Source: http://bpp.worldbank.org/en/data/exploreeconomies/germany/2017
Timestamp: 2019-04-19 06:43:33+00:00

Document:
The general procurement and budgetary regulatory framework in Germany does not distinguish between PPPs and other delivery modes. PPPs in Germany are thus considered one of the available alternatives to develop infrastructure and consequently the general procurement and budgetary framework applies to PPPs as it would to any other project for purposes of appraisal and procurement respectively. The main legal instruments of this general procurement and budgetary framework are the Act Against Restraints of Competition (GWB), specifically its Part 4 and, broadly establishing the key principles of public procurement, Section 55 of the Federal Budget Code (BHO). In 2005, Germany adopted the PPP Acceleration Act (ÖPP Beschleunigungsgesetz, 2005) that introduced PPP specifically tailored provisions to the aforementioned applicable regulatory framework and in particular to the Act Against Restraints of Competition and the Regulation on the award of public contracts or Public Procurement Ordinance. The PPP Acceleration Law also introduced modifications to the preexisting Federal Road Construction Financing Act - (Fernstraßenbauprivatfinanzierungsgesetz, originally adopted in 1993 and last amended in 2017). The Federal Road Construction Financing Act regulates the specific aspects applicable to the F-model of federal highway development (named according to the mentioned Act and based on charging tolls to all users, in contrast with model A and V based on tolls to trucks exclusively and availability payments respectively) fundamentally regarding toll and toll charges regulation and oversight. The general procurement framework is based on Section 55 of the Federal Budget Code (BHO) and more specifically developed by Part 4 of the Act Against Restraints of Competition (GWB). The procurement framework is complemented by the Regulation on the Award of Public Contracts or Public Procurement Ordinance (Vergabeverordnung - VgV, that also refers to applicable provisions of the Procurement and Contracting Regulations for Construction Services - Verweisung auf die Vergabe- und Vertragsordnung für Bauleistungen - VOB/A) and the Concessions Ordinance (KonzVgV). All this framework is consistent with the applicable European directives, in particular, EU Directives No. 2014/23/EU, No. 2014/24/EU and No. 2014/25/EU. For public contracts below the applicable EU threshold, only specific national rules apply but that threshold is clearly below the case study assumptions for this project.
In 2016 and 2017 EU Directives No. 2014/23/EU, No. 2014/24/EU and No. 2014/25/EU have been transposed into German public procurement law.
Any public authority is allowed to procure PPP. This includes federal government, all state governments, local authorities (administrative district (Landkreis) or municipality (Gemeinde)) or a corporate body (Körperschaft) or institution under public law (Anstalt öffentlichen Rechts). Which authority will be the PPP procuring authority depends on the public service to be procured. Almost all of them have or intend to procure PPPs. A database at www.pd-g.de shows most of the authorities that experienced PPP so far. With respect to federal motorways procuring authorities are usually the higher road construction authorities of the Länder and, as a service provider for some of them, the DEGES (www.deges.de); they closely cooperate with the Federal Ministry of Transport and Digital Infrastructure.
Germany has two PPP units which advise the procuring authorities on PPPs: a) PD - Partnership Deutschland -The in house advisor to the public sector on PPPs (PD-Partnerschaft Deutschland-Berater der öffentlichen Hand GmbH) www.pd-g.de/home/ b) In the motorway sector, the Transport Infrastructure Financing Company, a limited liability company owned by the Federal Government, Ministry of Transprot and Digital Infrastructure (Verkehrsinfrastrukturfinanzierungsgesellschaft mbH - VIFG) www.vifg.de/de/index.php; http://www.vifg.de/de/infrastrukturprojekte-finanzierung/oepp-kompetenzzentrum/Verkehrsinfrastrukturfinanzierungsgesellschaft. Furthermore, since Germany is a federal country, there are various PPP task forces at the level of the states: i.e. PPP Task Force NRW (now: Task Force infrastructure NRW) www.ppp.nrw.de. Finally, within the Federal Ministry of Finance the Budget Division, Unit II B 6, also prerforms duties related to PPPs (PPP regulation and policy guidance, strategy, coordination).
Partnerschaft Deutschland (Partnership Germany) has the mission to improve public service provision and investments in infrastructure and real estate projects - from the development of strategic concepts to assistance during the implementation process. PD was established in 2008 by the Federal Ministry of Finance and the Federal Ministry of Transportation, Building and Urban Development as an independent consulting company to support exclusively public sector clients. In particular, PD construction/infrastructure division supports the public sector in complex and large investment projects to identify the most efficient option of structuring, procurement and successful implementation.
The transport infrastructure finance company (VIFG) - a company owned by the Federal Government with statutorily regulated duties- was founded in Berlin in 2003. The establishment and duties of VIFG are defined in the "Law for the establishment of a transport infrastructure finance company for the funding of federal roads (Verkehrsinfrastrukturfinanzierungsgesellschaftsgesetz - VIFGG)". This law empowers the Federal Ministry of Transport and Digital Infrastructure (BMVI) to delegate certain tasks of the Federal Government with regards to the financing of the transport infrastructure to VIFG, as well as tasks related to the Fernstraßenbauprivatfinanzierungsgesetz (German Act on Private Financing for Transport Infrastructure) or comparable private transport infrastructure projects.
Pursuant to § 2(2) of the Law on the Establishment of an Infrastructure Company for Motorways and other Federal Highways, the VIFG will be merged on the new Infrastructure Company for Motorways and other Federal Highways as soon as it is established.
Federal Budget Code (BHO) and related administrative regulations; PPP projects are - in addition to the usual budget figures - accounted for in summary Table X of the Federal Budget. In particular, article 16 of the Federal Budget Regulation (BHO) states that the commitment appropriations are to be shown separately for the respective expenses. Where commitments can be entered into for several years, the annual amounts should be indicated in the budget. Article 17.2 continues stating that in the case of expenditure on a multi-annual measure, the first estimate of the budget shall show the total foreseeable costs and, in the case of each subsequent estimate, the financial implementation. Finally, article 24 of the Federal Budge Regulation (BHO) establishes that: (1) Expenditure and commitment appropriations for construction activities may only be estimated when plans, cost estimates and explanations are provided showing the nature of the execution, the costs of construction, the acquisition of land and the facilities, the financing provided and a timetable. The documents must be accompanied by an estimate of the annual budgetary burden arising after completion of the action. (2) Expenditure and commitment appropriations for larger purchases and major development projects may only be estimated when planning and estimates of costs and costs are made. Paragraph 1 sentence 2 shall apply mutatis mutandis. (3) Exceptions from paragraphs (1) and (2) shall only be allowed if in individual cases it is not possible to complete the documents in a timely manner and a disadvantage would arise from a subsequent assessment to the Federation. The need for an exemption is justified in the explanatory notes. The expenditure and commitment appropriations for measures for which the dossier has not yet been available are blocked.
If yes, please provide the relevant legal/regulatory provisions (if any): Commitment appropriations must be approved by the parliament and are shown in summary Table X of the Federal Budget.
If yes, please provide the relevant legal/regulatory provisions (if any): Commitment appropriations are shown in summary Table X of the Federal Budget.
Contributors confirm that prioritization along with other investment projects is done in practice. The procedure only leads to a PPP project, if the economic feasibility study provides for a positive result for a PPP.
§ 7 of BHO (Federal Budgetary Act) requires in subsection (1) that the principles of efficiency and economy shall be observed in preparing and executing the budget. These principles shall impose an obligation to examine the extent to which government tasks or economic activities serving public purposes may be accomplished through divestiture and denationalisation or privatisation. According to (2) appropriate economic feasibility studies shall be conducted for all measures that have a fiscal impact. The risk allocation associated with such measures shall also be taken into consideration in the process. In suitable cases, private-sector providers shall be given the opportunity to demonstrate whether and to what extent they can perform government tasks or economic activities serving public purposes with equal or greater efficiency (expression of interest procedure). Finally subsection (3) provides that cost and activity accounting shall be introduced in suitable areas.
Further elaboration by the related administrative regulations and the annexed “Introduction to economic feasibility studies” issued by the German Federal Ministry of Finance; Guidelines on economic feasibility studies for PPP projects issued by the Finance Ministers’ Conference (http://broschueren.nordrheinwestfalendirekt.de/herunterladen/der/datei/000000-wirtschaftlichkeit-pdf/von/leitfaden-der-ppp-initiative-wirtschaftlichkeitsuntersuchung-bei-ppp-projekten/vom/finanzministerium/568).
In general, § 7 of BHO (Federal Budgetary Act) requires in subsection (1) that the principles of efficiency and economy shall be observed in preparing and executing the budget. More specifically, article 24 of BHO (Federal Budgetary Act) provides: (1) Expenditure and commitment appropriations for construction activities may only be estimated when plans, cost estimates and explanations are provided showing the nature of the execution, the costs of construction, the acquisition of land and the facilities, the financing provided and a timetable. The documents must be accompanied by an estimate of the annual budgetary burden arising after completion of the action. The necessary commitment appropriations are transparently laid down in summary table X of the federal budget.
The administrative regulations related to the Federal Budgetary Act and their annexes; Guidelines on economic feasibility studies for PPP projects issued by the Finance Ministers’ Conference (http://broschueren.nordrheinwestfalendirekt.de/herunterladen/der/datei/000000-wirtschaftlichkeit-pdf/von/leitfaden-der-ppp-initiative-wirtschaftlichkeitsuntersuchung-bei-ppp-projekten/vom/finanzministerium/568).
Subsection 2 of § 7 of BHO (Federal Budgetary Act) establishes that appropriate economic feasibility studies shall be conducted for all measures that have a fiscal impact. The risk allocation associated with such measures shall also be taken into consideration in the process. In suitable cases, private-sector providers shall be given the opportunity to demonstrate whether and to what extent they can perform government tasks or economic activities serving public purposes with equal or greater efficiency (expression of interest procedure).
§ 7 of BHO (Federal Budgetary Act) establishes (1) that the principles of efficiency and economy shall be observed in preparing and executing the budget. These principles shall impose an obligation to examine the extent to which government tasks or economic activities serving public purposes may be accomplished through divestiture and denationalisation or privatisation. (2) Appropriate economic feasibility studies shall be conducted for all measures that have a fiscal impact. The risk allocation associated with such measures shall also be taken into consideration in the process. In suitable cases, private-sector providers shall be given the opportunity to demonstrate whether and to what extent they can perform government tasks or economic activities serving public purposes with equal or greater efficiency (expression of interest procedure).
According to our contributors, while there is no specific regulatory requirement to conduct bankability assessments, this type of assessment happens in practice, since bankability is also covered by the “Introduction to the economic efficiency studies" and it is part of the risk identification and the WU analysis mentioned above.
The consultation process with affected communities is an integral part of the planning decision based on the regulatory requirements mentioned e.g. in the "Gesetz über die Umweltverträglichkeitsprüfung (UVPG)“ and in the "Verwaltungsverfahrensgesetz VwVfG“ and “Baugesetzbuch BauGB”.
§ 17 KonzVgV Provision of the tender documents(1) In the invitation to submit an invitation to tender, the licensing authority shall provide an electronic address in the concession notice or, where the concession notice does not contain an invitation to tender, an electronic address under which the contract documents may be obtained free of charge, fully, directly and completely. More in general, Subsection 1 of § 41 VgV states that, in general except for cases provided in the same article subsection (2), the procuring authority shall specify in the contract notice or invitation to confirm interest an electronic address an electronic address under which the contract documents may be obtained free of charge, without restriction, in full and directly. For the award of construction contracts exceeding the EU-thresholds § 12 EU VOB/A applies.
Several general public procurement provisions: According to §12 EU VOB/A public procurement must be made public. Similarly according to § 37 VgV the contracting authority shall notify its intention to award a public contract or to conclude a framework agreement in a contract notice. Finally, § 19 KonzVgV states that the procuring authority shall notify its intention to award a concession in a concession notification.
§ 27 KonzVgV provides (1) When setting the time limits, the concessionaire shall take account in particular of the complexity of the concession and of the time required for the submission of applications and the preparation of tenders.
(2) A sufficiently long deadline is to be observed, in particular, if a visit to the site or a personal inspection is necessary in non-transmitted facilities to the tender documents on the spot. (3) The minimum time limit for the receipt of requests to participate, with or without an offer, shall be 30 days from the day following the date of the transmission of the concession notice. Similar and broader provisions contained in §§ 17(2) and (6) VgV; 20 VgV §§ 10, 10b, 10c VOB/A-EU.
§ 12 KonzVgV provides (1) The procuring authority may freely design the procedure for the award of concessions in accordance with this Regulation. The procuring authority may align the procedure with the provisions of the Public Procurement Ordinance with the objective of conducting a procedure with procedure with competition. (2) The process can be carried out in one or more stages. The procuring authority may negotiate with applicants and tenderers. During the negotiations, the concessionary object, the minimum requirements for the offer and the award criteria may not be changed. (3) The procuring authority shall not discriminate against candidates or tenderers in the transmission of information. More broadly § 119 I GWB regulates the different available procedures (1) Public contracts shall be awarded in open procedures, restricted procedures, negotiated procedures, competitive dialogue or innovation partnerships. (2) Contracting authorities may freely choose between the open procedure and the restricted procedure, which always requires competitive tendering. The other types of procedures are only available to the extent permitted by this Act. (3) The open procedure is a procedure in which the contracting authority publicly invites an unlimited number of undertakings to submit tenders. (4) The restricted procedure is a procedure in which the public contracting authority, after a previous public invitation to participate, selects a limited number of undertakings in accordance with objective, transparent and non-discriminatory criteria (competitive tender) and invites these to submit tenders. (5) The negotiated procedure is a procedure in which the public contracting authority, with or without competitive tender, approaches selected undertakings in order to negotiate on the tenders with one or more of those undertakings. (6) The competitive dialogue is a procedure for awarding public contracts with the objective of identifying and determining the means that best satisfy the needs of the public contracting authority. After a competitive tender, the public contracting authority shall open a dialogue with the selected undertakings to discuss all aspects of the contract award. (7) The innovation partnership is a procedure for developing innovative supplies, works or services which are not yet available on the market and for acquisition of the services that result therefrom. After a competitive tender, the public contracting authority negotiates in several phases with the selected undertakings on the initial and subsequent tenders.
§ 12 KonzVgV provides: (1) The procuring authority may freely design the procedure for the award of concessions in accordance with this Regulation. The procuring authority may align the procedure with the provisions of the Public Procurement Ordinance with the objective of conducting a procedure with procedure with competition. (2) The process can be carried out in one or more stages. The procuring authority may negotiate with applicants and tenderers. During the negotiations, the concessionary object, the minimum requirements for the offer and the award criteria may not be changed. (3) The procuring authority shall not discriminate against candidates or tenderers in the transmission of information. More broadly § 119 I GWB regulates the different available procedures (1) Public contracts shall be awarded in open procedures, restricted procedures, negotiated procedures, competitive dialogue or innovation partnerships. (2) Contracting authorities may freely choose between the open procedure and the restricted procedure, which always requires competitive tendering. The other types of procedures are only available to the extent permitted by this Act. (3) The open procedure is a procedure in which the contracting authority publicly invites an unlimited number of undertakings to submit tenders. (4) The restricted procedure is a procedure in which the public contracting authority, after a previous public invitation to participate, selects a limited number of undertakings in accordance with objective, transparent and non-discriminatory criteria (competitive tender) and invites these to submit tenders. (5) The negotiated procedure is a procedure in which the public contracting authority, with or without competitive tender, approaches selected undertakings in order to negotiate on the tenders with one or more of those undertakings. (6) The competitive dialogue is a procedure for awarding public contracts with the objective of identifying and determining the means that best satisfy the needs of the public contracting authority. After a competitive tender, the public contracting authority shall open a dialogue with the selected undertakings to discuss all aspects of the contract award. (7) The innovation partnership is a procedure for developing innovative supplies, works or services which are not yet available on the market and for acquisition of the services that result therefrom. After a competitive tender, the public contracting authority negotiates in several phases with the selected undertakings on the initial and subsequent tenders.
According to § 12 KonzVgV (1) The procuring authority may freely design the procedure for the award of concessions in accordance with this Regulation. The procuring authority may align the procedure with the provisions of the Public Procurement Ordinance with the objective of conducting a procedure with procedure with competition. (2) The process can be carried out in one or more stages. The procuring authority may negotiate with applicants and tenderers. During the negotiations, the concessionary object, the minimum requirements for the offer and the award criteria may not be changed. (3) The procuring authority shall not discriminate against candidates or tenderers in the transmission of information. More broadly § 119 I GWB regulates the different available procedures (1) Public contracts shall be awarded in open procedures, restricted procedures, negotiated procedures, competitive dialogue or innovation partnerships. (2) Contracting authorities may freely choose between the open procedure and the restricted procedure, which always requires competitive tendering. The other types of procedures are only available to the extent permitted by this Act. (3) The open procedure is a procedure in which the contracting authority publicly invites an unlimited number of undertakings to submit tenders. (4) The restricted procedure is a procedure in which the public contracting authority, after a previous public invitation to participate, selects a limited number of undertakings in accordance with objective, transparent and non-discriminatory criteria (competitive tender) and invites these to submit tenders. (5) The negotiated procedure is a procedure in which the public contracting authority, with or without competitive tender, approaches selected undertakings in order to negotiate on the tenders with one or more of those undertakings. (6) The competitive dialogue is a procedure for awarding public contracts with the objective of identifying and determining the means that best satisfy the needs of the public contracting authority. After a competitive tender, the public contracting authority shall open a dialogue with the selected undertakings to discuss all aspects of the contract award. (7) The innovation partnership is a procedure for developing innovative supplies, works or services which are not yet available on the market and for acquisition of the services that result therefrom. After a competitive tender, the public contracting authority negotiates in several phases with the selected undertakings on the initial and subsequent tenders.
According to § 12(3) KonzVgV the procuring authority shall not discriminate against candidates or tenderers in the transmission of information. Similar provision are contained in § 97(1) and(2) GWB and §§ 2(1) and (2), 3b(3) No. 9, 8(2) No. 1, 11(3) EU, 12a(1) VOB/A-EU. Also, § 29 VgV states that 1. The tender documents shall contain all the information necessary to enable the candidate or tenderer to take a decision on the tender procedure. They usually consist of 1. the cover letter, in particular the request for the submission of applications for participation or tenders or letters for the submission of the requested documents, 2. the description of the details of the implementation of the procedure (conditions of application), including the eligibility and award criteria, if not already mentioned in the contract notice, and 3. the contract documents, which consist of the terms of the contract and the terms of the contract.
§ 122 GWB (4) Selection criteria must be related and proportionate to the subject matter of the contract. They shall appear in the contract notice, the prior information notice or the invitation to confirm interest. § 51 VgV 1. In the case of all procedures other than the open procedure, the contracting authority may limit the number of suitable candidates invited or invited to submit a tender, provided that sufficient candidates are available. To this end, the contracting authority shall specify the objective and non-discriminatory criteria which it provides for the limitation of the number, the minimum number and the maximum number of applicants to be invited in the contract notice or the call for confirmation of interest.
§ 63 VgV (1) The contracting authority is entitled to terminate a contract award procedure in whole or in part if: 1. no offer has been received which meets the conditions. Consequently, when a single offer meets the conditions the contract can be awarded.
§ 134 GWB: 1. Contracting authorities must inform the bidders whose tenders are not to be considered in writing by means of the name of the undertaking whose offer is to be accepted on the grounds of the non-taking into account of their bid and the earliest date of conclusion of the contract. This also applies to candidates who have not been given information on the rejection of their application before the notification of the award decision has been sent to the tenderers concerned. Similarly, § 21 KonzVgV states that without prejudice to Section 134 of the Act against Restrictions on Competition, the concessionaire shall immediately notify all candidates or tenderers of the decisions concerning the award, including the name of the successful tenderer, the grounds for the rejection of their applications or tenders and the reasons for a decision to award concessions, for which a concession notification has been published, or to reopen the procedure. Similar and complementary provisions are included in § 19 VOB/A-EU.
§ 134 GWB: 1. Contracting authorities must inform the bidders whose tenders are not to be considered in writing by means of the name of the undertaking whose offer is to be accepted on the grounds of the non-taking into account of their bid and the earliest date of conclusion of the contract. This also applies to candidates who have not been given information on the rejection of their application before the notification of the award decision has been sent to the tenderers concerned. Similarly, § 21 KonzVgV states that without prejudice to Section 134 of the Act against Restrictions on Competition, the concessionaire shall immediately notify all candidates or tenderers of the decisions concerning the award, including the name of the successful tenderer, the grounds for the rejection of their applications or tenders and the reasons for a decision to award concessions, for which a concession notification has been published, or to reopen the procedure.
§ 134 GWB (2) A contract may be concluded only 15 calendar days after dispatch of the information pursuant to paragraph 1. If the information is sent electronically or by fax, the deadline will be reduced to ten calendar days. The period begins on the day after the customer has sent the information; the date of receipt by the tenderer and the tenderer concerned does not apply.
§ 134 GWB: 1. Contracting authorities must inform the bidders whose tenders are not to be considered in writing by means of the name of the undertaking whose offer is to be accepted on the grounds of the non-taking into account of their bid and the earliest date of conclusion of the contract.
§97 (1) and (2) GWB The participants in a procurement procedure (award procedure) shall be treated equally unless discrimination is expressly required or permitted under this Act. Also the obligation to communicate to all bidders any substantial change to the terms of the contract (as per § 18 KonzVgV, § 12a(3) VOB/A-EU; § 20(3) VgV) also implies a express prohibition of negotiating the terms of the contract after the award except in the cases where a exception permits a negotiated procedure.
If yes, please specify: Contributors confirm that the restriction to negotiate after the award is respected in practice.
Usually part of the contract. For example, § 26 of the model contract for the availability model for PPP projects in the highway sector regulates the monitoring and control rights of the client (the procuring authority). Further references will be made to the model contract for the availability model for PPP projects in the highway sector, accessible via http://www.bmvi.de/SharedDocs/DE/Anlage/VerkehrUndMobilitaet/Strasse/oepp%20systematische%20darstellung%20projektvertraeglicher%20regelungen.pdf?__blob=publicationFile, for being the most relevant PPP model/standard contract available online taking into account the case study assumptions.
Administrative instructions for the application of § 7 BHO and the related administrative regulations issued by the Conference of Finance Ministers.
These are project-specific, part of the contractual agreement. For example, § 34 of the model contract for the availability model for PPP projects in the highway sector regulates supervision of the construction works.
Usually part of the contract. For example, § 26 of the model contract for the availability model for PPP projects in the highway sector regulates the monitoring and control rights of the client (the procuring authority). In particular, § 40 of the same standard document regulates the management information system, logging and reporting obligations and inspections.
Depends on the concrete contractual design of the project. For example, § 45 of the model contract for the availability model for PPP projects in the highway sector states how the monthly fee is set, including the criteria to asses the availability of the infrastructure.
Depends on the concrete contractual design of the project. For example, § 45 of the model contract for the availability model for PPP projects in the highway sector states how the monthly fee is set, including the criteria to asses the availability of the infrastructure and how that affect and reduces the monthly payment.
Depends on the concrete contractual design of the project. For example, § 40.4 of the model contract for the availability model for PPP projects in the highway sector regulates the obligation of the contractor to periodically prepare and submit a report on the availability of the infrastructure.
In general, according to § 132 GWB material changes to a public contract during its term require a new procurement procedure. Changes are material if they result in the public contract differing substantially from the public contract originally awarded. A material change exists in particular where (...) 4. a new contractor replaces the contractor in cases other than those provided for in paragraph 2 no. 4. Subsection (2) provides that notwithstanding paragraph 1, it is permissible to modify a public contract without conducting a new procurement procedure where […] 4. a new contractor replaces the previous contractor a) based on a review clause within the meaning of no. 1; b) based on the fact that a different undertaking that meets the requirements originally set for eligibility replaces the original contractor, wholly or in part, following corporate restructuring through, for example, takeover, merger, acquisition or insolvency, provided that this does not entail further material modifications within the meaning of paragraph 1.
The particular regulation of this aspect depends on the concrete contractual design of the project. For example, § 59 of the model contract for the availability model for PPP projects in highway sector regulates shareholder structure, domicile of the company, tax constructions. 59.1 Shareholders of the Contractor and his general partner are the natural and legal persons designated in the company agreements attached in Appendix 3 and the attached shareholder lists. The Contractor undertakes to notify the client in writing without delay of any intended modification of the company form and / or of the shareholder structure, with the Contractor having to enclose all documents necessary for the assessment of the intended modification by the client. Any change in the company form and / or the shareholder structure leading to a change in the shares and / or the voting rights requires the express written consent of the client (procuring authority). Consent may only be refused for important reasons, in particular owing to the lack of credit standing of the partner or the non-submitting of declarations corresponding to those which were or are to be submitted by the original shareholders or members of the applicant group after the competition or tender documents. The above rules apply to changes at the holding company level.
59.2 From the date of the conclusion of the contract, the Contractor shall undertake to exercise the rights and obligations incumbent on him under this Agreement as a company with administrative seat in the Federal Republic of Germany.
(1) Material changes to a public contract during its term require a new procurement procedure. Changes are material if they result in the public contract differing substantially from the public contract originally awarded. A material change exists in particular where (...) 4. a new contractor replaces the contractor in cases other than those provided for in paragraph 2 no. 4. (2) Notwithstanding paragraph 1, it is permissible to modify a public contract without conducting a new procurement procedure where 4. a new contractor replaces the previous contractor a) based on a review clause within the meaning of no. 1; b) based on the fact that a different undertaking that meets the requirements originally set for eligibility replaces the original contractor, wholly or in part, following corporate restructuring through, for example, takeover, merger, acquisition or insolvency, provided that this does not entail further material modifications within the meaning of paragraph 1.
Also, the forementioned § 59 of the model contract for the availability model for PPP projects in the highway sector states: Any change in the company form and / or the shareholder structure leading to a change in the shares and / or the voting rights requires the express written consent of the client (procuring authority). Consent may only be refused for important reasons, in particular owing to the lack of credit standing of the partner or the non-submitting of declarations corresponding to those which were or are to be submitted by the original shareholders or members of the applicant group after the competition or tender documents.
If yes, please provide the relevant legal/regulatory/standard contractual provisions (if any): Change of ownership is permitted under the stated conditions.
4. a new contractor replaces the contractor in cases other than those provided for in paragraph 2 no. 4.
b) would cause significant inconvenience or substantial duplication of costs for the public contracting authority; (...) In the cases referred to in nos 2 and 3, the price may not be increased by more than 50% of the value of the original contract. Where there are several successive modifications of the contract, this limitation applies to the value of each individual modification, provided that the modifications were not made with the aim to circumvent the provisions of this Part. (3) It is also permissible to modify a public contract without conducting a new procurement procedure if the overall nature of the contract is not altered and the value of the modification 1. does not exceed the respective thresholds under § 106 and 2. does not amount to more than 10% of the original contract value in the case of contracts for supplies and services and not more than 15% in the case of works contracts.
§ 132 GWB (1) Material changes to a public contract during its term require a new procurement procedure. Changes are material if they result in the public contract differing substantially from the public contract originally awarded. A material change exists in particular where (...) 3. 2. the modification shifts the economic balance of the public contract in favor of the contractor in a manner that was not provided for in the initial contract;; (...) (2) Notwithstanding paragraph 1, it is permissible to modify a public contract without conducting a new procurement procedure where 1. the initial procurement documents provide clear, precise and unequivocal review clauses or options which contain statements on the scope and nature of and requirements for possible contract modifications, and the overall nature of the contract is not altered by the modification; 2. additional supplies, works or services become necessary, which were not provided for in the initial procurement documents and a change in the contractor a) cannot be made for economic or technical reasons and b) would cause significant inconvenience or substantial duplication of costs for the public contracting authority; (...) In the cases referred to in nos 2 and 3, the price may not be increased by more than 50% of the value of the original contract. Where there are several successive modifications of the contract, this limitation applies to the value of each individual modification, provided that the modifications were not made with the aim to circumvent the provisions of this Part. (3) It is also permissible to modify a public contract without conducting a new procurement procedure if the overall nature of the contract is not altered and the value of the modification 1. does not exceed the respective thresholds under § 106 and 2. does not amount to more than 10% of the original contract value in the case of contracts for supplies and services and not more than 15% in the case of works contracts.
§ 27 Force majeure, third party 27.1 If, during the term of the contract, the object of the contract is damaged, destroyed or otherwise impaired in its entirety as a result of force majeure or a third party, the contractor shall be obliged to recover the contractually owed condition at his own expense for the use of security agencies, rescue operations and for traffic management measures), provided that the costs of restitution are covered or covered by an insurance company whose contractor is obliged to complete the contract pursuant to section 55, the Contractor would have completed the insurance and all obligations under the insurance contract. A deductible of the Contractor agreed in the insurance contract shall be borne by the Contractor.
Depends on the project and the specific contractual design. For example, in the model contract for the availability model for PPP projects in the highway sector: § 46 regulates the execution of altered or additional services and § 47 regulates the settlement of unpredictable additional costs.
§ 39 of the model contract for the availability model for PPP projects in the highway sector regulates the effect of subsequent modification of technical or legal standards.
For example, the model contract for the availability model for PPP projects in highway sector: § 43.6 regulates the participation of the client in refinancing profits.
§ 36 VgV regulates subcontracting in general: (1) The contracting authority may require undertakings in the contract notice or the tender documents to designate the parts of the contract which they intend to subcontract to third parties when submitting the contract and, where appropriate, the subcontractors. Before awarding the contract, the contracting authority may require the contracting authorities to nominate the subcontractors and provide evidence that the necessary resources of those subcontractors are available to them. If an applicant or tenderer intends to award part of the contract to a third party by way of subcontracting and also refers to the capacities of this third party in accordance with §§ 45 and 46, § 47 shall also apply.
2. Paragraph 1 shall not affect the liability of the principal contractor to the contracting authority. (3) In the case of the award of service contracts to be carried out by the contracting authority under a direct supervision, the contracting authority shall require the Contractor to provide the names, contact details and legal representatives at the latest at the start of the contract of its subcontractors and that any change in the performance of the contract must be notified at the subcontractor level. The contracting authority may also provide the notification obligations pursuant to sentence 1 as contract terms for the award of other service contracts or for the award of delivery orders. Furthermore, notification obligations may also be applied to suppliers involved in service contracts, (4) For subcontractors of all levels, Section 128 (1) of the Act applies against competition restrictions. (5) The contracting authority shall review the grounds for the exclusion of the subcontractor before awarding the contract. In the event of mandatory exclusion, the contracting authority shall require the substitution of the subcontractor. In the case of optional grounds for exclusion, the contracting authority may require that this be replaced. The contracting authority may set a deadline for the candidate or tenderer.
The contractual parties can bring proceedings to the ordinary courts pursuant to the general civil procedure law. However, PPP contracts often contain clauses for an alternative dispute resolution mechanism. For example, the model contract for the availability model for PPP projects in the highway sector: § 56 regulates conciliation proceedings.
PPP contracts often contain clauses for an alternative dispute resolution mechanism. For example, the model contract for the availability model for PPP projects in the highway sector: § 56 regulating conciliation proceedings; § 64 jurisdiction agreements. The agreements may also lead to the introduction of arbitration clauses.
If yes, please provide the relevant legal/ regulatory provisions/standard contractual provisions (if any): Section 1060 and following of the Code of Civil Procedure.
Section 1061 of the Code of Civil Procedure and International Conventions (New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards; national arbitration: § 1062 ff. ZPO), as applicable.
In general, this depends on the contractual design of the individual project. For example, the model contract for the availability model for PPP projects in the highway sector: § 6 (Eintrittsrechte) regulating the direct agreement between contracting authority, project company and funders (annex 4 to the model contract); § 132 para. 2 No. 4 b GWB applies (that permits a new contractor to take over in cases of insolvency etc.).
The model contract for the availability model for PPP projects in the highway sector: § 6 (Eintrittsrechte) regarding the direct agreement between contracting authority, project company and funders (annex 4 to the model contract).
Additionally contractual regulations, for example model contract for the availability model for PPP projects in the highway sector: § 50 Termination Rights, § 51 Termination by the Customer; § 52 Termination by the Contractor; § 53 General Arrangements for Termination of the Contract; § 54 Legal Consequences of Termination.
§ 133 GWB: Termination of Public Contracts in Special Cases (...) (2) If a public contract is terminated pursuant to paragraph 1, the contractor may demand a corresponding part of the remuneration for its previous efforts. In the case of paragraph 1 no. 2, the contractor is not entitled to remuneration to the extent that its previous efforts are of no interest to the public contracting authority as a result of the termination.
Additional contractual regulations, for example model contract for the availability model for PPP projects in the highway sector: § 54 regulating the legal consequences of termination.
§ 119 (1) Act Against Restraints of Competition, § 3 VOB/A-EU limit procurement procedures to the listed procedures which do not mention unsolicited proposals.
Yes. Establishment of a PPP contract management team. Participation of the team in procurement. Risk mitigation mechanism. PPP contract management team requires qualifications without specific detail.

References: § 2

§ 7
 § 7
 § 7

§ 7

§ 17
 § 41
 § 12
 §12
 § 37
 § 19

§ 27

§ 12
 § 119

§ 12
 § 119
 § 12
 § 119
 § 12
 § 97
 § 29

§ 122
 § 51

§ 63

§ 134
 § 21
 § 19

§ 134
 § 21

§ 134

§ 134

§97
 § 18
 § 12
 § 20
 § 26
 § 7
 § 34
 § 26
 § 40
 § 45
 § 45
 § 40
 § 132
 § 59
 § 59
 § 106

§ 132
 § 106

§ 27
 § 46
 § 47

§ 39
 § 43

§ 36
 § 47
 § 56
 § 56
 § 64
 § 1062
 § 6
 § 132
 § 6
 § 50
 § 51
 § 52
 § 53
 § 54

§ 133
 § 54

§ 119
 § 3