EIB) sent on 28 July 2016 to the Commission its updated estimates of commitments and payments under the instruments it manages.

| (3) | Article 22(1) of the 11th EDF Financial Regulation provides that calls for contributions first use up the amounts provided for in previous European Development Funds (EDFs). Therefore a call for funds under the 10th EDF should be made. |
| --- | --- |

(3)

Article 22(1) of the 11th EDF Financial Regulation provides that calls for contributions first use up the amounts provided for in previous European Development Funds (EDFs). Therefore a call for funds under the 10th EDF should be made.

| (4) | By means of Decision (EU) 2015/2288 (4), the Council has adopted on the 30 November 2015, on a proposal by the Commission, the Decision to set the ceiling for Member States' EDF contributions for 2017 at EUR 3 850 000 000 for the Commission, and at EUR 150 000 000 for the EIB. |
| --- | --- |

(4)

By means of Decision (EU) 2015/2288 (4), the Council has adopted on the 30 November 2015, on a proposal by the Commission, the Decision to set the ceiling for Member States' EDF contributions for 2017 at EUR 3 850 000 000 for the Commission, and at EUR 150 000 000 for the EIB.

| (5) | By means of Decision 2013/759/EU, (5) the Council has adopted the creation of a Bridging Facility on 12 December 2013 regarding transitional EDF management measures from 1 January 2014 until the entry into force of the 11th European Development Fund (‘the Bridging Facility’), |
| --- | --- |

(5)

By means of Decision 2013/759/EU, (5) the Council has adopted the creation of a Bridging Facility on 12 December 2013 regarding transitional EDF management measures from 1 January 2014 until the entry into force of the 11th European Development Fund (‘the Bridging Facility’),

HAS ADOPTED THIS DECISION:

Article 1

The ceiling for the annual amount of the Member States' EDF contributions for 2018 is hereby set at EUR 4 550 000 000 for the Commission, and at EUR 250 000 000 for the EIB.

Article 2

The annual amount of the Member States' EDF contributions for 2017 is hereby set at EUR 4 000 000 000. It shall be divided into EUR 3 850 000 000 for the Commission, and EUR 150 000 000 for the EIB.

Article 3

The individual EDF contributions to be paid by Member States to the Commission and the EIB as the first instalment for 2017 are set out in the table in the Annex to this Decision.

Payments of those contributions may be combined with adjustments under the implementation of the deduction of the funds committed under the Bridging Facility, following an adjustment plan communicated by each Member State to the Commission at the adoption of the third instalment 2015.

Article 4

The indicative non-binding forecast for the expected annual amount of contributions for 2019 is hereby set at EUR 4 500 000 000 for the Commission, and at EUR 300 000 000 for the EIB, and that for 2020 at EUR 4 500 000 000 for the Commission, and at EUR 300 000 000 for the EIB.

Article 5

This Decision shall enter into force on the date of its adoption.

Done at Brussels, 15 November 2016.

For the Council

The President

I. KORČOK

---

(1)  
  OJ L 317, 15.12.2000, p. 3.

1

(2)  
  OJ L 210, 6.8.2013, p. 1.

2

(3)  
  OJ L 58, 3.3.2015, p. 17.

3

(4)  Council Decision (EU) 2015/2288 of 30 November 2015 on the financial contributions to be paid by Member States to finance the European Development Fund, including the ceiling for 2017, the amount for 2016, the first instalment for 2016 and an indicative and non-binding forecast for the expected annual amounts for the years 2018 and 2019 (OJ L 323, 9.12.2015, p. 8).

4

(5)  Council Decision 2013/759/EU of 12 December 2013 regarding transitional EDF management measures from 1 January 2014 until the entry into force of the 11th European Development Fund (OJ L 335, 14.12.2013, p. 48).

5

---

ANNEX

| Member States | Key 10th EDF % | First instalment 2017 (EUR) |
| --- | --- | --- |
| paid to EIB | paid to Commission | Total |
| 10th EDF | 10th EDF |
| Austria | 2,41 | 2 410 000,00 | 40 970 000,00 | 43 380 000,00 |
| Belgium | 3,53 | 3 530 000,00 | 60 010 000,00 | 63 540 000,00 |
| Bulgaria | 0,14 | 140 000,00 | 2 380 000,00 | 2 520 000,00 |
| Cyprus | 0,09 | 90 000,00 | 1 530 000,00 | 1 620 000,00 |
| Czech Republic | 0,51 | 510 000,00 | 8 670 000,00 | 9 180 000,00 |
| Denmark | 2,00 | 2 000 000,00 | 34 000 000,00 | 36 000 000,00 |
| Estonia | 0,05 | 50 000,00 | 850 000,00 | 900 000,00 |
| Finland | 1,47 | 1 470 000,00 | 24 990 000,00 | 26 460 000,00 |
| France | 19,55 | 19 550 000,00 | 332 350 000,00 | 351 900 000,00 |
| Germany | 20,50 | 20 500 000,00 | 348 500 000,00 | 369 000 000,00 |
| Greece | 1,47 | 1 470 000,00 | 24 990 000,00 | 26 460 000,00 |
| Hungary | 0,55 | 550 000,00 | 9 350 000,00 | 9 900 000,00 |
| Ireland | 0,91 | 910 000,00 | 15 470 000,00 | 16 380 000,00 |
| Italy | 12,86 | 12 860 000,00 | 218 620 000,00 | 231 480 000,00 |
| Latvia | 0,07 | 70 000,00 | 1 190 000,00 | 1 260 000,00 |
| Lithuania | 0,12 | 120 000,00 | 2 040 000,00 | 2 160 000,00 |
| Luxembourg | 0,27 | 270 000,00 | 4 590 000,00 | 4 860 000,00 |
| Malta | 0,03 | 30 000,00 | 510 000,00 | 540 000,00 |
| Netherlands | 4,85 | 4 850 000,00 | 82 450 000,00 | 87 300 000,00 |
| Poland | 1,30 | 1 300 000,00 | 22 100 000,00 | 23 400 000,00 |
| Portugal | 1,15 | 1 150 000,00 | 19 550 000,00 | 20 700 000,00 |
| Romania | 0,37 | 370 000,00 | 6 290 000,00 | 6 660 000,00 |
| Slovakia | 0,21 | 210 000,00 | 3 570 000,00 | 3 780 000,00 |
| Slovenia | 0,18 | 180 000,00 | 3 060 000,00 | 3 240 000,00 |
| Spain | 7,85 | 7 850 000,00 | 133 450 000,00 | 141 300 000,00 |
| Sweden | 2,74 | 2 740 000,00 | 46 580 000,00 | 49 320 000,00 |
| United Kingdom | 14,82 | 14 820 000,00 | 251 940 000,00 | 266 760 000,00 |
| Total EU-27 | 100,00 | 100 000 000,00 | 1 700 000 000,00 | 1 800 000 000,00 |

Member States

Key 10th EDF %

First instalment 2017 (EUR)

paid to EIB

paid to Commission

Total

10th EDF

10th EDF

Austria

2,41

2 410 000,00

40 970 000,00

43 380 000,00

Belgium

3,53

3 530 000,00

60 010 000,00

63 540 000,00

Bulgaria

0,14

140 000,00

2 380 000,00

2 520 000,00

Cyprus

0,09

90 000,00

1 530 000,00

1 620 000,00

Czech Republic

0,51

510 000,00

8 670 000,00

9 180 000,00

Denmark

2,00

2 000 000,00

34 000 000,00

36 000 000,00

Estonia

0,05

50 000,00

850 000,00

900 000,00

Finland

1,47

1 470 000,00

24 990 000,00

26 460 000,00

France

19,55

19 550 000,00

332 350 000,00

351 900 000,00

Germany

20,50

20 500 000,00

348 500 000,00

369 000 000,00

Greece

1,47

1 470 000,00

24 990 000,00

26 460 000,00

Hungary

0,55

550 000,00

9 350 000,00

9 900 000,00

Ireland

0,91

910 000,00

15 470 000,00

16 380 000,00

Italy

12,86

12 860 000,00

218 620 000,00

231 480 000,00

Latvia

0,07

70 000,00

1 190 000,00

1 260 000,00

Lithuania

0,12

120 000,00

2 040 000,00

2 160 000,00

Luxembourg

0,27

270 000,00

4 590 000,00

4 860 000,00

Malta

0,03

30 000,00

510 000,00

540 000,00

Netherlands

4,85

4 850 000,00

82 450 000,00

87 300 000,00

Poland

1,30

1 300 000,00

22 100 000,00

23 400 000,00

Portugal

1,15

1 150 000,00

19 550 000,00

20 700 000,00

Romania

0,37

370 000,00

6 290 000,00

6 660 000,00

Slovakia

0,21

210 000,00

3 570 000,00

3 780 000,00

Slovenia

0,18

180 000,00

3 060 000,00

3 240 000,00

Spain

7,85

7 850 000,00

133 450 000,00

141 300 000,00

Sweden

2,74

2 740 000,00

46 580 000,00

49 320 000,00

United Kingdom

14,82

14 820 000,00

251 940 000,00

266 760 000,00

Total EU-27

100,00

100 000 000,00

1 700 000 000,00

1 800 000 000,00

---

ACTS ADOPTED BY BODIES CREATED BY INTERNATIONAL AGREEMENTS

| 19.11.2016 | EN | Official Journal of the European Union | L 313/28 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/28

---

DECISION No 1/2016 OF THE EU-REPUBLIC OF MOLDOVA ASSOCIATION COMMITTEE IN TRADE CONFIGURATION

of 19 October 2016

updating Annex XVI to the Association Agreement [2016/2027]

THE ASSOCIATION COMMITTEE IN TRADE CONFIGURATION,

Having regard to the Association Agreement between the European Union and the European Atomic Energy Community and their Member States, of the one part, and the Republic of Moldova, of the other part, and in particular Article 173 and Article 436 thereof,

Whereas:

| (1) | The Association Agreement between the European Union and the European Atomic Energy Community and their Member States of the one part, and the Republic of Moldova, of the other part (1) (‘the Agreement’) entered into force on 1 July 2016. |
| --- | --- |

(1)

The Association Agreement between the European Union and the European Atomic Energy Community and their Member States of the one part, and the Republic of Moldova, of the other part (1) (‘the Agreement’) entered into force on 1 July 2016.

| (2) | In accordance with Article 173 of the Agreement the Republic of Moldova shall gradually achieve conformity with the relevant Union acquis, in accordance with the provisions of Annex XVI to the Agreement. |
| --- | --- |

(2)

In accordance with Article 173 of the Agreement the Republic of Moldova shall gradually achieve conformity with the relevant Union acquis, in accordance with the provisions of Annex XVI to the Agreement.

| (3) | Several Union acts listed in Annex XVI to the Agreement have been amended, recast or repealed and replaced by new Union acts since the initialling of the Agreement on 29 November 2013. In particular, the Union adopted and notified to the Republic of Moldova the following acts:






  (a) | Directive 2014/35/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of electrical equipment designed for use within certain voltage limits (2); |
| --- | --- | --- |

(3)

Several Union acts listed in Annex XVI to the Agreement have been amended, recast or repealed and replaced by new Union acts since the initialling of the Agreement on 29 November 2013. In particular, the Union adopted and notified to the Republic of Moldova the following acts:

(a)

Directive 2014/35/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of electrical equipment designed for use within certain voltage limits (2);

| (b) | Directive 2014/29/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of simple pressure vessels (3); |
| --- | --- |

(b)

Directive 2014/29/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of simple pressure vessels (3);

| (c) | Directive 2014/30/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to electromagnetic compatibility (4); |
| --- | --- |

(c)

Directive 2014/30/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to electromagnetic compatibility (4);

| (d) | Directive 2014/34/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres (5); |
| --- | --- |

(d)

Directive 2014/34/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres (5);

| (e) | Directive 2014/28/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market and supervision of explosives for civil uses (6); |
| --- | --- |

(e)

Directive 2014/28/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market and supervision of explosives for civil uses (6);

| (f) | Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to lifts and safety components for lifts (7); |
| --- | --- |

(f)

Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to lifts and safety components for lifts (7);

| (g) | Directive 2014/32/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of measuring instruments (8); |
| --- | --- |

(g)

Directive 2014/32/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of measuring instruments (8);

| (h) | Directive 2014/31/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of non-automatic weighing instruments (9); |
| --- | --- |

(h)

Directive 2014/31/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of non-automatic weighing instruments (9);

| (i) | Directive 2014/68/EU of the European Parliament and of the Council of 15 May 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of pressure equipment (10); |
| --- | --- |

(i)

Directive 2014/68/EU of the European Parliament and of the Council of 15 May 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of pressure equipment (10);

| (j) | Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of radio equipment and repealing Directive 1999/5/EC (11); |
| --- | --- |

(j)

Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of radio equipment and repealing Directive 1999/5/EC (11);

| (k) | Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft and repealing Directive 94/25/EC (12); |
| --- | --- |

(k)

Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft and repealing Directive 94/25/EC (12);

| (l) | Directive 2013/29/EU of the European Parliament and of the Council of 12 June 2013 on the harmonisation of the laws of the Member States relating to the making available on the market of pyrotechnic articles (13); |
| --- | --- |

(l)

Directive 2013/29/EU of the European Parliament and of the Council of 12 June 2013 on the harmonisation of the laws of the Member States relating to the making available on the market of pyrotechnic articles (13);

| (m) | Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC (14); |
| --- | --- |

(m)

Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC (14);

| (n) | Regulation (EU) No 168/2013 of the European Parliament and of the Council of 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles and quadricycles (15); |
| --- | --- |

(n)

Regulation (EU) No 168/2013 of the European Parliament and of the Council of 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles and quadricycles (15);

| (o) | Regulation (EU) No 167/2013 of the European Parliament and of the Council of 5 February 2013 on the approval and market surveillance of agricultural and forestry vehicles (16); |
| --- | --- |

(o)

Regulation (EU) No 167/2013 of the European Parliament and of the Council of 5 February 2013 on the approval and market surveillance of agricultural and forestry vehicles (16);

| (p) | Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the export and import of hazardous chemicals (17); |
| --- | --- |

(p)

Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the export and import of hazardous chemicals (17);

| (q) | Directive 2012/18/EU of the European Parliament and of the Council of 4 July 2012 on the control of major-accident hazards involving dangerous substances, amending and subsequently repealing Council Directive 96/82/EC (18); |
| --- | --- |

(q)

Directive 2012/18/EU of the European Parliament and of the Council of 4 July 2012 on the control of major-accident hazards involving dangerous substances, amending and subsequently repealing Council Directive 96/82/EC (18);

| (r) | Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE) (19). |
| --- | --- |

(r)

Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE) (19).

| (4) | Certain Union acts listed in Annex XVI are also listed in Annex IV (Consumer Protection) and Annex XI (Environment) to the Agreement. In the interest of clarity, the applicable deadlines for approximation of those acts listed in Annex XVI should be aligned to the deadlines specified in Annex IV (Consumer Protection) and Annex XI (Environment) to the Agreement. |
| --- | --- |

(4)

Certain Union acts listed in Annex XVI are also listed in Annex IV (Consumer Protection) and Annex XI (Environment) to the Agreement. In the interest of clarity, the applicable deadlines for approximation of those acts listed in Annex XVI should be aligned to the deadlines specified in Annex IV (Consumer Protection) and Annex XI (Environment) to the Agreement.

| (5) | It is necessary to update Annex XVI to the Agreement in order to reflect the evolution of the Union legislation listed in that Annex, in accordance with Article 436(3) of the Agreement. In the interest of clarity, the sections of Annex XVI to the Agreement affected by the changes should be updated in their entirety. |
| --- | --- |

(5)

It is necessary to update Annex XVI to the Agreement in order to reflect the evolution of the Union legislation listed in that Annex, in accordance with Article 436(3) of the Agreement. In the interest of clarity, the sections of Annex XVI to the Agreement affected by the changes should be updated in their entirety.

| (6) | The Republic of Moldova continues the process of approximating its legislation to the Union legislation, in accordance with the timetable and priorities set out in Annex XVI to the Agreement. It is therefore appropriate to ensure that the recent updates to the Union legislation are promptly and efficiently integrated in the ongoing process of approximation and take into account the progress already made by the Republic of Moldova. |
| --- | --- |

(6)

The Republic of Moldova continues the process of approximating its legislation to the Union legislation, in accordance with the timetable and priorities set out in Annex XVI to the Agreement. It is therefore appropriate to ensure that the recent updates to the Union legislation are promptly and efficiently integrated in the ongoing process of approximation and take into account the progress already made by the Republic of Moldova.

| (7) | It is appropriate to provide for transition periods to the Republic of Moldova in order to reflect the new Union acts in its national legislation and to provide an adaptation period to the manufacturers and importers. Accordingly, the deadlines for approximation of its national legislation to those new Union acts should be extended. |
| --- | --- |

(7)

It is appropriate to provide for transition periods to the Republic of Moldova in order to reflect the new Union acts in its national legislation and to provide an adaptation period to the manufacturers and importers. Accordingly, the deadlines for approximation of its national legislation to those new Union acts should be extended.

| (8) | In accordance with Article 436(3) of the Agreement the EU-Republic of Moldova the Association Council shall have the power to update or amend the Annexes to the Agreement. The Association Council empowered the Association Committee in Trade configuration by Decision No 3/2014 of 16 December 2014 to update or amend certain trade-related annexes, |
| --- | --- |

(8)

In accordance with Article 436(3) of the Agreement the EU-Republic of Moldova the Association Council shall have the power to update or amend the Annexes to the Agreement. The Association Council empowered the Association Committee in Trade configuration by Decision No 3/2014 of 16 December 2014 to update or amend certain trade-related annexes,

HAS ADOPTED THIS DECISION:

Article 1

Section ‘Horizontal legislative framework for marketing of products’; Section ‘Legislation based on the principles of the new approach which provide for CE marking’; Section ‘Directives based on the principles of the New Approach or the Global Approach, but which do not provide for CE marking’; Subsection 2 ‘Two- or three-wheel motor vehicles’ and Subsection 3 ‘Wheeled agricultural or forestry tractors’ of Section ‘Construction of motor vehicles’; Subsection 1 ‘REACH and REACH implementation’, Subsection 2 ‘Dangerous chemicals’ and Subsection 3 ‘Classification, packaging and labelling’ of Section ‘Chemicals’ of Annex XVI to the Association Agreement between the European Union and the European Atomic Energy Community and their Member States, of the one part, and the Republic of Moldova, of the other part, are replaced by the text appearing in the Annex to this Decision.

Article 2

This Decision shall enter into force on the day of its adoption.

Done at Brussels, 19 October 2016.

For the Association Committee in Trade configuration

P. SOURMELIS

The Chair

---

(1)  
  OJ L 260, 30.8.2014, p. 4.

1

(2)  
  OJ L 96, 29.3.2014, p. 357.

2

(3)  
  OJ L 96, 29.3.2014, p. 45.

3

(4)  
  OJ L 96, 29.3.2014, p. 79.

4

(5)  
  OJ L 96, 29.3.2014, p. 309.

5

(6)  
  OJ L 96, 29.3.2014, p. 1.

6

(7)  
  OJ L 96, 29.3.2014, p. 251.

7

(8)  
  OJ L 96, 29.3.2014, p. 149.

8

(9)  
  OJ L 96, 29.3.2014, p. 107.

9

(10)  
  OJ L 189, 27.6.2014, p. 164.

10

(11)  
  OJ L 153, 22.5.2014, p. 62.

11

(12)  
  OJ L 354, 28.12.2013, p. 90.

12

(13)  
  OJ L 178, 28.6.2013, p. 27.

13

(14)  
  OJ L 165, 30.6.2010, p. 1.

14

(15)  
  OJ L 60, 2.3.2013, p. 52.

15

(16)  
  OJ L 60, 2.3.2013, p. 1.

16

(17)  
  OJ L 201, 27.7.2012, p. 60.

17

(18)  
  OJ L 197, 24.7.2012, p. 1.

18

(19)  
  OJ L 197, 24.7.2012, p. 38.

19

---

ANNEX

UPDATE OF ANNEX XVI TO THE AGREEMENT

Section ‘Horizontal legislative framework for marketing of products’; Section ‘Legislation based on the principles of the new approach which provide for CE marking’; Section ‘Directives based on the principles of the New Approach or the Global Approach, but which do not provide for CE marking’; Subsection 2 ‘Two- or three-wheel motor vehicles’ and Subsection 3 ‘Wheeled agricultural or forestry tractors’ of Section ‘Construction of motor vehicles’; Subsection 1 ‘REACH and REACH implementation’, Subsection 2 ‘Dangerous chemicals’ and Subsection 3 ‘Classification, packaging and labelling’ of Section ‘Chemicals’ of Annex XVI to the Agreement are replaced by the following:

| ‘Union legislation | Deadline for approximation |
| --- | --- |
| HORIZONTAL LEGISLATIVE FRAMEWORK FOR MARKETING OF PRODUCTS |
| Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93
  Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC | Approximated on the date of entry into force of the Law No 235 of 1 December 2011 |
| Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety | 2016 |
| Council Directive 85/374/EEC of 25 July 1985 on the approximation of the laws, regulations and administrative provisions of the Member States concerning liability for defective products | 2012 |
| Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council | 2015 |
| Council Directive 80/181/EEC of 20 December 1979 on the approximation of the laws of the Member States relating to units of measurement and on the repeal of Directive 71/354/EEC, as amended by Directive 2009/3/EC of the European Parliament and of the Council | 2015 |
| LEGISLATION BASED ON THE PRINCIPLES OF THE NEW APPROACH WHICH PROVIDE FOR CE MARKING |
| Directive 2014/35/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of electrical equipment designed for use within certain voltage limits | 2017 |
| Directive 2014/29/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of simple pressure vessels | 2017 |
| Regulation (EU) No 305/2011 of the European Parliament and of the Council of 9 March 2011 laying down harmonised conditions for the marketing of construction products and repealing Council Directive 89/106/EEC | Full approximation: 2015 |
| Directive 2014/30/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to electromagnetic compatibility | 2017 |
| Council Directive 89/686/EEC of 21 December 1989 on the approximation of the laws of the Member States relating to personal protective equipment | Review and full approximation: 2015 |
| Directive 2009/142/EC of the European Parliament and of the Council of 30 November 2009 relating to appliances burning gaseous fuels | Review and full approximation: 2016 |
| Directive 2000/9/EC of the European Parliament and of the Council of 20 March 2000 relating to cableway installations designed to carry persons | 2015 |
| Directive 2014/34/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres | 2017 |
| Directive 2014/28/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market and supervision of explosives for civil uses
  Commission Decision 2004/388/EC of 15 April 2004 on an Intra-Community transfer of explosives document
  Commission Directive 2008/43/EC of 4 April 2008 setting up, pursuant to Council Directive 93/15/EEC, a system for the identification and traceability of explosives for civil uses | 2017 |
| Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to lifts and safety components for lifts | 2017 |
| Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC | 2015 |
| Directive 2014/32/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of measuring instruments | 2017 |
| Council Directive 93/42/EEC of 14 June 1993 concerning medical devices
  Council Directive 90/385/EEC of 20 June 1990 on the approximation of the laws of the Member States relating to active implantable medical devices
  Directive 98/79/EC of the European Parliament and of the Council of 27 October 1998 on in vitro diagnostic medical devices | Review and full approximation: 2015 |
| Council Directive 92/42/EEC of 21 May 1992 on efficiency requirements for new hot-water boilers fired with liquid or gaseous fuels | Full approximation: 2017 |
| Directive 2014/31/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of non-automatic weighing instruments | 2017 |
| Directive 2014/68/EU of the European Parliament and of the Council of 15 May 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of pressure equipment | 2017 |
| Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of radio equipment and repealing Directive 1999/5/EC | 2017 |
| Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft and repealing Directive 94/25/EC | 2018 |
| Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys | Review and full approximation: 2015 |
| Directive 2013/29/EU of the European Parliament and of the Council of 12 June 2013 on the harmonisation of the laws of the Member States relating to the making available on the market of pyrotechnic articles | 2017 |
| DIRECTIVES BASED ON THE PRINCIPLES OF THE NEW APPROACH OR THE GLOBAL APPROACH, BUT WHICH DO NOT PROVIDE FOR CE MARKING |
| European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste | 2015 |
| Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC | 2017 |
| CONSTRUCTION OF MOTOR VEHICLES |
| 2.   Two- or three-wheel motor vehicles |
| Regulation (EU) No 168/2013 of the European Parliament and of the Council of 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles and quadricycles | 2017 |
| 3.   Wheeled agricultural or forestry tractors |
| Regulation (EU) No 167/2013 of the European Parliament and of the Council of 5 February 2013 on the approval and market surveillance of agricultural and forestry vehicles | 2016 |
| Directive 2008/2/EC of the European Parliament and of the Council of 15 January 2008 on the field of vision and windscreen wipers for wheeled agricultural or forestry tractors | 2016 |
| CHEMICALS |
| 1.   REACH and REACH implementation |
| Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) and establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC | 2019 |
| Commission Regulation (EC) No 440/2008 of 30 May 2008 laying down test methods pursuant to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) | 2019 |
| 2.   Dangerous chemicals |
| Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the export and import of hazardous chemicals | 2017 |
| Directive 2012/18/EU of the European Parliament and of the Council of 4 July 2012 on the control of major-accident hazards involving dangerous substances, amending and subsequently repealing Council Directive 96/82/EC | 2021 |
| Directive 2011/65/EU of the European Parliament and of the Council of 8 June 2011 on the restriction of the use of certain hazardous substances in electrical and electronic equipment | 2014 |
| Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE) | 2016 |
| Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC | 2013-14 |
| Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT) | Approximated in 2009 |
| Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on persistent organic pollutants and amending Directive 79/117/EEC | 2013-14 |
| 3.   Classification, packaging and labelling |
| Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006 | 2021’ |

‘Union legislation

Deadline for approximation

HORIZONTAL LEGISLATIVE FRAMEWORK FOR MARKETING OF PRODUCTS

Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008 setting out the requirements for accreditation and market surveillance relating to the marketing of products and repealing Regulation (EEC) No 339/93

Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on a common framework for the marketing of products, and repealing Council Decision 93/465/EEC

Approximated on the date of entry into force of the Law No 235 of 1 December 2011

Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001 on general product safety

2016

Council Directive 85/374/EEC of 25 July 1985 on the approximation of the laws, regulations and administrative provisions of the Member States concerning liability for defective products

2012

Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council

2015

Council Directive 80/181/EEC of 20 December 1979 on the approximation of the laws of the Member States relating to units of measurement and on the repeal of Directive 71/354/EEC, as amended by Directive 2009/3/EC of the European Parliament and of the Council

2015

LEGISLATION BASED ON THE PRINCIPLES OF THE NEW APPROACH WHICH PROVIDE FOR CE MARKING

Directive 2014/35/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of electrical equipment designed for use within certain voltage limits

2017

Directive 2014/29/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of simple pressure vessels

2017

Regulation (EU) No 305/2011 of the European Parliament and of the Council of 9 March 2011 laying down harmonised conditions for the marketing of construction products and repealing Council Directive 89/106/EEC

Full approximation: 2015

Directive 2014/30/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to electromagnetic compatibility

2017

Council Directive 89/686/EEC of 21 December 1989 on the approximation of the laws of the Member States relating to personal protective equipment

Review and full approximation: 2015

Directive 2009/142/EC of the European Parliament and of the Council of 30 November 2009 relating to appliances burning gaseous fuels

Review and full approximation: 2016

Directive 2000/9/EC of the European Parliament and of the Council of 20 March 2000 relating to cableway installations designed to carry persons

2015

Directive 2014/34/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to equipment and protective systems intended for use in potentially explosive atmospheres

2017

Directive 2014/28/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market and supervision of explosives for civil uses

Commission Decision 2004/388/EC of 15 April 2004 on an Intra-Community transfer of explosives document

Commission Directive 2008/43/EC of 4 April 2008 setting up, pursuant to Council Directive 93/15/EEC, a system for the identification and traceability of explosives for civil uses

2017

Directive 2014/33/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to lifts and safety components for lifts

2017

Directive 2006/42/EC of the European Parliament and of the Council of 17 May 2006 on machinery, and amending Directive 95/16/EC

2015

Directive 2014/32/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of measuring instruments

2017

Council Directive 93/42/EEC of 14 June 1993 concerning medical devices

Council Directive 90/385/EEC of 20 June 1990 on the approximation of the laws of the Member States relating to active implantable medical devices

Directive 98/79/EC of the European Parliament and of the Council of 27 October 1998 on in vitro diagnostic medical devices

Review and full approximation: 2015

Council Directive 92/42/EEC of 21 May 1992 on efficiency requirements for new hot-water boilers fired with liquid or gaseous fuels

Full approximation: 2017

Directive 2014/31/EU of the European Parliament and of the Council of 26 February 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of non-automatic weighing instruments

2017

Directive 2014/68/EU of the European Parliament and of the Council of 15 May 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of pressure equipment

2017

Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on the harmonisation of the laws of the Member States relating to the making available on the market of radio equipment and repealing Directive 1999/5/EC

2017

Directive 2013/53/EU of the European Parliament and of the Council of 20 November 2013 on recreational craft and personal watercraft and repealing Directive 94/25/EC

2018

Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on the safety of toys

Review and full approximation: 2015

Directive 2013/29/EU of the European Parliament and of the Council of 12 June 2013 on the harmonisation of the laws of the Member States relating to the making available on the market of pyrotechnic articles

2017

DIRECTIVES BASED ON THE PRINCIPLES OF THE NEW APPROACH OR THE GLOBAL APPROACH, BUT WHICH DO NOT PROVIDE FOR CE MARKING

European Parliament and Council Directive 94/62/EC of 20 December 1994 on packaging and packaging waste

2015

Directive 2010/35/EU of the European Parliament and of the Council of 16 June 2010 on transportable pressure equipment and repealing Council Directives 76/767/EEC, 84/525/EEC, 84/526/EEC, 84/527/EEC and 1999/36/EC

2017

CONSTRUCTION OF MOTOR VEHICLES

2.   Two- or three-wheel motor vehicles

Regulation (EU) No 168/2013 of the European Parliament and of the Council of 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles and quadricycles

2017

3.   Wheeled agricultural or forestry tractors

Regulation (EU) No 167/2013 of the European Parliament and of the Council of 5 February 2013 on the approval and market surveillance of agricultural and forestry vehicles

2016

Directive 2008/2/EC of the European Parliament and of the Council of 15 January 2008 on the field of vision and windscreen wipers for wheeled agricultural or forestry tractors

2016

CHEMICALS

1.   REACH and REACH implementation

Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH) and establishing a European Chemicals Agency, amending Directive 1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC

2019

Commission Regulation (EC) No 440/2008 of 30 May 2008 laying down test methods pursuant to Regulation (EC) No 1907/2006 of the European Parliament and of the Council on the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH)

2019

2.   Dangerous chemicals

Regulation (EU) No 649/2012 of the European Parliament and of the Council of 4 July 2012 concerning the export and import of hazardous chemicals

2017

Directive 2012/18/EU of the European Parliament and of the Council of 4 July 2012 on the control of major-accident hazards involving dangerous substances, amending and subsequently repealing Council Directive 96/82/EC

2021

Directive 2011/65/EU of the European Parliament and of the Council of 8 June 2011 on the restriction of the use of certain hazardous substances in electrical and electronic equipment

2014

Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE)

2016

Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on batteries and accumulators and waste batteries and accumulators and repealing Directive 91/157/EEC

2013-14

Council Directive 96/59/EC of 16 September 1996 on the disposal of polychlorinated biphenyls and polychlorinated terphenyls (PCB/PCT)

Approximated in 2009

Regulation (EC) No 850/2004 of the European Parliament and of the Council of 29 April 2004 on persistent organic pollutants and amending Directive 79/117/EEC

2013-14

3.   Classification, packaging and labelling

Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16 December 2008 on classification, labelling and packaging of substances and mixtures, amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation (EC) No 1907/2006

2021’

---

| 19.11.2016 | EN | Official Journal of the European Union | L 313/36 |
| --- | --- | --- | --- |

19.11.2016

EN

Official Journal of the European Union

L 313/36

---

DECISION No 2/2016 OF THE EU-REPUBLIC OF MOLDOVA ASSOCIATION COMMITTEE IN TRADE CONFIGURATION

of 19 October 2016

updating Annex XXIX to the Association Agreement [2016/2028]

THE ASSOCIATION COMMITTEE IN TRADE CONFIGURATION,

Having regard to the Association Agreement between the European Union and the European Atomic Energy Community and their Member States, of the one part, and the Republic of Moldova, of the other part, and in particular Articles 269, 273 and 436 thereof,

Whereas:

| (1) | The Association Agreement between the European Union and the European Atomic Energy Community and their Member States of the one part, and the Republic of Moldova, of the other part (1) (‘the Agreement’) entered into force on 1 July 2016. |
| --- | --- |

(1)

The Association Agreement between the European Union and the European Atomic Energy Community and their Member States of the one part, and the Republic of Moldova, of the other part (1) (‘the Agreement’) entered into force on 1 July 2016.

| (2) | In accordance with Article 269(5) of the Agreement the value thresholds for public procurement contracts provided for in Annex XXIX-A are to be revised regularly every two years, beginning in the year of entry into force of the Agreement and such revision is to be adopted by decision of the Association Committee in Trade configuration, as set out in Article 438(4) of the Agreement. |
| --- | --- |

(2)

In accordance with Article 269(5) of the Agreement the value thresholds for public procurement contracts provided for in Annex XXIX-A are to be revised regularly every two years, beginning in the year of entry into force of the Agreement and such revision is to be adopted by decision of the Association Committee in Trade configuration, as set out in Article 438(4) of the Agreement.

| (3) | In accordance with Article 273 of the Agreement the Republic of Moldova is to ensure that its public procurement legislation is gradually made compatible with the relevant Union acquis, in line with the schedule provided in Annex XXIX to the Agreement. |
| --- | --- |

(3)

In accordance with Article 273 of the Agreement the Republic of Moldova is to ensure that its public procurement legislation is gradually made compatible with the relevant Union acquis, in line with the schedule provided in Annex XXIX to the Agreement.

| (4) | Several Union acts listed in Annex XXIX to the Agreement have been amended, recast or repealed and replaced by new Union acts since the initialling of the Agreement on 29 November 2013. In particular, the Union adopted and notified to the Republic of Moldova the following acts:






  (a) | Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (2); |
| --- | --- | --- |

(4)

Several Union acts listed in Annex XXIX to the Agreement have been amended, recast or repealed and replaced by new Union acts since the initialling of the Agreement on 29 November 2013. In particular, the Union adopted and notified to the Republic of Moldova the following acts:

(a)

Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts (2);

| (b) | Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (3); |
| --- | --- |

(b)

Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC (3);

| (c) | Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (4). |
| --- | --- |

(c)

Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC (4).

| (5) | The abovementioned new Directives amended the value thresholds for public procurement contracts provided for in Annex XXIX-A. |
| --- | --- |

(5)

The abovementioned new Directives amended the value thresholds for public procurement contracts provided for in Annex XXIX-A.

| (6) | It is therefore necessary to update Annex XXIX to the Agreement in order to reflect the changes made to the Union acquis listed in that Annex, in accordance with Articles 269, 273 and 436 of the Agreement. |
| --- | --- |

(6)

It is therefore necessary to update Annex XXIX to the Agreement in order to reflect the changes made to the Union acquis listed in that Annex, in accordance with Articles 269, 273 and 436 of the Agreement.

| (7) | The new Union acquis on public procurement has a new structure. It is appropriate to reflect this new structure in Annex XXIX. In the interest of clarity, Annex XXIX should be updated in its entirety and replaced by the text set out in the Annex to this Decision. It is furthermore appropriate to take into account the progress made by the Republic of Moldova in the process of approximation to the Union acquis. |
| --- | --- |

(7)

The new Union acquis on public procurement has a new structure. It is appropriate to reflect this new structure in Annex XXIX. In the interest of clarity, Annex XXIX should be updated in its entirety and replaced by the text set out in the Annex to this Decision. It is furthermore appropriate to take into account the progress made by the Republic of Moldova in the process of approximation to the Union acquis.

| (8) | In accordance with Article 436(3) of the Agreement the EU-Republic of Moldova Association Council shall have the power to update or amend the Annexes to the Agreement. The Association Council empowered the Association Committee in Trade configuration by Decision No 3/2014 of 16 December 2014 to update or amend certain trade-related annexes, |
| --- | --- |

(8)

In accordance with Article 436(3) of the Agreement the EU-Republic of Moldova Association Council shall have the power to update or amend the Annexes to the Agreement. The Association Council empowered the Association Committee in Trade configuration by Decision No 3/2014 of 16 December 2014 to update or amend certain trade-related annexes,

HAS ADOPTED THIS DECISION:

Article 1

Annex XXIX to the Association Agreement between the European Union and the European Atomic Energy Community and their Member States of the one part, and the Republic of Moldova, of the other part, is replaced by the by the text appearing in the Annex to this Decision.

Article 2

This Decision shall enter into force on the day of its adoption.

Done at Brussels, 19 October 2016.

For the Association Committee in Trade configuration

P. SOURMELIS

The Chair

---

(1)  
  OJ L 260, 30.8.2014, p. 4.

1

(2)  
  OJ L 94, 28.3.2014, p. 1.

2

(3)  
  OJ L 94, 28.3.2014, p. 65.

3

(4)  
  OJ L 94, 28.3.2014, p. 243.

4

---

ANNEX

Annex XXIX to the Agreement is replaced by the following:

‘ANNEX XXIX

PUBLIC PROCUREMENT

‘ANNEX XXIX-A

THRESHOLDS

| 1. | The value thresholds referred to in Article 269(3) of this Agreement shall be for both Parties:






  (a) | EUR 134 000 for public supply and service contracts awarded by central government authorities and design contests awarded by such authorities; |
| --- | --- | --- |

1.

(a)

EUR 134 000 for public supply and service contracts awarded by central government authorities and design contests awarded by such authorities;

| (b) | EUR 207 000 in the case of public supply and public service contracts not covered by point (a); |
| --- | --- |

(b)

EUR 207 000 in the case of public supply and public service contracts not covered by point (a);

| (c) | EUR 5 186 000 in the case of public works contracts; |
| --- | --- |

(c)

EUR 5 186 000 in the case of public works contracts;

| (d) | EUR 5 186 000 in the case of works contracts in the utilities sector; |
| --- | --- |

(d)

EUR 5 186 000 in the case of works contracts in the utilities sector;

| (e) | EUR 5 186 000 in the case of concessions; |
| --- | --- |

(e)

EUR 5 186 000 in the case of concessions;

| (f) | EUR 414 000 in the case of supply and service contracts in the utilities sector; |
| --- | --- |

(f)

EUR 414 000 in the case of supply and service contracts in the utilities sector;

| (g) | EUR 750 000 for public service contracts for social and other specific services; |
| --- | --- |

(g)

EUR 750 000 for public service contracts for social and other specific services;

| (h) | EUR 1 000 000 for service contracts for social and other specific services in the utilities sector. |
| --- | --- |

(h)

EUR 1 000 000 for service contracts for social and other specific services in the utilities sector.

| 2. | The value thresholds referred to in paragraph 1 shall be adapted to reflect the thresholds applicable under Directives 2014/23/EU, 2014/24/EU and 2014/25/EU at the moment of the entry into force of this Agreement. |
| --- | --- |

2.

‘ANNEX XXIX-B

Indicative time schedule for institutional reform, approximation and market access

| Phase | | Indicative time schedule | Market access granted to the EU by the Republic of Moldova | Market access granted to the Republic of Moldova by the EU | |
| --- | --- | --- | --- | --- | --- |
| 1 | Implementation of Articles 270(2) and 271 of this Agreement
  Agreement of the Reform Strategy set out in Article 272 of this Agreement | 9 months after the entry into force of this Agreement | Supplies for central government authorities | Supplies for central government authorities | |
| 2 | Approximation and implementation of basic elements of Directive 2014/24/EU and of Directive 89/665/EEC | 5 years after the entry into force of this Agreement | Supplies for state, regional and local authorities and bodies governed by public law | Supplies for state, regional and local authorities and bodies governed by public law | Annexes XXIX-C and XXIX-N |
| Approximation and implementation of basic elements of Directive 2014/25/EU and of Directive 92/13/EEC | 5 years after the entry into force of this Agreement | Supplies for all contracting entities in the utilities sector | Supplies for all contracting entities | Annexes XXIX-G and XXIX-Q |
| Approximation and implementation of other elements of Directive 2014/24/EU | 5 years after the entry into force of this Agreement | Service and works contracts for all contracting authorities | Service and works contracts for all contracting authorities | Annexes XXIX-D, XXIX-E, and XXIX-O |
| 3 | Approximation and implementation of Directive 2014/23/EU | 6 years after the entry into force of this Agreement | Concessions for all contracting authorities | Concessions for all contracting authorities | Annexes XXIX-K and XXIX-L |
| 4 | Approximation and implementation of other elements of Directive 2014/25/EU | 8 years after the entry into force of this Agreement | Service and works contracts for all contracting entities in the utilities sector | Service and works contracts for all contracting entities in the utilities sector | Annexes XXIX-H, XXIX-I and XXIX-R |

Phase

Indicative time schedule

Market access granted to the EU by the Republic of Moldova

Market access granted to the Republic of Moldova by the EU

1

Implementation of Articles 270(2) and 271 of this Agreement

Agreement of the Reform Strategy set out in Article 272 of this Agreement

9 months after the entry into force of this Agreement

Supplies for central government authorities

Supplies for central government authorities

2

Approximation and implementation of basic elements of Directive 2014/24/EU and of Directive 89/665/EEC

5 years after the entry into force of this Agreement

Supplies for state, regional and local authorities and bodies governed by public law

Supplies for state, regional and local authorities and bodies governed by public law

Annexes XXIX-C and XXIX-N

Approximation and implementation of basic elements of Directive 2014/25/EU and of Directive 92/13/EEC

5 years after the entry into force of this Agreement

Supplies for all contracting entities in the utilities sector

Supplies for all contracting entities

Annexes XXIX-G and XXIX-Q

Approximation and implementation of other elements of Directive 2014/24/EU

5 years after the entry into force of this Agreement

Service and works contracts for all contracting authorities

Service and works contracts for all contracting authorities

Annexes XXIX-D, XXIX-E, and XXIX-O

3

Approximation and implementation of Directive 2014/23/EU

6 years after the entry into force of this Agreement

Concessions for all contracting authorities

Concessions for all contracting authorities

Annexes XXIX-K and XXIX-L

4

Approximation and implementation of other elements of Directive 2014/25/EU

8 years after the entry into force of this Agreement

Service and works contracts for all contracting entities in the utilities sector

Service and works contracts for all contracting entities in the utilities sector

Annexes XXIX-H, XXIX-I and XXIX-R

‘ANNEX XXIX-C

Basic elements of Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on public procurement and repealing Directive 2004/18/EC

(Phase 2)

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Scope and definitions |
| Section 1 | Subject-matter and definitions |
| Article 1 | Subject-matter and scope: paragraphs 1, 2, 5 and 6 |
| Article 2 | Definitions: points (1), (4), (5), (6), (7), (8), (9), (10), (11), (12), (13), (18), (19), (20), (22), (23) and (24) of paragraph 1 |
| Article 3 | Mixed procurement |
| Section 2 | Thresholds |
| Article 4 | Threshold amounts |
| Article 5 | Methods for calculating the estimated value of procurement |
| Section 3 | Exclusions |
| Article 7 | Contracts in the water, energy, transport and postal services sectors |
| Article 8 | Specific exclusions in the field of electronic communications |
| Article 9 | Public contracts awarded and design contests organised pursuant to international rules |
| Article 10 | Specific exclusions for service contracts |
| Article 11 | Service contracts awarded on the basis of an exclusive right |
| Article 12 | Public contracts between entities within the public sector |
| Section 4 | Specific situations |
| Subsection 1 | Subsidised contracts and research and development services |
| Article 13 | Contracts subsidised by contracting authorities |
| Article 14 | Research and development services |
| Subsection 2 | Procurement involving defence and security aspects |
| Article 15 | Defence and security |
| Article 16 | Mixed procurement involving defence or security aspects |
| Article 17 | Public contracts and design contests involving defence or security aspects which are awarded or organised pursuant to international rules |
| | |
| CHAPTER II | General rules |
| Article 18 | Principles of procurement |
| Article 19 | Economic operators |
| Article 21 | Confidentiality |
| Article 22 | Rules applicable to communication: paragraphs 2-6 |
| Article 23 | Nomenclatures |
| Article 24 | Conflicts of interest |
| | |
| TITLE II | Rules on public contracts |
| | |
| CHAPTER I | Procedures |
| Article 26 | Choice of procedures: paragraphs 1, 2, point (a) of paragraph 4, paragraphs 5 and 6 |
| Article 27 | Open procedure |
| Article 28 | Restricted procedure |
| Article 29 | Competitive procedure with negotiation |
| Article 32 | Use of the negotiated procedure without prior publication |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 1 | Preparation |
| Article 40 | Preliminary market consultations |
| Article 41 | Prior involvement of candidates or tenderers |
| Article 42 | Technical specifications |
| Article 43 | Labels |
| Article 44 | Test reports, certification and other means of proof: paragraphs 1 and 2 |
| Article 45 | Variants |
| Article 46 | Division of contracts into lots |
| Article 47 | Setting time limits |
| Section 2 | Publication and transparency |
| Article 48 | Prior information notices |
| Article 49 | Contract notices |
| Article 50 | Contract award notices: paragraphs 1 and 4 |
| Article 51 | Form and manner of publication of notices: first subparagraph of paragraph 1 and first subparagraph of paragraph 5 |
| Article 53 | Electronic availability of procurement documents |
| Article 54 | Invitations to candidates |
| Section 3 | Choice of participants and award of contracts |
| Article 56 | General principles |
| Subsection 1 | Criteria for qualitative selection |
| Article 57 | Exclusion grounds |
| Article 58 | Selection criteria |
| Article 59 | European Single Procurement Document: paragraph 1 mutatis mutandis and paragraph 4 |
| Article 60 | Means of proof |
| Article 62 | Quality assurance standards and environmental management standards: paragraphs 1 and 2 |
| Article 63 | Reliance on the capacities of other entities |
| Subsection 2 | Reduction of numbers of candidates, tenders and solutions |
| Article 65 | Reduction of the number of otherwise qualified candidates to be invited to participate |
| Article 66 | Reduction of the number of tenders and solutions |
| Subsection 3 | Award of the contract |
| Article 67 | Contract award criteria |
| Article 68 | Life-cycle costing: paragraphs 1 and 2 |
| Article 69 | Abnormally low tenders: paragraphs 1-4 |
| | |
| CHAPTER IV | Contract performance |
| Article 70 | Conditions for performance of contracts |
| Article 71 | Subcontracting |
| Article 72 | Modification of contracts during their term |
| Article 73 | Termination of contracts |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER I | Social and other specific services |
| Article 74 | Award of contracts for social and other specific services |
| Article 75 | Publication of notices |
| Article 76 | Principles of awarding contracts |
| | |
| ANNEXES |
| Annex II | List of the activities referred to in point (6)(a) of Article 2(1) |
| Annex III | List of products referred to in Article 4(b) with regard to contracts awarded contracting authorities in the field of defence |
| Annex IV | Requirements relating to tools and devices for the electronic receipt of tenders, requests for participation as well as plans and projects in design contests |
| Annex V | Information to be included in notices |
| | Part A | Information to be included in notices of the publication of a prior information notice on a buyer profile |
| | Part B | Information to be included in prior information notices (as referred to in Article 48) |
| | Part C | Information to be included in contract notices (as referred to in Article 49) |
| | Part D | Information to be included in contract award notices (as referred to in Article 50) |
| | Part G | Information to be included in notices of modifications of a contract during its term (as referred to in Article 72(1)) |
| | Part H | Information to be included in contract notices concerning contracts for social and other specific services (as referred to in Article 75(1)) |
| | Part I | Information to be included in prior information notices for social and other specific services (as referred to in Article 75(1)) |
| | Part J | Information to be included in contract award notices concerning contracts for social and other specific services (as referred to in Article 75(2)) |
| Annex VII | Definition of certain technical specifications |
| Annex IX | Contents of the invitations to submit a tender, to participate in the dialogue or to confirm interest provided for under Article 54 |
| Annex X | List of international social and environmental conventions referred to in Article 18(2) |
| Annex XII | Means of proof of selection criteria |
| Annex XIV | Services referred to in Article 74 |

TITLE I

Scope, definitions and general principles

CHAPTER I

Scope and definitions

Section 1

Subject-matter and definitions

Article 1

Subject-matter and scope: paragraphs 1, 2, 5 and 6

Article 2

Definitions: points (1), (4), (5), (6), (7), (8), (9), (10), (11), (12), (13), (18), (19), (20), (22), (23) and (24) of paragraph 1

Article 3

Mixed procurement

Section 2

Thresholds

Article 4

Threshold amounts

Article 5

Methods for calculating the estimated value of procurement

Section 3

Exclusions

Article 7

Contracts in the water, energy, transport and postal services sectors

Article 8

Specific exclusions in the field of electronic communications

Article 9

Public contracts awarded and design contests organised pursuant to international rules

Article 10

Specific exclusions for service contracts

Article 11

Service contracts awarded on the basis of an exclusive right

Article 12

Public contracts between entities within the public sector

Section 4

Specific situations

Subsection 1

Subsidised contracts and research and development services

Article 13

Contracts subsidised by contracting authorities

Article 14

Research and development services

Subsection 2

Procurement involving defence and security aspects

Article 15

Defence and security

Article 16

Mixed procurement involving defence or security aspects

Article 17

Public contracts and design contests involving defence or security aspects which are awarded or organised pursuant to international rules

CHAPTER II

General rules

Article 18

Principles of procurement

Article 19

Economic operators

Article 21

Confidentiality

Article 22

Rules applicable to communication: paragraphs 2-6

Article 23

Nomenclatures

Article 24

Conflicts of interest

TITLE II

Rules on public contracts

CHAPTER I

Procedures

Article 26

Choice of procedures: paragraphs 1, 2, point (a) of paragraph 4, paragraphs 5 and 6

Article 27

Open procedure

Article 28

Restricted procedure

Article 29

Competitive procedure with negotiation

Article 32

Use of the negotiated procedure without prior publication

CHAPTER III

Conduct of the procedure

Section 1

Preparation

Article 40

Preliminary market consultations

Article 41

Prior involvement of candidates or tenderers

Article 42

Technical specifications

Article 43

Labels

Article 44

Test reports, certification and other means of proof: paragraphs 1 and 2

Article 45

Variants

Article 46

Division of contracts into lots

Article 47

Setting time limits

Section 2

Publication and transparency

Article 48

Prior information notices

Article 49

Contract notices

Article 50

Contract award notices: paragraphs 1 and 4

Article 51

Form and manner of publication of notices: first subparagraph of paragraph 1 and first subparagraph of paragraph 5

Article 53

Electronic availability of procurement documents

Article 54

Invitations to candidates

Section 3

Choice of participants and award of contracts

Article 56

General principles

Subsection 1

Criteria for qualitative selection

Article 57

Exclusion grounds

Article 58

Selection criteria

Article 59

European Single Procurement Document: paragraph 1 mutatis mutandis and paragraph 4

Article 60

Means of proof

Article 62

Quality assurance standards and environmental management standards: paragraphs 1 and 2

Article 63

Reliance on the capacities of other entities

Subsection 2

Reduction of numbers of candidates, tenders and solutions

Article 65

Reduction of the number of otherwise qualified candidates to be invited to participate

Article 66

Reduction of the number of tenders and solutions

Subsection 3

Award of the contract

Article 67

Contract award criteria

Article 68

Life-cycle costing: paragraphs 1 and 2

Article 69

Abnormally low tenders: paragraphs 1-4

CHAPTER IV

Contract performance

Article 70

Conditions for performance of contracts

Article 71

Subcontracting

Article 72

Modification of contracts during their term

Article 73

Termination of contracts

TITLE III

Particular procurement regimes

CHAPTER I

Social and other specific services

Article 74

Award of contracts for social and other specific services

Article 75

Publication of notices

Article 76

Principles of awarding contracts

ANNEXES

Annex II

List of the activities referred to in point (6)(a) of Article 2(1)

Annex III

List of products referred to in Article 4(b) with regard to contracts awarded contracting authorities in the field of defence

Annex IV

Requirements relating to tools and devices for the electronic receipt of tenders, requests for participation as well as plans and projects in design contests

Annex V

Information to be included in notices

Part A

Information to be included in notices of the publication of a prior information notice on a buyer profile

Part B

Information to be included in prior information notices (as referred to in Article 48)

Part C

Information to be included in contract notices (as referred to in Article 49)

Part D

Information to be included in contract award notices (as referred to in Article 50)

Part G

Information to be included in notices of modifications of a contract during its term (as referred to in Article 72(1))

Part H

Information to be included in contract notices concerning contracts for social and other specific services (as referred to in Article 75(1))

Part I

Information to be included in prior information notices for social and other specific services (as referred to in Article 75(1))

Part J

Information to be included in contract award notices concerning contracts for social and other specific services (as referred to in Article 75(2))

Annex VII

Definition of certain technical specifications

Annex IX

Contents of the invitations to submit a tender, to participate in the dialogue or to confirm interest provided for under Article 54

Annex X

List of international social and environmental conventions referred to in Article 18(2)

Annex XII

Means of proof of selection criteria

Annex XIV

Services referred to in Article 74

‘ANNEX XXIX-D

Other mandatory elements of Directive 2014/24/EU

(Phase 2)

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Scope and definitions |
| Section 1 | Subject-matter and definitions |
| Article 2 | Definitions: point (21) of paragraph 1 |
| Article 22 | Rules applicable to communication: paragraph 1 |
| | |
| TITLE II | Rules on public contracts |
| | |
| CHAPTER I | Procedures |
| Article 26 | Choice of procedures: paragraph 3 and point (b) of paragraph 4 |
| Article 30 | Competitive dialogue |
| Article 31 | Innovation partnership |
| | |
| CHAPTER II | Techniques and instruments for electronic and aggregated procurement |
| Article 33 | Framework agreements |
| Article 34 | Dynamic purchasing systems |
| Article 35 | Electronic auctions |
| Article 36 | Electronic catalogues |
| Article 38 | Occasional joint procurement |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 2 | Publication and transparency |
| Article 50 | Contract award notices: paragraphs 2 and 3 |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER II | Rules governing design contests |
| Article 78 | Scope |
| Article 79 | Notices |
| Article 80 | Rules on the organisation of design contests and the selection of participants |
| Article 81 | Composition of the jury |
| Article 82 | Decisions of the jury |
| | |
| ANNEXES |
| Annex V | Information to be included in notices |
| | Part E | Information to be included in design contest notices (as referred to in Article 79(1)) |
| | Part F | Information to be included in notices of the results of a contest (as referred to in Article 79(2)) |
| Annex VI | Information to be included in the procurement documents relating to electronic auctions (Article 35(4)) |

TITLE I

Scope, definitions and general principles

CHAPTER I

Scope and definitions

Section 1

Subject-matter and definitions

Article 2

Definitions: point (21) of paragraph 1

Article 22

Rules applicable to communication: paragraph 1

TITLE II

Rules on public contracts

CHAPTER I

Procedures

Article 26

Choice of procedures: paragraph 3 and point (b) of paragraph 4

Article 30

Competitive dialogue

Article 31

Innovation partnership

CHAPTER II

Techniques and instruments for electronic and aggregated procurement

Article 33

Framework agreements

Article 34

Dynamic purchasing systems

Article 35

Electronic auctions

Article 36

Electronic catalogues

Article 38

Occasional joint procurement

CHAPTER III

Conduct of the procedure

Section 2

Publication and transparency

Article 50

Contract award notices: paragraphs 2 and 3

TITLE III

Particular procurement regimes

CHAPTER II

Rules governing design contests

Article 78

Scope

Article 79

Notices

Article 80

Rules on the organisation of design contests and the selection of participants

Article 81

Composition of the jury

Article 82

Decisions of the jury

ANNEXES

Annex V

Information to be included in notices

Part E

Information to be included in design contest notices (as referred to in Article 79(1))

Part F

Information to be included in notices of the results of a contest (as referred to in Article 79(2))

Annex VI

Information to be included in the procurement documents relating to electronic auctions (Article 35(4))

‘ANNEX XXIX-E

Other non-mandatory elements of Directive 2014/24/EU

(Phase 2)

The elements of Directive 2014/24/EU set out in this Annex are not mandatory but recommended for approximation. The Republic of Moldova may approximate those elements within the time-frame set in Annex XXIX-B.

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Scope and definitions |
| Section 1 | Subject-matter and definitions |
| Article 2 | Definitions: points (14) and (16) of paragraph 1 |
| Article 20 | Reserved contracts |
| | |
| CHAPTER II | Techniques and instruments for electronic and aggregated procurement |
| Article 37 | Centralised purchasing activities and central purchasing bodies |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 3 | Choice of participants and award of contracts |
| Article 64 | Official lists of approved economic operators and certification by bodies established under public or private law |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER I | Social and other specific services |
| Article 77 | Reserved contracts for certain services |

TITLE I

Scope, definitions and general principles

CHAPTER I

Scope and definitions

Section 1

Subject-matter and definitions

Article 2

Definitions: points (14) and (16) of paragraph 1

Article 20

Reserved contracts

CHAPTER II

Techniques and instruments for electronic and aggregated procurement

Article 37

Centralised purchasing activities and central purchasing bodies

CHAPTER III

Conduct of the procedure

Section 3

Choice of participants and award of contracts

Article 64

Official lists of approved economic operators and certification by bodies established under public or private law

TITLE III

Particular procurement regimes

CHAPTER I

Social and other specific services

Article 77

Reserved contracts for certain services

‘ANNEX XXIX-F

Provisions of Directive 2014/24/EU outside the scope of approximation

The elements listed in this Annex are not subject to the process of approximation.

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Scope and definitions |
| Section 1 | Subject-matter and definitions |
| Article 1 | Subject-matter and scope: paragraphs 3 and 4 |
| Article 2 | Definitions: paragraph 2 |
| Section 2 | Thresholds |
| Article 6 | Revision of the thresholds and of the list of central government authorities |
| | |
| TITLE II | Rules on public contracts |
| | |
| CHAPTER I | Procedures |
| Article 25 | Conditions relating to the GPA and other international agreements |
| | |
| CHAPTER II | Techniques and instruments for electronic and aggregated procurement |
| Article 39 | Procurement involving contracting authorities from different Member States |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 1 | Preparation |
| Article 44 | Test reports, certification and other means of proof: paragraph 3 |
| Section 2 | Publication and transparency |
| Article 51 | Form and manner of publication of notices: second subparagraph of paragraph 1, paragraphs 2, 3 and 4, second subparagraph of paragraph 5, paragraph 6 |
| Article 52 | Publication at national level |
| Section 3 | Choice of participants and award of contracts |
| Article 61 | Online repository of certificates (e-Certis) |
| Article 62 | Quality assurance standards and environmental management standards: paragraph 3 |
| Article 68 | Life-cycle costing: paragraph 3 |
| Article 69 | Abnormally low tender: paragraph 5 |
| | |
| TITLE IV | Governance |
| Article 83 | Enforcement |
| Article 84 | Individual reports on procedures for the award of contracts |
| Article 85 | National reporting and statistical information |
| Article 86 | Administrative cooperation |
| | |
| TITLE V | Delegated powers, implementing powers and final provisions |
| Article 87 | Exercise of the delegation |
| Article 88 | Urgency procedure |
| Article 89 | Committee procedure |
| Article 90 | Transposition and transitional provisions |
| Article 91 | Repeals |
| Article 92 | Review |
| Article 93 | Entry into force |
| Article 94 | Addressees |
| | |
| ANNEXES |
| Annex I | Central government authorities |
| Annex VIII | Features concerning publication |
| Annex XI | Registers |
| Annex XIII | List of union legal acts referred to in Article 68(3) |
| Annex XV | Correlation table |

TITLE I

Scope, definitions and general principles

CHAPTER I

Scope and definitions

Section 1

Subject-matter and definitions

Article 1

Subject-matter and scope: paragraphs 3 and 4

Article 2

Definitions: paragraph 2

Section 2

Thresholds

Article 6

Revision of the thresholds and of the list of central government authorities

TITLE II

Rules on public contracts

CHAPTER I

Procedures

Article 25

Conditions relating to the GPA and other international agreements

CHAPTER II

Techniques and instruments for electronic and aggregated procurement

Article 39

Procurement involving contracting authorities from different Member States

CHAPTER III

Conduct of the procedure

Section 1

Preparation

Article 44

Test reports, certification and other means of proof: paragraph 3

Section 2

Publication and transparency

Article 51

Form and manner of publication of notices: second subparagraph of paragraph 1, paragraphs 2, 3 and 4, second subparagraph of paragraph 5, paragraph 6

Article 52

Publication at national level

Section 3

Choice of participants and award of contracts

Article 61

Online repository of certificates (e-Certis)

Article 62

Quality assurance standards and environmental management standards: paragraph 3

Article 68

Life-cycle costing: paragraph 3

Article 69

Abnormally low tender: paragraph 5

TITLE IV

Governance

Article 83

Enforcement

Article 84

Individual reports on procedures for the award of contracts

Article 85

National reporting and statistical information

Article 86

Administrative cooperation

TITLE V

Delegated powers, implementing powers and final provisions

Article 87

Exercise of the delegation

Article 88

Urgency procedure

Article 89

Committee procedure

Article 90

Transposition and transitional provisions

Article 91

Repeals

Article 92

Review

Article 93

Entry into force

Article 94

Addressees

ANNEXES

Annex I

Central government authorities

Annex VIII

Features concerning publication

Annex XI

Registers

Annex XIII

List of union legal acts referred to in Article 68(3)

Annex XV

Correlation table

‘ANNEX XXIX-G

Basic elements of Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on procurement by entities operating in the water, energy, transport and postal services sectors and repealing Directive 2004/17/EC

(Phase 2)

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Subject-matter and definitions |
| Article 1 | Subject-matter and scope: paragraphs 1, 2, 5 and 6 |
| Article 2 | Definitions: points (1)-(9), (13)-(16) and (18)-(20) |
| Article 3 | Contracting authorities: paragraphs 1 and 4 |
| Article 4 | Contracting entities: paragraphs 1-3 |
| Article 5 | Mixed procurement covering the same activity |
| Article 6 | Procurement covering several activities |
| | |
| CHAPTER II | Activities |
| Article 7 | Common provisions |
| Article 8 | Gas and heat |
| Article 9 | Electricity |
| Article 10 | Water |
| Article 11 | Transport services |
| Article 12 | Ports and airports |
| Article 13 | Postal services |
| Article 14 | Extraction of oil and gas and exploration for, or extraction of, coal or other solid fuels |
| | |
| CHAPTER III | Material scope |
| Section 1 | Thresholds |
| Article 15 | Threshold amounts |
| Article 16 | Methods for calculating the estimated value of procurement: paragraphs 1-4 and 7-14 |
| Section 2 | Excluded contracts and design contests: special provisions for procurement involving defence and security aspects |
| Subsection 1 | Exclusions applicable to all contracting entities and special exclusions for the water and energy sector |
| Article 18 | Contracts awarded for purposes of resale or lease to third parties: paragraph 1 |
| Article 20 | Contracts awarded and design contests organised pursuant to international rules |
| Article 21 | Specific exclusions for service contracts |
| Article 22 | Service contracts awarded on the basis of an exclusive right |
| Article 23 | Contracts awarded by certain contracting authorities for the purchase of water and for the supply of energy or of fuels for the production of energy |
| Subsection 2 | Procurement involving defence and security aspects |
| Article 24 | Defence and security |
| Article 25 | Mixed procurement covering the same activity and involving defence or security aspects |
| Article 26 | Procurement covering several activities and involving defence or security aspects |
| Article 27 | Contracts and design contests involving defence or security aspects which are awarded or organised pursuant to international rules |
| Subsection 3 | Special relations (cooperation, affiliated undertakings and joint ventures) |
| Article 28 | Contracts between contracting authorities |
| Article 29 | Contracts awarded to an affiliated undertaking |
| Article 30 | Contracts awarded to a joint venture or to a contracting entity forming part of a joint venture |
| Subsection 4 | Specific situations |
| Article 32 | Research and development services |
| | |
| CHAPTER IV | General principles |
| Article 36 | Principles of procurement |
| Article 37 | Economic operators |
| Article 39 | Confidentiality |
| Article 40 | Rules applicable to communication |
| Article 41 | Nomenclatures |
| Article 42 | Conflicts of interest |
| | |
| TITLE II | Rules applicable to contracts |
| | |
| CHAPTER I | Procedures |
| Article 44 | Choice of procedures: paragraphs 1, 2 and 4 |
| Article 45 | Open procedure |
| Article 46 | Restricted procedure |
| Article 47 | Negotiated procedure with prior call for competition |
| Article 50 | Use of the negotiated procedure without prior call for competition: points (a)–(i) |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 1 | Preparation |
| Article 58 | Preliminary market consultations |
| Article 59 | Prior involvement of candidates or tenderers |
| Article 60 | Technical specifications |
| Article 61 | Labels |
| Article 62 | Test reports, certification and other means of proof |
| Article 63 | Communication of technical specifications |
| Article 64 | Variants |
| Article 65 | Division of contracts into lots |
| Article 66 | Setting time limits |
| Section 2 | Publication and Transparency |
| Article 67 | Periodic indicative notices |
| Article 68 | Notices on the existence of a qualification system |
| Article 69 | Contract notices |
| Article 70 | Contract award notices: paragraphs 1, 3 and 4 |
| Article 71 | Form and manner of publication of notices: paragraph 1 and first subparagraph of paragraph 5 |
| Article 73 | Electronic availability of procurement documents |
| Article 74 | Invitations to candidates |
| Article 75 | Informing applicants for qualification, candidates and tenderers |
| Section 3 | Choice of participants and award of contract |
| Article 76 | General principles |
| Subsection 1 | Qualification and qualitative selection |
| Article 78 | Criteria for qualitative selection |
| Article 79 | Reliance on the capacities of other entities: paragraph 2 |
| Article 80 | Use of exclusion grounds and selection criteria provided for under Directive 2014/24/EU |
| Article 81 | Quality assurance standards and environmental management standards: paragraphs 1 and 2 |
| Subsection 2 | Award of the contract |
| Article 82 | Contract award criteria |
| Article 83 | Life-cycle costing: paragraphs 1 and 2 |
| Article 84 | Abnormally low tenders: paragraphs 1-4 |
| | |
| CHAPTER IV | Contract performance |
| Article 87 | Conditions for performance of contracts |
| Article 88 | Subcontracting |
| Article 89 | Modification of contracts during their term |
| Article 90 | Termination of contracts |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER I | Social and other specific services |
| Article 91 | Award of contracts for social and other specific services |
| Article 92 | Publication of notices |
| Article 93 | Principles of awarding contracts |
| | |
| ANNEXES |
| Annex I | List of activities as set out in point (a) of point 2 of Article 2 |
| Annex V | Requirements relating to tools and devices for the electronic receipt of tenders, requests to participate, applications for qualification as well as plans and projects in contests |
| Annex VI part A | Information to be included in the periodic indicative notice (as referred to in Article 67) |
| Annex VI part B | Information to be included in notices of publication of a periodic indicative notice on a buyer profile not used as a means of calling for competition (as referred to in Article 67(1)) |
| Annex VIII | Definition of certain technical specifications |
| Annex IX | Features concerning publication |
| Annex X | Information to be included in the notice on the existence of a qualification system (as referred to in point (b) of Article 44(4) and in Article 68) |
| Annex XI | Information to be included in contract notices (as referred to in Article 69) |
| Annex XII | Information to be included in the contract award notice (as referred to in Article 70) |
| Annex XIII | Contents of the invitation to submit a tender, to participate in the dialogue, to negotiate or to confirm interest provided for under Article 74 |
| Annex XIV | List of International Social and Environmental Conventions referred to in Article 36(2) |
| Annex XVI | Information to be included in notices of modifications of a contract during its term (as referred to in Article 89(1)) |
| Annex XVII | Services referred to in Article 91 |
| Annex XVIII | Information to be included in notices concerning contracts for social and other specific services (as referred to in Article 92) |

TITLE I

Scope, definitions and general principles

CHAPTER I

Subject-matter and definitions

Article 1

Subject-matter and scope: paragraphs 1, 2, 5 and 6

Article 2

Definitions: points (1)-(9), (13)-(16) and (18)-(20)

Article 3

Contracting authorities: paragraphs 1 and 4

Article 4

Contracting entities: paragraphs 1-3

Article 5

Mixed procurement covering the same activity

Article 6

Procurement covering several activities

CHAPTER II

Activities

Article 7

Common provisions

Article 8

Gas and heat

Article 9

Electricity

Article 10

Water

Article 11

Transport services

Article 12

Ports and airports

Article 13

Postal services

Article 14

Extraction of oil and gas and exploration for, or extraction of, coal or other solid fuels

CHAPTER III

Material scope

Section 1

Thresholds

Article 15

Threshold amounts

Article 16

Methods for calculating the estimated value of procurement: paragraphs 1-4 and 7-14

Section 2

Excluded contracts and design contests: special provisions for procurement involving defence and security aspects

Subsection 1

Exclusions applicable to all contracting entities and special exclusions for the water and energy sector

Article 18

Contracts awarded for purposes of resale or lease to third parties: paragraph 1

Article 20

Contracts awarded and design contests organised pursuant to international rules

Article 21

Specific exclusions for service contracts

Article 22

Service contracts awarded on the basis of an exclusive right

Article 23

Contracts awarded by certain contracting authorities for the purchase of water and for the supply of energy or of fuels for the production of energy

Subsection 2

Procurement involving defence and security aspects

Article 24

Defence and security

Article 25

Mixed procurement covering the same activity and involving defence or security aspects

Article 26

Procurement covering several activities and involving defence or security aspects

Article 27

Contracts and design contests involving defence or security aspects which are awarded or organised pursuant to international rules

Subsection 3

Special relations (cooperation, affiliated undertakings and joint ventures)

Article 28

Contracts between contracting authorities

Article 29

Contracts awarded to an affiliated undertaking

Article 30

Contracts awarded to a joint venture or to a contracting entity forming part of a joint venture

Subsection 4

Specific situations

Article 32

Research and development services

CHAPTER IV

General principles

Article 36

Principles of procurement

Article 37

Economic operators

Article 39

Confidentiality

Article 40

Rules applicable to communication

Article 41

Nomenclatures

Article 42

Conflicts of interest

TITLE II

Rules applicable to contracts

CHAPTER I

Procedures

Article 44

Choice of procedures: paragraphs 1, 2 and 4

Article 45

Open procedure

Article 46

Restricted procedure

Article 47

Negotiated procedure with prior call for competition

Article 50

Use of the negotiated procedure without prior call for competition: points (a)–(i)

CHAPTER III

Conduct of the procedure

Section 1

Preparation

Article 58

Preliminary market consultations

Article 59

Prior involvement of candidates or tenderers

Article 60

Technical specifications

Article 61

Labels

Article 62

Test reports, certification and other means of proof

Article 63

Communication of technical specifications

Article 64

Variants

Article 65

Division of contracts into lots

Article 66

Setting time limits

Section 2

Publication and Transparency

Article 67

Periodic indicative notices

Article 68

Notices on the existence of a qualification system

Article 69

Contract notices

Article 70

Contract award notices: paragraphs 1, 3 and 4

Article 71

Form and manner of publication of notices: paragraph 1 and first subparagraph of paragraph 5

Article 73

Electronic availability of procurement documents

Article 74

Invitations to candidates

Article 75

Informing applicants for qualification, candidates and tenderers

Section 3

Choice of participants and award of contract

Article 76

General principles

Subsection 1

Qualification and qualitative selection

Article 78

Criteria for qualitative selection

Article 79

Reliance on the capacities of other entities: paragraph 2

Article 80

Use of exclusion grounds and selection criteria provided for under Directive 2014/24/EU

Article 81

Quality assurance standards and environmental management standards: paragraphs 1 and 2

Subsection 2

Award of the contract

Article 82

Contract award criteria

Article 83

Life-cycle costing: paragraphs 1 and 2

Article 84

Abnormally low tenders: paragraphs 1-4

CHAPTER IV

Contract performance

Article 87

Conditions for performance of contracts

Article 88

Subcontracting

Article 89

Modification of contracts during their term

Article 90

Termination of contracts

TITLE III

Particular procurement regimes

CHAPTER I

Social and other specific services

Article 91

Award of contracts for social and other specific services

Article 92

Publication of notices

Article 93

Principles of awarding contracts

ANNEXES

Annex I

List of activities as set out in point (a) of point 2 of Article 2

Annex V

Requirements relating to tools and devices for the electronic receipt of tenders, requests to participate, applications for qualification as well as plans and projects in contests

Annex VI part A

Information to be included in the periodic indicative notice (as referred to in Article 67)

Annex VI part B

Information to be included in notices of publication of a periodic indicative notice on a buyer profile not used as a means of calling for competition (as referred to in Article 67(1))

Annex VIII

Definition of certain technical specifications

Annex IX

Features concerning publication

Annex X

Information to be included in the notice on the existence of a qualification system (as referred to in point (b) of Article 44(4) and in Article 68)

Annex XI

Information to be included in contract notices (as referred to in Article 69)

Annex XII

Information to be included in the contract award notice (as referred to in Article 70)

Annex XIII

Contents of the invitation to submit a tender, to participate in the dialogue, to negotiate or to confirm interest provided for under Article 74

Annex XIV

List of International Social and Environmental Conventions referred to in Article 36(2)

Annex XVI

Information to be included in notices of modifications of a contract during its term (as referred to in Article 89(1))

Annex XVII

Services referred to in Article 91

Annex XVIII

Information to be included in notices concerning contracts for social and other specific services (as referred to in Article 92)

‘ANNEX XXIX-H

Other mandatory elements of Directive 2014/25/EU

(Phase 4)

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Subject-matter and definitions |
| Article 2 | Definitions: point (17) |
| | |
| CHAPTER III | Material scope |
| Section 1 | Thresholds |
| Article 16 | Methods for calculating the estimated value of procurement: paragraphs 5 and 6 |
| | |
| TITLE II | Rules applicable to contracts |
| | |
| CHAPTER I | Procedures |
| Article 44 | Choice of procedures: paragraph 3 |
| Article 48 | Competitive dialogue |
| Article 49 | Innovation partnership |
| Article 50 | Use of the negotiated procedure without prior call for competition: point (j) |
| | |
| CHAPTER II | Techniques and instruments for electronic and aggregated procurement |
| Article 51 | Framework agreements |
| Article 52 | Dynamic purchasing systems |
| Article 53 | Electronic auctions |
| Article 54 | Electronic catalogues |
| Article 56 | Occasional joint procurement |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 2 | Publication and transparency |
| Article 70 | Contract award notices: paragraph 2 |
| Section 3 | Choice of participants and award of contracts |
| Subsection 1 | Qualification and qualitative selection |
| Article 77 | Qualification systems |
| Article 79 | Reliance on the capacities of other entities: paragraph 1 |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER II | Rules governing design contests |
| Article 95 | Scope |
| Article 96 | Notices |
| Article 97 | Rules on the organisation of design contests, the selection of participants and the jury |
| Article 98 | Decision of the jury |
| | |
| ANNEXES |
| Annex VII | Information to be included in the procurement documents relating to electronic auctions (Article 53(4)) |
| Annex XIX | Information to be included in the design contest notice (as referred to in Article 96(1)) |
| Annex XX | Information to be included in the results of design contest notices (as referred to in Article 96(1)) |

TITLE I

Scope, definitions and general principles

CHAPTER I

Subject-matter and definitions

Article 2

Definitions: point (17)

CHAPTER III

Material scope

Section 1

Thresholds

Article 16

Methods for calculating the estimated value of procurement: paragraphs 5 and 6

TITLE II

Rules applicable to contracts

CHAPTER I

Procedures

Article 44

Choice of procedures: paragraph 3

Article 48

Competitive dialogue

Article 49

Innovation partnership

Article 50

Use of the negotiated procedure without prior call for competition: point (j)

CHAPTER II

Techniques and instruments for electronic and aggregated procurement

Article 51

Framework agreements

Article 52

Dynamic purchasing systems

Article 53

Electronic auctions

Article 54

Electronic catalogues

Article 56

Occasional joint procurement

CHAPTER III

Conduct of the procedure

Section 2

Publication and transparency

Article 70

Contract award notices: paragraph 2

Section 3

Choice of participants and award of contracts

Subsection 1

Qualification and qualitative selection

Article 77

Qualification systems

Article 79

Reliance on the capacities of other entities: paragraph 1

TITLE III

Particular procurement regimes

CHAPTER II

Rules governing design contests

Article 95

Scope

Article 96

Notices

Article 97

Rules on the organisation of design contests, the selection of participants and the jury

Article 98

Decision of the jury

ANNEXES

Annex VII

Information to be included in the procurement documents relating to electronic auctions (Article 53(4))

Annex XIX

Information to be included in the design contest notice (as referred to in Article 96(1))

Annex XX

Information to be included in the results of design contest notices (as referred to in Article 96(1))

‘ANNEX XXIX-I

Other non-mandatory elements of Directive 2014/25/EU

(Phase 4)

The elements of Directive 2014/25/EU set out in this Annex are not mandatory but recommended for approximation. The Republic of Moldova may approximate those elements within the time-frame set in Annex XXIX-B.

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Subject-matter and definitions |
| Article 2 | Definitions: points (10)-(12) |
| | |
| CHAPTER IV | General principles |
| Article 38 | Reserved contracts |
| | |
| TITLE II | Rules applicable to contracts |
| | |
| CHAPTER I | Procedures |
| Article 55 | Centralised purchasing activities and central purchasing bodies |
| | |
| TITLE III | Particular procurement regimes |
| | |
| CHAPTER I | Social and other specific services |
| Article 94 | Reserved contracts for certain services |

TITLE I

Scope, definitions and general principles

CHAPTER I

Subject-matter and definitions

Article 2

Definitions: points (10)-(12)

CHAPTER IV

General principles

Article 38

Reserved contracts

TITLE II

Rules applicable to contracts

CHAPTER I

Procedures

Article 55

Centralised purchasing activities and central purchasing bodies

TITLE III

Particular procurement regimes

CHAPTER I

Social and other specific services

Article 94

Reserved contracts for certain services

‘ANNEX XXIX-J

Provisions of Directive 2014/25/EU outside the scope of approximation

The elements listed in this Annex are not subject to the process of approximation.

| TITLE I | Scope, definitions and general principles |
| --- | --- |
| | |
| CHAPTER I | Subject-matter and definitions |
| Article 1 | Subject matter and scope: paragraphs 3 and 4 |
| Article 3 | Contracting authorities: paragraphs 2 and 3 |
| Article 4 | Contracting entities: paragraph 4 |
| | |
| CHAPTER III | Material scope |
| Section 1 | Thresholds |
| Article 17 | Revision of the thresholds |
| Section 2 | Excluded contracts and design contests: special provisions for procurement involving defence and security aspects |
| Subsection 1 | Exclusions applicable to all contracting entities and special exclusions for the water and energy sector |
| Article 18 | Contracts awarded for purposes of resale or lease to third parties: paragraph 2 |
| Article 19 | Contracts and design contests awarded or organised for purposes other than the pursuit of a covered activity or for the pursuit of such an activity in a third country: paragraph 2 |
| Subsection 3 | Special relations (cooperation, affiliated undertakings and joint ventures) |
| Article 31 | Notification of information |
| Subsection 4 | Specific situations |
| Article 33 | Contracts subject to special arrangements |
| Subsection 5 | Activities directly exposed to competition and procedural provisions relating thereto |
| Article 34 | Activities directly exposed to competition |
| Article 35 | Procedure for establishing whether Article 34 is applicable |
| | |
| TITLE II | Rules applicable to contracts |
| | |
| CHAPTER I | Procedures |
| Article 43 | Conditions relating to the GPA and other international agreements |
| | |
| CHAPTER II | Techniques and instruments for electronic and aggregated procurement |
| Article 57 | Procurement involving contracting entities from different Member States |
| | |
| CHAPTER III | Conduct of the procedure |
| Section 2 | Publication and transparency |
| Article 71 | Form and manner of publication of notices: paragraphs 2, 3, 4, second subparagraph of paragraph 5, paragraph 6 |
| Article 72 | Publication at national level |
| Section 3 | Choice of participants and award of contract |
| Article 81 | Quality assurance standards and environmental management standards: paragraph 3 |
| Article 83 | Life-cycle costing: paragraph 3 |
| Section 4 | Tenders comprising products originating in third countries and relations with those countries |
| Article 85 | Tenders comprising products originating in third countries |
| Article 86 | Relations with third countries as regards works, supplies and service contracts |
| | |
| TITLE IV | Governance |
| Article 99 | Enforcement |
| Article 100 | Individual reports on procedures for the award of contracts |
| Article 101 | National reporting and statistical information |
| Article 102 | Administrative cooperation |
| | |
| TITLE V | Delegated powers, implementing powers and final provisions |
| Article 103 | Exercise of the delegation |
| Article 104 | Urgency procedure |
| Article 105 | Committee procedure |
| Article 106 | Transposition and transitional provisions |
| Article 107 | Repeal |
| Article 108 | Review |
| Article 109 | Entry into force |
| Article 110 | Addressees |
| | |
| ANNEXES |
| Annex II | List of Union legal acts referred to in Article 4(3) |
| Annex III | List of Union legal acts referred to in Article 34(3) |
| Annex IV | Deadlines for the adoption of the implementing acts referred to in Article 35 |
| Annex XV | List of Union legal acts referred to in Article 83(3) |

TITLE I

Scope, definitions and general principles

CHAPTER I

Subject-matter and definitions

Article 1

Subject matter and scope: paragraphs 3 and 4

Article 3

Contracting authorities: paragraphs 2 and 3

Article 4

Contracting entities: paragraph 4

CHAPTER III

Material scope

Section 1

Thresholds

Article 17

Revision of the thresholds

Section 2

Excluded contracts and design contests: special provisions for procurement involving defence and security aspects

Subsection 1

Exclusions applicable to all contracting entities and special exclusions for the water and energy sector

Article 18

Contracts awarded for purposes of resale or lease to third parties: paragraph 2

Article 19

Contracts and design contests awarded or organised for purposes other than the pursuit of a covered activity or for the pursuit of such an activity in a third country: paragraph 2

Subsection 3

Special relations (cooperation, affiliated undertakings and joint ventures)

Article 31

Notification of information

Subsection 4

Specific situations

Article 33

Contracts subject to special arrangements

Subsection 5

Activities directly exposed to competition and procedural provisions relating thereto

Article 34

Activities directly exposed to competition

Article 35

Procedure for establishing whether Article 34 is applicable

TITLE II

Rules applicable to contracts

CHAPTER I

Procedures

Article 43

Conditions relating to the GPA and other international agreements

CHAPTER II

Techniques and instruments for electronic and aggregated procurement

Article 57

Procurement involving contracting entities from different Member States

CHAPTER III

Conduct of the procedure

Section 2

Publication and transparency

Article 71

Form and manner of publication of notices: paragraphs 2, 3, 4, second subparagraph of paragraph 5, paragraph 6

Article 72

Publication at national level

Section 3

Choice of participants and award of contract

Article 81

Quality assurance standards and environmental management standards: paragraph 3

Article 83

Life-cycle costing: paragraph 3

Section 4

Tenders comprising products originating in third countries and relations with those countries

Article 85

Tenders comprising products originating in third countries

Article 86

Relations with third countries as regards works, supplies and service contracts

TITLE IV

Governance

Article 99

Enforcement

Article 100

Individual reports on procedures for the award of contracts

Article 101

National reporting and statistical information

Article 102

Administrative cooperation

TITLE V

Delegated powers, implementing powers and final provisions

Article 103

Exercise of the delegation

Article 104

Urgency procedure

Article 105

Committee procedure

Article 106

Transposition and transitional provisions

Article 107

Repeal

Article 108

Review

Article 109

Entry into force

Article 110

Addressees

ANNEXES

Annex II

List of Union legal acts referred to in Article 4(3)

Annex III

List of Union legal acts referred to in Article 34(3)

Annex IV

Deadlines for the adoption of the implementing acts referred to in Article 35

Annex XV

List of Union legal acts referred to in Article 83(3)

‘ANNEX XXIX-K

Basic elements of Directive 2014/23/EU of the European Parliament and of the Council of 26 February 2014 on the award of concession contracts

(Phase 3)

| TITLE I | Subject-matter, scope, principles and definitions |
| --- | --- |
| | |
| CHAPTER I | Scope, general principles and definitions |
| Section I | Subject-matter, scope, general principles, definitions and threshold |
| Article 1 | Subject-matter and scope: paragraphs 1, 2 and 4 |
| Article 2 | Principle of free administration by public authorities |
| Article 3 | Principle of equal treatment, non-discrimination and transparency |
| Article 4 | Freedom to define services of general economic interest |
| Article 5 | Definitions |
| Article 6 | Contracting authorities: paragraphs 1 and 4 |
| Article 7 | Contracting entities |
| Article 8 | Threshold and methods for calculating the estimated value of concessions |
| Section II | Exclusions |
| Article 10 | Exclusions applicable to concessions awarded by contracting authorities and contracting entities |
| Article 11 | Specific exclusions in the field of electronic communications |
| Article 12 | Specific exclusions in the field of water |
| Article 13 | Concessions awarded to an affiliated undertaking |
| Article 14 | Concessions awarded to a joint venture or to a contracting entity forming part of a joint venture |
| Article 17 | Concessions between entities within the public sector |
| Section III | General provisions |
| Article 18 | Duration of the concession |
| Article 19 | Social and other specific services |
| Article 20 | Mixed contracts |
| Article 21 | Mixed procurement contracts involving defence or security aspects |
| Article 22 | Contracts covering both activities referred to in Annex II and other activities |
| Article 23 | Concessions covering both activities referred to in Annex II and activities involving defence or security aspects |
| Article 25 | Research and development services |
| | |
| CHAPTER II | Principles |
| Article 26 | Economic operators |
| Article 27 | Nomenclatures |
| Article 28 | Confidentiality |
| Article 29 | Rules applicable to communication |
| | |
| TITLE II | Rules on the award of concessions: general principles and procedural guarantees |
| | |
| CHAPTER I | General principles |
| Article 30 | General principles: paragraphs 1, 2 and 3 |
| Article 31 | Concession notices |
| Article 32 | Concession award notices |
| Article 33 | Form and manner of publication of notices: first subparagraph of paragraph 1 |
| Article 34 | Electronic availability of concession documents |
| Article 35 | Combating corruption and preventing conflicts of interest |
| | |
| CHAPTER II | Procedural guarantees |
| Article 36 | Technical and functional requirements |
| Article 37 | Procedural guarantees |
| Article 38 | Selection of and qualitative assessment of candidates |
| Article 39 | Time limits for receipt of applications and tenders for the concession |
| Article 40 | Provision of information to candidates and tenderers |
| Article 41 | Award criteria |
| | |
| TITLE III | Rules on performance of concessions |
| Article 42 | Subcontracting |
| Article 43 | Modification of contracts during their term |
| Article 44 | Termination of concessions |
| Article 45 | Monitoring and reporting |
| | |
| ANNEXES |
| Annex I | List of the activities referred to in point (7) of Article 5 |
| Annex II | Activities exercised by contracting entities as referred to in Article 7 |
| Annex III | List of legal acts of the union referred to in point (b) of Article 7(2) |
| Annex IV | Services referred to in Article 19 |
| Annex V | Information to be included in concession notices referred to in Article 31 |
| Annex VI | Information to be included in prior information notices concerning concessions for social and other specific services, as referred to in Article 31(3) |
| Annex VII | Information to be included in concession award notices, as referred to in Article 32 |
| Annex VIII | Information to be included in concession award notices concerning concessions for social and other specific services, as referred to in Article 32 |
| Annex IX | Features concerning publication |
| Annex X | List of international social and environmental conventions referred to in Article 30(3) |
| Annex XI | Information to be included in notices of modifications of a concession during its term according to Article 43 |

TITLE I

Subject-matter, scope, principles and definitions

CHAPTER I

Scope, general principles and definitions

Section I

Subject-matter, scope, general principles, definitions and threshold

Article 1

Subject-matter and scope: paragraphs 1, 2 and 4

Article 2

Principle of free administration by public authorities

Article 3

Principle of equal treatment, non-discrimination and transparency

Article 4

Freedom to define services of general economic interest

Article 5

Definitions

Article 6

Contracting authorities: paragraphs 1 and 4

Article 7

Contracting entities

Article 8

Threshold and methods for calculating the estimated value of concessions

Section II

Exclusions

Article 10

Exclusions applicable to concessions awarded by contracting authorities and contracting entities

Article 11

Specific exclusions in the field of electronic communications

Article 12

Specific exclusions in the field of water

Article 13

Concessions awarded to an affiliated undertaking

Article 14

Concessions awarded to a joint venture or to a contracting entity forming part of a joint venture

Article 17

Concessions between entities within the public sector

Section III

General provisions

Article 18

Duration of the concession

Article 19

Social and other specific services

Article 20

Mixed contracts

Article 21

Mixed procurement contracts involving defence or security aspects

Article 22

Contracts covering both activities referred to in Annex II and other activities

Article 23

Concessions covering both activities referred to in Annex II and activities involving defence or security aspects

Article 25

Research and development services

CHAPTER II

Principles

Article 26

Economic operators

Article 27

Nomenclatures

Article 28

Confidentiality

Article 29

Rules applicable to communication

TITLE II

Rules on the award of concessions: general principles and procedural guarantees

CHAPTER I

General principles

Article 30

General principles: paragraphs 1, 2 and 3

Article 31

Concession notices

Article 32

Concession award notices

Article 33

Form and manner of publication of notices: first subparagraph of paragraph 1

Article 34

Electronic availability of concession documents

Article 35

Combating corruption and preventing conflicts of interest

CHAPTER II

Procedural guarantees

Article 36

Technical and functional requirements

Article 37

Procedural guarantees

Article 38

Selection of and qualitative assessment of candidates

Article 39

Time limits for receipt of applications and tenders for the concession

Article 40

Provision of information to candidates and tenderers

Article 41

Award criteria

TITLE III

Rules on performance of concessions

Article 42

Subcontracting

Article 43

Modification of contracts during their term

Article 44

Termination of concessions

Article 45

Monitoring and reporting

ANNEXES

Annex I

List of the activities referred to in point (7) of Article 5

Annex II

Activities exercised by contracting entities as referred to in Article 7

Annex III

List of legal acts of the union referred to in point (b) of Article 7(2)

Annex IV

Services referred to in Article 19

Annex V

Information to be included in concession notices referred to in Article 31

Annex VI

Information to be included in prior information notices concerning concessions for social and other specific services, as referred to in Article 31(3)

Annex VII

Information to be included in concession award notices, as referred to in Article 32

Annex VIII

Information to be included in concession award notices concerning concessions for social and other specific services, as referred to in Article 32

Annex IX

Features concerning publication

Annex X

List of international social and environmental conventions referred to in Article 30(3)

Annex XI

Information to be included in notices of modifications of a concession during its term according to Article 43

‘ANNEX XXIX-L

Other non-mandatory elements of Directive 2014/23/EU

(Phase 3)

The elements of Directive 2014/23/EU set out in this Annex are not mandatory but recommended for approximation. The Republic of Moldova may approximate those elements within the time-frame set in Annex XXIX-B.

| TITLE I | Subject-matter, scope, principles and definitions |
| --- | --- |
| | |
| CHAPTER I | Scope, general principles and definitions |
| | |
| Section IV | Specific situations |
| Article 24 | Reserved concessions |

TITLE I

Subject-matter, scope, principles and definitions

CHAPTER I

Scope, general principles and definitions

Section IV

Specific situations

Article 24

Reserved concessions

‘ANNEX XXIX-M

Provisions of Directive 2014/23/EU outside the scope of approximation

The elements listed in this Annex are not subject to the process of approximation.

| TITLE I | Subject-matter, scope, principles and definitions |
| --- | --- |
| | |
| CHAPTER I | Scope, general principles and definitions |
| Section I | Subject-matter, scope, general principles, definitions and threshold |
| Article 1 | Subject-matter and scope: paragraph 3 |
| Article 6 | Contracting authorities: paragraphs 2 and 3 |
| Article 9 | Revision of the threshold |
| Section II | Exclusions |
| Article 15 | Notification of information by contracting entities |
| Article 16 | Exclusion of activities which are directly exposed to competition |
| | |
| TITLE II | Rules on the award of concessions: general principles and procedural guarantees |
| | |
| CHAPTER I | General principles |
| Article 30 | General principles: paragraph 4 |
| Article 33 | Form and manner of publication of notices: second subparagraph of paragraph 1, paragraphs 2, 3 and 4 |
| | |
| TITLE IV | Amendments to Directive 89/665/EEC and 92/13/EEC |
| Article 46 | Amendments to Directive 89/665/EEC |
| Article 47 | Amendments to Directive 92/13/EEC |
| | |
| TITLE V | Delegated powers, implementing powers and final provisions |
| Article 48 | Exercise of the delegation |
| Article 49 | Urgency procedure |
| Article 50 | Committee procedure |
| Article 51 | Transposition |
| Article 52 | Transitional provisions |
| Article 53 | Monitoring and reporting |
| Article 54 | Entry into force |
| Article 55 | Addressees |

TITLE I

Subject-matter, scope, principles and definitions

CHAPTER I

Scope, general principles and definitions

Section I

Subject-matter, scope, general principles, definitions and threshold

Article 1

Subject-matter and scope: paragraph 3

Article 6

Contracting authorities: paragraphs 2 and 3

Article 9

Revision of the threshold

Section II

Exclusions

Article 15

Notification of information by contracting entities

Article 16

Exclusion of activities which are directly exposed to competition

TITLE II

Rules on the award of concessions: general principles and procedural guarantees

CHAPTER I

General principles

Article 30

General principles: paragraph 4

Article 33

Form and manner of publication of notices: second subparagraph of paragraph 1, paragraphs 2, 3 and 4

TITLE IV

Amendments to Directive 89/665/EEC and 92/13/EEC

Article 46

Amendments to Directive 89/665/EEC

Article 47

Amendments to Directive 92/13/EEC

TITLE V

Delegated powers, implementing powers and final provisions

Article 48

Exercise of the delegation

Article 49

Urgency procedure

Article 50

Committee procedure

Article 51

Transposition

Article 52

Transitional provisions

Article 53

Monitoring and reporting

Article 54

Entry into force

Article 55

Addressees

‘ANNEX XXIX-N

Basic elements of Council Directive 89/665/EEC of 21 December 1989 on the coordination of the laws, regulations and administrative provisions relating to the application of review procedures to the award of public supply and public works contracts as amended by Directive 2007/66/EC of the European Parliament and of the Council of 11 December 2007 amending Council Directives 89/665/EEC and No 92/13/EEC with regard to improving the effectiveness of review procedures concerning the award of public contracts and by Directive 2014/23/EU

(Phase 2)

| Article 1 | Scope and availability of review procedures |
| --- | --- |
| Article 2 | Requirements for review procedures |
| Article 2a | Standstill period |
| Article 2b | Derogations from the standstill period: point (b) of the first paragraph |
| Article 2c | Time limits for applying for review |
| Article 2d | Ineffectiveness: point (b) of paragraph 1, paragraphs 2 and 3 |
| Article 2e | Infringements of this Directive and alternative penalties |
| Article 2f | Time limits |

Article 1

Scope and availability of review procedures

Article 2

Requirements for review procedures

Article 2a

Standstill period

Article 2b

Derogations from the standstill period: point (b) of the first paragraph

Article 2c

Time limits for applying for review

Article 2d

Ineffectiveness: point (b) of paragraph 1, paragraphs 2 and 3

Article 2e

Infringements of this Directive and alternative penalties

Article 2f

Time limits

‘ANNEX XXIX-O

Other elements of Directive 89/665/EEC

(Phase 2)

| Article 2b | Derogations from the standstill period: point (c) of the first paragraph |
| --- | --- |
| Article 2d | Ineffectiveness: point (c) of the first paragraph, paragraph 5 |

Article 2b

Derogations from the standstill period: point (c) of the first paragraph

Article 2d

Ineffectiveness: point (c) of the first paragraph, paragraph 5

‘ANNEX XXIX-P

Provisions of Directive 89/665/EEC outside the scope of approximation

The elements listed in this Annex are not subject to the process of approximation.

| Article 2b | Derogations from the standstill period: point (a) of the first paragraph |
| --- | --- |
| Article 2d | Ineffectiveness: point (a) of the first paragraph, paragraph 4 |
| Article 3 | Corrective mechanism |
| Article 3a | Content of the notice for voluntary ex ante transparency |
| Article 3b | Committee procedure |
| Article 4 | Implementation |
| Article 4a | Review |

Article 2b

Derogations from the standstill period: point (a) of the first paragraph

Article 2d

Ineffectiveness: point (a) of the first paragraph, paragraph 4

Article 3

Corrective mechanism

Article 3a

Content of the notice for voluntary ex ante transparency

Article 3b

Committee procedure

Article 4

Implementation

Article 4a

Review

‘ANNEX XXIX-Q

Basic elements of Council Directive 92/13/EEC of 25 February 1992 coordinating the laws, regulations and administrative provisions relating to the application of Community rules on the procurement procedures of entities operating in the water, energy, transport and telecommunications sectors as amended by Directive 2007/66/EC and Directive 2014/23/EU

(Phase 2)

| Article 1 | Scope and availability of review procedures |
| --- | --- |
| Article 2 | Requirements for review procedures |
| Article 2a | Standstill period |
| Article 2b | Derogations from the standstill period: point (b) of the first paragraph |
| Article 2c | Time limits for applying for review |
| Article 2d | Ineffectiveness: point (b) of paragraph 1, paragraphs 2 and 3 |
| Article 2e | Infringements of this Directive and alternative penalties |
| Article 2f | Time limits |

Article 1

Scope and availability of review procedures

Article 2

Requirements for review procedures

Article 2a

Standstill period

Article 2b

Derogations from the standstill period: point (b) of the first paragraph

Article 2c

Time limits for applying for review

Article 2d

Ineffectiveness: point (b) of paragraph 1, paragraphs 2 and 3

Article 2e

Infringements of this Directive and alternative penalties

Article 2f

Time limits

‘ANNEX XXIX-R

Other elements of Directive 92/13/EEC

(Phase 4)

| Article 2b | Derogations from the standstill period: point (c) of the first paragraph, paragraph 5 |
| --- | --- |

Article 2b

Derogations from the standstill period: point (c) of the first paragraph, paragraph 5

‘ANNEX XXIX-S

Provisions of Directive 92/13/EEC outside the scope of approximation

The elements listed in this Annex are not subject to the process of approximation.

| Article 2b | Derogations from the standstill period: point (a) of the first paragraph |
| --- | --- |
| Article 2d | Ineffectiveness: point (a) of the first paragraph, paragraph 4 |
| Article 3a | Content of the notice for voluntary ex ante transparency |
| Article 3b | Committee procedure |
| Article 8 | Corrective mechanism |
| Article 12 | Implementation |
| Article 12a | Review |

Article 2b

Derogations from the standstill period: point (a) of the first paragraph

Article 2d

Ineffectiveness: point (a) of the first paragraph, paragraph 4

Article 3a

Content of the notice for voluntary ex ante transparency

Article 3b

Committee procedure

Article 8

Corrective mechanism

Article 12

Implementation

Article 12a

Review

‘ANNEX XXIX-T

The Republic of Moldova: indicative list of issues for cooperation

| 1. | Training, in the Union and the Republic of Moldova, of officials of the Republic of Moldova from government bodies engaged in public procurement. |
| --- | --- |

1.

Training, in the Union and the Republic of Moldova, of officials of the Republic of Moldova from government bodies engaged in public procurement.

| 2. | Training of suppliers interested in participating in public procurement. |
| --- | --- |

2.

Training of suppliers interested in participating in public procurement.

| 3. | Exchange of information and experience on best practice and regulatory rules in the field of public procurement. |
| --- | --- |

3.

Exchange of information and experience on best practice and regulatory rules in the field of public procurement.

| 4. | Enhancement of the functionality of the public procurement website and establishment of a system of public procurement monitoring. |
| --- | --- |

4.

Enhancement of the functionality of the public procurement website and establishment of a system of public procurement monitoring.

| 5. | Consultations and methodological assistance from the Union in application of modern electronic technologies in the field of public procurement. |
| --- | --- |

5.

Consultations and methodological assistance from the Union in application of modern electronic technologies in the field of public procurement.

| 6. | Strengthening the bodies charged with guaranteeing a coherent policy in all areas related to public procurement and the independent and impartial consideration (review) of contracting authorities' decisions (see Article 270 of this Agreement). |
| --- | --- |

6.

Strengthening the bodies charged with guaranteeing a coherent policy in all areas related to public procurement and the independent and impartial consideration (review) of contracting authorities' decisions (see Article 270 of this Agreement).

---