XML Implementation Guide v2.0.2

I. Introduction

I.1 Objectives and scope

I.1.1 The Directive

Article 59 of the new Public Procurement Directive 2014/24/EC (henceforth 'the Directive') introduced a new concept, the European Single Procurement Document (ESPD) which is a self-declaration document intended for preliminary evidence in a public procurement procedure. By mapping out equivalent certificates between MS, the ESPD replaces certificates issued by public authorities or a third party involved in a procedure. It is thus a valuable facilitator for cross-border participation of a greater number of potential operators in public procurement procedures and a valuable tool for integrating the European Single Market.

The European Commission (EC) has developed a data model and 'semantic assets' for the exchange of the ESPD between any Procurement stakeholder’s system. This document illustrates in detail how to use the model and assets in compliance with the Directive.

The model, named ESPD-EDM (standing for European Single Procurement Document - Exchange Data Model) defines two electronic (XML) documents:

The ESPD Request, a document providing information about the contracting authority, the procurement procedure and the exclusion and selection criteria established for the procurement procedure.

The ESPD Response, the document that is filled-in by the Economic Operators stating whether they fulfill or not the criteria required in the ESPDRequest, and providing the sources where evidences can be obtained to prove that the criteria are met.

This guide is intended to facilitate the understanding of the model underlying the implementation of the ESPD Request and ESPD Response XML documents. With that objective in mind the reader is provided with examples and rules relating to how the content of ESPD XML document should look like and be processed.

The content of the guide is mainly addressed to the development teams from the Member States, economic operators, information providers or any other party interested in understanding how the ESPD Exchange Data Model works and how to use it to produce XML instances of ESPD Request and ESPD Response documents.

I.1.2 Contracts above the threshold and below the threshold

The Directive (namely Article 4) regulates in detail those public procurement procedures which values of contract exceed certain amounts. These amounts, also known as 'thresholds', vary depending on the type of the contract and of the administration level of the contracting authority.

Those contracts that fall under this article 4 of the Directive are called contracts 'above the threshold', and the rest are known as contracts 'below the threshold'.

The ESPD-EDM is rich and flexible enough so as to allow ESPD instances for contracts above and below the threshold. However this document is oriented exclusively to illustrate how to create ESPD electronic documents for contracts above the threshold.

I.2 ESPD conformant solutions

The main objective of the ESPD documents is to reduce the administrative burden and lead to considerable simplification of participation in public procurement procedures for buyers and suppliers. In order to make full use of the ESPD concept, Member States (MS) and private sector companies (service providers) are developing software and on-line services to help contracting authorities and economic operators draft interoperable ESPD electronic documents. These solutions will reduce that burden by removing the need to produce a substantial number of certificates and documentation related to exclusion and selection criteria. This will answer to obstacles reported by many suppliers and especially SMEs.

For these software solutions to be interoperable they will have to conform to the indications set in this guide.

The ESPD International Knowledge Base (ESPDint) is a consortium formed by Member States, Universities and private organisations the objectives of which are to develop (i) a formal specification for the CEN BII profile 56 and ESPD requirements by DG GROW; and (ii) a software solution for the edition and exchange of ESPD electronic documents.The software solutions provided by the ESPDInt initiative refers to this XML instantiation guide. In turn, this ESPD-EDM XML implementation guide is aligned with the specification produced by the ESPDint initiative. Thus:

  1. Formal requirements introduced in this guide are taken from (and point at) the requirements specified in the document BIS 41 - European Single Procurement Document; whereas

  2. Formal definitions are taken from the ESPD-VCD Domain Vocabulary.

I.3 The ESPD Profile

The ESPD profile realises the ESPD process, which is is part of the qualification process in the pre-awarding process area. This is represented in the diagram below:

ESPD Business Process
Figure 1. ESPD Business Process (source ESPDint)

The roles that participate as business partners in this process are mainly:

  1. The Buyer (or ESDP requester) normally a governmental organisation like a contracting authority who prepares the procurement procedure requirements in a ESPD Request (electronic document QualificationApplicationRequest); and

  2. The Supplier (i.e. economic operators), or ESPD Providers acting on behalf of them, who answer in an ESPD Response (electronic document QualificationApplicationResponse).

ESPD business process roles
Figure 2. Actors in the ESPD business process (source ESPDint)

This other figure below shows the choreography of the business process implemented by the profile. The choreography of business collaborations defines the sequence of interactions when the profile is run within its context.

ESPD business process coreography
Figure 3. ESPD business process coreography (source ESPDint)

I.4 Regulated and Self-contained ESPDs

REQUIREMENT

The CA must be able to select the type of ESPD (regulated or self-contained)

This new version of the eESPD makes the difference between “regulated” and “self-contained” ESPD.

Regulated ESPDs are those XML document instances the structure and content of which are strictly adjusted to the terms expressed in the Annex 2 of the Commission Implementing Regulation (EU) 2016/7: Standard form for the European Single Procurement document (ESPD).

A Regulated ESPD usually refers to documents and information that are external; i.e. it uses sentences like "mentioned in the Contract Notice published or the Contract Documents". The criteria of a Regulated ESPD are all defined in eCertis and their structure never changes.

In a Self-contained ESPD all the information needed for an ESPD Request is either contained in other parts of the document or the document refers to the authentic online source from where to obtain it. Thus the criteria and requirements that are particular to the MS or to the contracting authority, generic to all Procurement Procedures or particular of the Procurement Procedure, are explicitly mentioned or defined in the ESPD Request document.

Additionally, in a Self-contained ESPD the Member State and the contracting authority are able to introduce requirements that are particular to the national legislation or the procurement procedure. Self-contained eESPDs confer the contracting authorities a greater flexibility when preparing their eESPD Request documents.

Thus, in the case of exclusion grounds, the Member States can define in eCertis national exclusion criteria and link them to the corresponding European criteria defined in the Directives.

In the case of selection criteria, the contracting authority may introduce requirements for certain requirements (e.g. regarding turnovers, financial ratios, or references) to specify expected minimum amounts, specific types of ratios, minimum number of references, or other requirements).

This document provides descriptions about some of these situations, mock-ups and XML examples to illustrate the differences between Regulated and Self-contained ESPDs and to clarify when and how to use them.

See also section "III. The ESPD Request document" for details on how to specify the type of ESPD in an XML instance of an ESPD Request document.

Mock-up

Software applications need to be aware of this new feature introduced by the V2.0.2 of the ESPD-EDM. Depending on whether the ESPD Request document that is being prepared is regulated or self-contained, a software application should behave in different ways; e.g. for Self-contained ESPD documents, the application should allow the contracting body to define requirements for some selection criteria that are specific to the procurement procedure.

One suggestion for a Graphical User Interface (GUI) aimed at editing ESPD Request documents is to facilitate the contracting body the selection of the type of ESPD Request in an initial page:

regulated and Self-contained ESPD
Figure 4. Regulated or Self-contained ESPD, mock-up

II. The ESPD Semantic Assets

Semantic assets have been defined by ISA as "a collection of highly reusable metadata (e.g. xml schemata, generic data models) and reference data (e.g. code lists, taxonomies, dictionaries, vocabularies) which are used for e-Government system development".

II.1 ESPD Distribution package

All the semantic assets needed to implement ESPD electronic documents are organised in a distribution package. The content of this folder is organised as follows:

dist package
Figure 5. Distribution (dist) package
  1. art: contains graphical resources used to document the distribution;

  2. cl: reference data (codelists) used by the XML instances. It also contains a spread-sheet with all the ESPD criteria structured. This spread-sheet can be used to automatically generate ESPD XML instances.

  3. doc: contains this document (and other documents to support developers);

  4. mod: UBL-2.2 model specified in spread-sheets;

  5. val: validation artefacts (eg. ISO Schematron and OASIS Genericode CVA files);

  6. xml: samples of ESPD XML instances for illustrative and testing purposes;

  7. xsd: the UBL-2.2 XSD Schemas, documented (annotated) version;

  8. xsdrt: the UBL-2.2 XSD Schemas, runtime version;

  9. xslt: transformation stylesheets used to generate basic sample XML instances from the criteria defined in spreadsheets REGULATED ESPD data structures and SELF-CONTAINED ESPD data structures (see folder dist/cl).

II.2 Adoption of UBL-2.2

One important difference of this new version in respect of the previous versions of the ESPD-EDM is that the XSD Schemas used for the XML implementation of the Request and Response documents have been developed by OASIS UBL (ISO/IEC 19845) in close collaboration with the European Commission (EC).

The results of such collaboration have been included in the version 2.2 of UBL which is actually under revision and is to be formally adopted by the end of 2017.s

UBL, developed by the Organization for the Advancement of Structured Information Standards, is a royalty-free library of standard electronic Extensible Markup Language (XML) business documents. It is designed to plug directly into existing business, legal, auditing, and records management practices, and to operate within a standard business framework such as ISO 15000 (ebXML) to provide a complete, standards-based infrastructure that can extend the benefits of existing Electronic Data Interchange (EDI) systems to businesses of all sizes.

UBL is also included in the European Catalogue (EUcat): the rules on European standardisation allow the European Commission to identify information and communication technology (ICT) technical specifications - that are not national, European or international standards - to be eligible for referencing in public procurement.

UBL is a specific used in some Member States and by the EU institutions, namely the European Commision. UBL is also referred to in the Commission implementing decision of 31 October 2014 on the identification of Universal Business Language version 2.1 for referencing in public procurement (COM Decision 2014/771/EU).

Technical resources and tools are freely available for its use and repurpose by the Member States, Service Providers, EC and any other stakeholders. Especially interesting and largely used are the open source tools and artefacts referred by the OASIS UBL-TC, such as Genericode , ISO Schematron and Crane Softwright.

II.3 UBL-2.2 Documents and libraries

UBL-2.2 defines thousands of different information components and dozens of documents. This guide describes and illustrates only those elements from UBL-2.2 that are actually used by the eESPD. Thus the ESPD-EDM reuses only a small set of those components and only 2 documents: QualificationApplicationRequest (for the ESPD Request) and QualificationApplicationResponse (for the ESPD Response).

UBL-2.2 distributes two sets of XSD schemas: see folders xsd and xsdrt of the UBL distribution package. The xsd folder contains the schemata fully documented (with dictionary entry names, definitions, examples, etc.); whilst the xsdrt schemata are not likewise documented and are frequently used in production environments (rt stands for “run-time”).

The previous ESPD-EDM versions used its own libraries where Criterion and Evidence-related aggregate and components were defined (components prefixed with cac-ccv:, cac-cev, cbc-ccv and cbc-cev).

This new version uses components exclusively defined by UBL-2.2 in two main libraries: Common Aggregate Components (file UBL-CommonAggregateComponents-Pre-award.xsd) and Common Basic Components (UBL-CommonBasicComponents-Pre-award.xsd).

The usual prefix used to identify Common Aggregate Components is cac:. The prefix for Common Basic Components is cbc:.

All the materials developed by UBL-2.2 Technical Committee can be accessed here: https://www.oasis-open.org/committees/document.php?document_id=60554. Beware that this might be a temporary location as this specification is still under revision.

Beware also that the namespaces used for the time being are also temporary until the revision is finished and the UBL-2.2 specification is formally released (thus the urn syntax urn:X-test:UBL:Pre-award:*).

II.4 Codes and Identifiers

A code is a shortened way (a number or a short abbreviated text), leading to the definition of a 'concept'. The code epresents the concept and is used by software applications to retrieve the definition of the concept or make automatic decisions.

An Identifier, in turn, can be defined as “a value (represented as a short text, a number or a combination of both) used to establish the identity of, and distinguish uniquely, one occurrence of an object following a pattern” .

The essential distinctive features between identifiers and codes are:

  1. Identifiers point at specific occurrences of objects (instances); codes replace concepts;

  2. Identifiers are virtually limitless while codes are finite. In other words, identifier lists are “open” (the lists may grow) and code list are “closed” (practically never updated, once consolidated). Hence codes are maintained in 'Codelists' whilst identifiers are usually kept in databases.

  3. Identifiers are in principle maintained in the business domain, e.g. buyer identifiers, economic operator identifiers, exclusion or selection criteria identifiers, etc.

  4. Codes may belong to three different domains:

    1. they can be somehow 'business-agnostic' and be used cross-domain (e.g. country codes, currency codes, language codes, etc.);

    2. business-specific domain (i.e. procurement specific, like codes representing contract types, procurement procedure types, criteria types, etc.); and

    3. business process-specific, i.e. ESPD-specific, such as the data type expected in the response to a criterion, or the type of a criterion property, etc.

II.4.5 Codes and code lists

The ESPD Exchange Data Model tries to reuse as much as possible the codes that are already used for e-Procurement. In any project, like the ESPD-EDM, there are at least three types (or layers) of codes:

  1. Cross-sector, common, codes, like the ones defined and maintained by the ISO for currencies, languages, countries, etc.; or the ones defined by the European Commission that can be used in multiple business domains, e.g. the NUTS defined by EUROSTAT; the ones defined by BACH (Banque de France), etc.;

  2. Business domain-related, maintained by international or European authorities, e.g. the ones defined by UNECE (as unit codes), or by the Publications Office of the European Union (OP), e.g. types of procurement procedures (based on the EU Directives);

  3. Project-specific (or application-specific), i.e. those codes that are particular of the project. Types (taxonomy) of exclusion and selection criteria, types of evaluation method, etc. in the case of the ESPD-EDM.

Codes are normally maintained in "code lists". The ESPD-EDM keeps and distributes these code lists in three different formats:

  1. In an Office Open XML (XLSX) file,

  2. In an Open Office Document (ODS) file,

  3. Genericode 1.0 (GC) files (one *.gc file per code list).

ESPD-EDM Code list contain the following elements:

  • Metadata: information about the code list, e.g. its identifier, the identifier and name of the agency responsible for defining and maintaining the list, the version of the list, etc.

  • Code identifier: the literal (a label composed of characters, numbers and simbols like '_');

  • Concept description: the definition of the concept represented by the code;

  • Multilingual descriptions: the translations of the English definitions.

The figure below illustrate how these elements are organised in the code lists maintained in spread-sheets:

Elements and metadata of an ESPD code list
Figure 6. Elements and metadata of an ESPD code list

The Annex II of this document lists all the code lists used by the ESPD and in which context or element it is used.

Compulsory attributes

Table 1. ESPD Requirement regarding codes

REQUIREMENT:

For codes, this ESPD V2.0.2 specification requires always three mandatory attributes: listID, listAgencyID, and listVersionID.

Table 2. ESPD Requirement regarding identifiers

REQUIREMENT:

For identifiers, this ESPD V2.0.2 specification requires at least (and always) the mandatory attribute schemeAgencyID.

In UBL Codes and identifiers are based on ebXML Core components (UBL conforms to ebXML CCTS ISO/TS 15000-5:2005 currently maintained by UN/CEFACT).

One convenient characteristic of these two CCT elements (Codes and Identifiers) is that they use a rich set of attributes that allow to identify their pattern, the name of the list, the URI from where to obtain the list, the Agency that maintains the list, the version of the list, and other.

UBL-2.2 CCT are defined in the file CCTS_CCT_SchemaModule-2.2.xsd (see folders xsd/common or xsdrt/common in the distribution package).

The figure below shows the complete list of attributes for the CCT CodeType component.

Code attributes
Figure 7. Code attributes

And its corresponding definitions, as provided by OASIS UBL (ISO/IEC 19845):

Table 3. UBL attributes for codes

Attribute

Definition

listID

The identification of a list of codes (MANDATORY in ESPD V2.0.2).

listAgencyID

An agency that maintains one or more lists of codes.

listAgencyName

The name of the agency that maintains the list of codes (MANDATORY in ESPD V2.0.2).

listName

The name of a list of codes.

listVersionID

The version of the list of codes (MANDATORY in ESPD V2.0.2).

name

The textual equivalent of the code content component.

languageID

The identifier of the language used in the code name.

listURI

The Uniform Resource Identifier that identifies where the code list is located.

listSchemeURI

The Uniform Resource Identifier that identifies where the code list scheme is located.

This other figure shows the attributes for the CCT `IdentifierType`component.

Identifier attributes
Figure 8. Identifier attributes

And its corresponding definitions, as provided by OASIS UBL (ISO/IEC 19845):

Table 4. UBL attributes for identifiers

Attribute

Definition

schemeID

The identification of the identification scheme.

schemeName

The name of the identification scheme.

schemeAgencyID

The identification of the agency that maintains the identification scheme (MANDATORY in ESPD V2.0.2).

schemeAgencyName

The name of the agency that maintains the identification scheme.

schemeVersionID

The version of the identification scheme.

schemeDataURI

The Uniform Resource Identifier that identifies where the identification scheme data is located.

schemeURI

The Uniform Resource Identifier that identifies where the identification scheme is located.

XML Example

This fragment of XML shows how the compulsory attributes are used for the some of the root elements of an ESPD Request document.

<cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID> (1)

<cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID> (2)

<cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID> (3)

<cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID> (4)

<cbc:VersionID schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1.0</cbc:VersionID> (5)

<cbc:ProcedureCode listID="ProcedureType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">OPEN</cbc:ProcedureCode> (6)

<cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">SELFCONTAINED</cbc:QualificationApplicationTypeCode> (7)
1 The Agency responsible for the maintenance of the UBL versioning is the OASIS UBL Technical Committee
2 The identifier for this document was issued by the a Spanish Central Government Directorate identified as 'DGPE'
3 The UUID follows the ISO/IEC Scheme 9834-8:2008 Version 4 and was generated by the European Commission’s Directorate General GROWTH (DG GROW)
4 The reference number used to identify to which procurement procedure this ESPD document belongs (PP.20170419.1024-9) has been supplied by the Spanish Directorate DGPE
5 Generic information,such as the content version ID, use always by default the "EU-COM-GROW" Agnecy ID. Notice that the other additional attributes may be also used, as in this example.
6 Notice that for Codes, the three compulsory attributes are specified. For these codes. In this example the attributes are specifying that the code is maintained by DG GROW in a list named ProcedureType and that the version that has been used is version `2.0.2`which is distributed jointly with this ESPD-EDM V2.0.2 specification (in the distribution package).
7 Beware that the codes may be numbers, text or combinations of both. These code labels are the ones that are specified in the codelist spreadsheets and XML Genericode files distributed jointly with this specification (in the folder dist/cl of the distribution package.

III. The ESPD Request document

III.1 ESPD Request Business Requirements

The ESPD-EDM V2.0.2 models the business and information requirements in alignment with the works developed by e-Sens, which uses the identifier Trdm070 to refer to the business requirements regarding the ESPD Request transaction. See formal information requirements related to the ESPD Request transaction in the document Business Requirements: ESPD request transaction (Trdm070), by e-Sens.

III.2 ESPD Request XSD Schema

The ESPD-EDM V2.0.2 uses the UBL-2.2 document named QualificationApplicationRequest.xsd XSD Schema. This schema can be found under the folder dist/xsdrt/maindoc (or the equivalent documented xsd folder).

The figure below shows the XSD Schema defined by UBL-2.2 for the document “Qualification Application Request”. This schema replaces the Schema for the “ESPD Request” document used in the previous versions of the ESPD-EDM.

The figure below shows a diagram representing the UBL-2.2 XSD Schema. Only the first level components of the schema are shown. The inner sub-elements and sub-classes are covered in detail in the following sub-sections of this document.

QualificationApplicationRequest XSD Schema
Figure 9. QualificationApplicationRequest XSD Schema, global view

LEGEND: The figure below enumerates the four different types of optionality and cardinality for the elements of the UBL-2.2 Schema:

Legend: cardinalities
Figure 10. Legend: QualificationApplicationRequest XSD Schema, possible cardinalities of the Schema elements

III.3 ESPD Request cardinalities

As you can see the UBL-2.2 Schema is quite flexible as, except for a few cases practically all the elements are optional.

The ESPD-EDM model, however, adds a few more restrictions regarding the cardinalities of some elements. These can be seen in the diagram below, which presents the ESPD-EDM V2.0.2 structure for the ESPD Request with its own cardinality restrictions. Notice that ESPD-EDM does not change anything else from the UBL-2.2 Schema.

QualificationApplicationRequest-UML
Figure 11. ESPD-EDM 'QualificationApplicationRequest', UML diagram

If you compare both figures you will observe that:

  1. The cardinalities of the root common basic components, such as cbc:ID, cbc:UUID, ProcedureCode, and cbc:QualificationApplicationTypeCode are different for the ESPD than for UBL-2.2;

  2. Similarly, the cardinalities of aggregate components like cac:ContractingParty, cac:ProcurementProjectLot and cac:TenderingCriterion are different to the UBL-2.2 ones.

The cardinality constraints added by the ESPD are not defined in the XSD Schema. In order to control these constraints the ESPD-EDM uses ISO Schematron assertions. The ESPD-EDM V2.0.2 distribution package provides Schematron schemata and CVA files [1] for the validation of the XML instances (folder dist/val).

The European Commission (EC) ISA2 Programme provides an Interoperability Testbed where Stakeholders can freely test these validation artefacts.

III.4 Root elements

The table below lists the elements that are expected in the ESPD Response V2.0.2 and provides details on the cardinalities and usage of those elements.

A note about the Business Rules identifiers

From this point on in the document, the tables defining classes and its properties refer frequently to business rules. As stated in the e-Sens BIS document, "[..] business rules are sets of rules that clarify the content of instances by stating mandatory fields, fixed values (like code lists), dependency between fields in the same object and dependency between different objects".

If you need to well understand where the business rules come from and how they are implemented and executed you should read the following content in the order indicated:

  1. The ESPDint BIS document, Chapter Business Rules, where the rules are described in a narrative way, from the business perspective;

  2. The ESPD Test Cases, where the ESPDint BIS rules are connected to each class and data element of the XML implementation Guide and "Test Cases" are defined as a previous step towards the specification of machine-readable rules (based on ISO-Schematron, see Annex I: XML Validation;

  3. The ESPD Test Cases Mapping, where every business rule (previously identified and describe in the other two documents) is mapped to specific elements of the ESPD XSD Schemas, the severity of the error is indicate, the text of the validation-result message for the validation report, etc.; |Information requirement:

Beware that all theses documents do share the same business rule identifiers (e.g. tbrxx-yyy for Business Requirement Identifiers in ESPDInt, and BR-Type-Id#n for the Test Cases technical rules).

Table 5. Class QualificationApplicationRequest, components required by the ESPD-EDM V2.0.2
Document name: QualificationApplicationRequest

Definition 1:

"A structured electronic business document for requesting qualification information through an ESPD (conform to an ESPD template). Directive 2014/24/EU, Art. 59." (source: ESPD Request transaction (Trdm070)).

Document provided by a buyer defining the exclusion and selection criteria for a given procurement procedure.

Business rule(s):

None

File:

dist/xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd

Components Type Card Description Requirements

cbc:UBLVersionID

Identifier

1

Identifies the earliest version of the UBL 2 schema for this document type that defines all of the elements that might be encountered in the current instance.

Information Requirement: tbr070-002.

Rule: Use the value "2.2". Use also "OASIS-UBL-TC" for the schemeAgencyID attribute.

Rule scope: Common (BR-OTH-05, 2.BR-OTH-02)

cbc:CustomizationID

Identifier

1

Identifies a user-defined customization of UBL for a specific use.

Information Requirement: tbr070-001.

Rule: For the ESPD we use the value “urn:www.cenbii.eu:transaction:biitrdm070:ver3.0”. Compulsory use of the value "CEN-BII" for the schemeAgencyID attribute.

Rule scope: Common (BR-OTH-02, BR-OTH-06)

cbc:ProfileID

Identifier

0..1

An identification of the specification containing the total set of rules regarding semantic content, cardinalities and business rules to which the data contained in the instance document conforms. The identification may include the version of the specification as well as any customizations applied.

Information Requirement: tbr070-002.

Rule: Use the value "41". Use also "CEN-BII" for the scheme AgencyID attribute.

Rule scope: Common (BR-OTH-07, BR-OTH-02)

cbc:ProfileExecutionID

Identifier

1

The identification and version of the ESPD Exchange Data Model used to create the to XML instance. The identification may include the exact version of the specification.

Information Requirement: tbr070-002.

Rule: Compulsory use of the CodeList ProfileExecutionID. Use the value "EU-COM-GROW" for th SchemeAgencyID attribute.

Rule scope: Common (BR-OTH-01, BR-OTH-01#13, BR-OTH-03)

cbc:ID

Identifier

1

An identifier for this document, normally generated by the system that creates the ESPD document, or the organisation responsible for the document (e.g. the buyer, e.g. a contracting authority, or the supplier, e.g. an economic operator). An identifier for this document, normally generated by the system that creates the ESPD document, or the organisation responsible for the document (e.g. the buyer, e.g. a contracting authority, or the supplier, e.g. an economic operator). The identifier enables positive referencing the document instance for various purposes including referencing between transactions that are part of the same process.

Information Requirement: tbr070-002.

Rule: Compulsory use of schemeAgencyID attribute. Use it to identify the organisation responsible for the document.

Rule scope: Common (BR-OTH-02)

cbc:CopyIndicator

Indicator

0..1

Indicates whether this document is a copy (true) or not (false).

Information Requirement: tbr070-002.

Rule: It is a good practice to use the CopyIndicator component if the same document is forwarded several times to the same or to different destinations. Use it in combination with the UUID identifier: copies of an ESPD document should be identified with distinct UUIDs.

cbc:UUID

Identifier

1

A universally unique identifier that can be used to reference this ESPD document instance.

Information Requirement: tbr070-002.

Rule: This UUID will be used to link the ESPD Response to its corresponding ESPD Request (thus its compulsoriness). Copies of a document must be identified with a different UUID. Compulsory use of schemeAgencyID attribute.

Rule scope: SELF-CONTAINED (BR-OTH-02)

cbc:ContractFolderID

Identifier

1

An identifier that is specified by the buyer and used as a reference number for all documents in the procurement process. It is also known as procurement project identifier, procurement reference number or contract folder identifier. A reference to the procurement procedure to which a Qualification request document and the delivered response documents are associated.

Information Requirement: tbr070-007.

Rule: Try always to use the reference number issued by the contracting authority. This number in combination with a registered contracting authority ID (e.g. the VAT number) results in a universally unique identifier of the procurement procedure.

Rule scope: REGULATED (BR-REG-10), SELF-CONTAINED (BR-SC-10)

cbc:IssueDate

Date

1

Date when the document was issued by the contracting authority.

Information Requirement: tbr070-002.

Rule: Format "YYYY-MM-DD".

cbc:IssueTime

Time

0..1

Time when the document was issued by the contracting authority.

Information Requirement: tbr070-002.

Rule: Format "hh:mm:ss".

cbc:VersionID

Identifier

0..1

The version identifying the content of this document.

Information Requirement: tbr070-014.

Rule: Changes in content should entail the modification of the version identifier and a reference to the previous version.

cbc:PreviousVersionID

Identifier

0..1

The version identifying the previous modification of the content of this document.

Information Requirement: tbr070-014.

Rule: None

cbc:ProcedureCode

Code

0..1

The type of the procurement administrative procedure according to the EU Directives.

Information Requirement: tbr070-007.

Rule: Rule: Compulsory use of attributes listID, listAgencyName and listVersionID. Compulsory use of the code list ProcedureType (values: Open, Restricted, Accelerated, Competitive dialogue, etc.). Do not confound with the object of the procurement project (code list ProjectType: Works, Supplies, Services).

Rule scope: SELF-CONTAINED (BR-SC-10#2, BR-OTH-03, BR-OTH-01, BR-OTH-01#1)

cbc:QualificationApplicationTypeCode

Code

1

The type of European Single Procurement Document (ESPD).

Information Requirement: tbr070-02.

Rule: Compulsory use of the code list QualificationApplicationType. Compulsory use of attributes listID, listAgencyName and listVersionID.

Rule scope: SELF-CONTAINED (BR-OTH-01, BR-OTH-01#2, BR-OTH-03)

cbc:WeightScoringMethodologyNote

Text

0..n

Free-form text to describing information about Weight Scoring Methodology.

Information Requirement: tbr070-016

Rule: Used for transparency motives. Provide a text explaining clearly the method that will be used to select those selection criteria that will be weighted.

Rule scope: Common (BR-2P-10)

cbc:WeightingTypeCode

Code

0..1

A code specifying the type of the Weighting.

Information Requirement: tbr070-016

Rule: Compulsory use of the code list WeightingType. If this element it is not instantiated and one or more selection criteria are weighted the type defaults to NUMERIC.

Rule scope: Common (BR-2P-10)

cac:ContractingParty

Associated class

1

The contracting authority or contracting entity who is buying supplies, services or public works using a tendering procedure as described in the applicable directive (Directives 2014/24/EU, 2014/25/EU).

Information Requirement: tbr070-01.

Rule: UBL-2.2 defines multiple cardinality ContractingParties presumably to allow joint procurements. However the ESPD only expects data about one buyer. The decision was made that in case of joint procurement the data collected in the ESPD would be about the leader of the joint procurement procedure.

cac:ProcurementProject

Associated class

0..1

An overall definition of the procurement procedure.

Information Requirement: tbr70-002.

Rules: Use this component to identify and describe the procurement administrative procedure. The REGULATED version should not contain a cac:ProcurementProject in order to ensure the back-wards compatibility with the version 1.0.2.

Use this component in case the ESPD is SELF-CONTAINED and the procedure is divided into lots. In this case use the ProcurementProjectLot component to provide details specific to the lot and reserve the ProcurementProject component to describe the global characteristics of the procedure.

cac:ProcurementProjectLot

Associated class

0..1

One of the procurement project lots into which this contract can be divided.

Information Requirement: tbr70-008.

Rule: If there is only one single procurement project lot specified, the ESPD refers then to a procurement procedure without lots.

cac:TenderingCriterion

Associated class

1..n

A tendering criterion describes a rule or a condition that is used by the contracting body to evaluate and compare tenders by economic operators and which will be used for the exclusion and the selection of candidates to the award decision.

Information Requirement: tbr70-003, tbr70-009.

Rule: (see examples further below in this document)

cac:AdditionalDocumentReference

Associated class

0..n

A reference to an additional document associated with this document.

Information Requirement: tbr70-007.

Rule: For procurement procedures above the threshold it is compulsory to make reference to the Contract Notice of the procedure published in TED. See section "Reference to the Contract Notice" for a complete example.

The figure below shows a global view of an ESPD Request XML instance (all nodes have been 'collapsed' to simplify the view):

ESPD Request XML instance
Figure 12. An ESPD Request XML instance (global view)

XML example

The XML snippet below shows how the beginning of an ESPD Request XML instance looks like

<?xml version="1.0" encoding="UTF-8"?>
<QualificationApplicationRequest xmlns="urn:X-test:UBL:Pre-award:QualificationApplicationRequest" xmlns:cac="urn:X-test:UBL:Pre-award:CommonAggregate" xmlns:cbc="urn:X-test:UBL:Pre-award:CommonBasic" xmlns:espd="urn:com:grow:espd:2.0.2"  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="urn:X-test:UBL:Pre-award:QualificationApplicationRequest ../xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd">
        <cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID>
        <cbc:CustomizationID schemeAgencyID="CEN-BII" schemeVersionID="3.0">urn:www.cenbii.eu:transaction:biitrdm070:ver3.0</cbc:CustomizationID>
        <!-- The transactional profile where the ESPD is used. ESPD-EDM-V2.0.2 refers to the CEN profile -->
        <cbc:ProfileID schemeAgencyID="CEN-BII">41</cbc:ProfileID>
        <!-- The identifier of this document provided by the contracing authority system -->
        <cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID>
        <!-- Indicator of whether this document is an original or a copy. In this case the document is the original -->
        <cbc:CopyIndicator>false</cbc:CopyIndicator>
        <cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID>
        <cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID>
        <cbc:IssueDate>2017-12-31</cbc:IssueDate>
        <cbc:IssueTime>19:09:11</cbc:IssueTime>
        <cbc:VersionID schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1.0</cbc:VersionID>
        <cbc:ProcedureCode listID="ProcedureType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">OPEN</cbc:ProcedureCode>
        <cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">SELFCONTAINED</cbc:QualificationApplicationTypeCode>

...

III.5 EU and national publications

REQUIREMENT tbr070-007

The CA must be able to provide information about official journals or gazettes where the procurement procedure is announced. For procurement projects above the threshold it is compulsory to refer to the Contract Notice published in TED.

ESPD conformant software applications will have to provide the means for the user to supply references to EU and national publications about the procurement procedure, and notably about the Notices to which the ESPD is related.

Mock-up

The Figure below is a mock-up representation of how to collect the data expected to reference publications on official gazettes or journals. This mechanism can also be used for contracts below the threshold, obviously.

Publications
Figure 13. Publications, mock-up

XSD Schema

The ESPD EDM uses the UBL component cac:AdditionalReferenceDocument to allow the inclusion of references to documents that they might consider relevant, and amongst them the reference to the Contract Notice on the TED (for above-the-threshold contracts) and to possible Notices on national journals and boards.

The class used for this, cac:AdditionalDocumentReference ''is a'' cac:DocumentReference class defined in the UBL-2.2 Common Aggregate Components library).

DocumentReference
Figure 14. cac:DocumentReference, XSD diagram

The class cac:AdditionalDocumentReference aggregates a subclass cac:Attachment that is used by ESPD to place the URI, name of the document and descriptions.

ExternalReference
Figure 15. Associated class cac:ExternalReference, XSD diagram

Expected elements

As you can see from the XSD Schema the cac:DocumentReference class has a rich data structure. However, to refer to publications such as the TED and national publications, the ESPD most expects at most the following data:

Table 6. Reference to additional documents, expected elements

Class name:

cac:AdditionalDocumentReference

Definition:

A reference to an additional document associated with this document.

Business rule(s):

Common (BR-COM-10)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:AdditionalReferenceDocument

Context of Use:

In this case this reference points at a document published on the Supplement of the European Official Journal or on a national journal.

Components Type Card Description Requirements

cbc:ID

Identifier

1

The identifier for the referenced document, generally issued by the entity responsible for the document.

Information Requirement: tbr070-007.

Rule: If the document referenced is a Contract Notice published on TED the ID must follow the scheme defined by the Publications Office: [][][][]/S [][][]-[][][][][][] (e.g. 2015/S 252-461137). If at the time of drafting the ESPD document the Publication Office has not published yet the Contract Notice the value 0000/S 000-000000 value must be used to indicate that a temporary identifier is being used.

Rule scope: Common (BR-COM-10#1, BR-OTH-02)

cbc:UUID

Identifier

0..1

A universally unique identifier that can be used to reference this ESPD document instance.

Information Requirement: tbr92-013.

Rule: If the referenced document has a UUID to identify its particular instance refer to that UUID here.

cbc:DocumentTypeCode

Code

1

The type of document being referenced, expressed as a code.

Information Requirement: tbr070-007.

Rule: For the ESDP-EDM it is compulsory use of the Code List DocRefContentType. See example below on how to specify the OJS Contract Notice. If, for other documents, the type of document is not available in this list, provide the code “Other” and describe the content in the element DocumentType.

Rule scope: Common (BR-OTH-01, BR-OTH-01#3, BR-OTH-03)

cbc:DocumentType

Text

0..1

The type of document being referenced, expressed as text.

Information Requirement: tbr070-007.

Rule: Optionally use the attribute languageID to indicate the language of the text. Use the Code List LanguageCodeEU for the value of the languageID attribute.

Rule scope: Common (BR-OTH-01, BR-OTH-01#4, BR-OTH-03)

cbc:IssueDate

Date

0..1

Date when the document was issued by the contracting authority.

Information Requirement: tbr92-013.

Rule: Format "YYYY-MM-DD". If available in the referenced document place here the data of publication by the contracting authority.

cbc:IssueTime

Time

0..1

Time when the document was issued by the contracting authority.

Information Requirement: tbr92-013. Rule: If available in the referenced document place here the time of publication by the contracting authority.

Beware that the ESPD document do not embed the content of referenced documents but instead make a reference to its source. Thus the class DocumentReference aggregates a `cac:Attachment`class that allows for embedding the content or making reference to an external source of the content, which is the preferred way in ESPD (see XSD schema above):

Table 7. External Reference

Component name:

cac:ExternalReference

Definition:

A reference to the authentic source of content of this document.

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:AdditionalReferenceDocument/cac:Attachment/cac:ExternalReference

Components Type Card Description Requirements

cbc:URI

Identifier

0..1

The Uniform Resource Identifier (URI) that identifies where the document is located.

Information Requirement: tbr070-007.

Rule: None.

cbc:FileName

Text

0..1

The title of the document.

Information Requirement: tbr070-007.

Rule: Originally this field is the placeholder for the name of the file (e.g. PLACE-ContractNotice-2017-12452.xml. However, as the UBL component does not have a placeholder for a name or title, the ESPD documents use it for a short descriptive title of the document being referenced.

cbc:Description

Text

0..n

Short description of the document.

Information Requirement: tbr070-007.

Rule: If the document being referenced is a Notice being published on TED, use two description lines. Use the second description line to place therein the temporary number received from TED. See example and comments below.

Rule scope: Common (BR-COM-10#2, BR-COM-10-S10, BR-COM-10-S20, BR-COM-10-S30)

XML Example

The XML snippet below illustrates how to use the cac:AdditionalDocumentReference in the ESPDRequest XML document to refer to a Contract Notice published in TED and on a national procurement board:

<!--- Root elements eliminated for the sake of brevity -->

<!-- Reference to the Contract Notice published on TED -->
        <cac:AdditionalDocumentReference>
                <cbc:ID schemeAgencyID="EU-COM-OP">2017/S 142-293520</cbc:ID> (1)
                <cbc:DocumentTypeCode listID="DocRefContentType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">TED_CN</cbc:DocumentTypeCode> (2)
                <cac:Attachment>
                        <cac:ExternalReference>
                        <!-- Beware XML URI fields may require encoded URLs -->
                        <cbc:URI schemeAgencyID="EU-COM-OP">http://ted.europa.eu/udl?uri%3DTED:NOTICE:293520-2017:TEXT:EN:HTML%026src%3D0</cbc:URI> (3)
                        <cbc:FileName>Spain-Zamora: Repair and maintenance services</cbc:FileName>
                        <cbc:Description>Repair and maintenance services. Real estate services.</cbc:Description> (4)
                        <cbc:Description>293520-2017</cbc:Description>        (5)
                        </cac:ExternalReference>
                </cac:Attachment>
        </cac:AdditionalDocumentReference>

        <!-- Reference to the Contract Notice published on the Spanish Central Government eTendering Platform -->
        <cac:AdditionalDocumentReference>
                <!-- Contract Notice publishied on the Spanish Central eTendering Platform "PLACE" Plataforma de Contratación del Sector Público -->
                <cbc:ID schemeAgencyID="PLACE">3.17/20830.0160</cbc:ID> (6)
                <!-- Contract Notice (CN) published on a National Government Official Journal -->
                <cbc:DocumentTypeCode listID="DocRefContentType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NOJCN</cbc:DocumentTypeCode> (7)
                <cac:Attachment>
                        <cac:ExternalReference>
                        <!-- Beware XML URI fields may require encoded URLs -->
                        <cbc:URI schemeAgencyID="PLACE">https://contrataciondelestado.es/wps/portal/!ut/p/b1/pY_LDoIwEEW_hQ8wM5S2wJKH5REUVEDbjenCGI3Axvj9gmFrMXF2Nzkncy8okDahHD2XMAYnUL1-3a76eRt6_Ziy4me6LqNIpAS9gxMjKeKm4ekUyQhIA5AQo5-w2WdORNu8rfghSxCzVMRFY7NR57_5-OUC_K-_t9j_CMqMkBkwTfwAhg3bdOguIEfMPQftehdkvoNluB8f5dWmrhJiI3KoQYbhEkYnLA-hUw8hhJ_dqV7pwLLeHJySpA!!/</cbc:URI>
                        <cbc:FileName>Suministro y transporte de balasto</cbc:FileName>
                        <cbc:Description>Suministro y transporte de balasto para el tramo Zamora — Pedralba de la Línea de Alta Velocidad Olmedo — Lubián — Ourense. Subtramo 8.</cbc:Description>
                        </cac:ExternalReference>
                </cac:Attachment>
        </cac:AdditionalDocumentReference>
</QualificationApplicationRequest>
1 For TED Notices you must use the Publications Office Official Journal Supplement number in its original format [][][][]/S [][][]-[][][][][][], e.g. 2017/S 142-293520. Notice that the schemeAgencyID is EU-COM-OP (OP standing for 'Publications Office').
2 The jurisdiction scope of this document is typified in the Code List DocRefContentType (see file dist/cl/CodeLists-V2.0.2 in the distribution package). Beware that the name and content of this Code List has changed from the previous ESPD-EDM version 1.0.2. The code `TED_CEN`means 'Contract Notice published in TeD (Official Journal of the European Publications Office)'.
3 The ESPD documents never embed the actual content. Rather the content is always referenced from its original source (alignment to the Once-Only-Principle).
4 The title of the CN has to be placed in the FileName field of the attachment. UBL does not provide a placeholder fo the title of the document.
5 In the case of publication on the TED, at ESPD Request preparation time, the procurer does not have yet the OJS number, but can receive a temporary CN identifier (Received Notice Number). To save this number in the DocumentReference component create two cbc:Description elements and use the second one to place this Received Notice Number. If you do not have a description for the CN then use a 'dummy' content for the first description, e.g. <cbc:Description>_</cbc:/Description>.
6 Notice how the schemeAgencyID is used in this example to specify that the national Agency that created this reference to the national publication (e.g. "PLACE" to refer to the ID of the national electronic board where the CN was published). The pattern of the ID is the one created by the Spanish contracting authority.
7 In this case the code NOJCN means 'Contract Notice (CN) published on a National Government Official Journal' (see file CodeLists-V2.0.2) in the distribution package.

III.6 Contracting Body

See formal requirements related to the contracting authorities in the e-Sens site: tbr070-001*

Mock-up

In principle, the ESPD-EDM asks for a few data about the procurer (i.e. the contracting authority, body or entity). The essential (compulsory) data for the contracting body are namely the one aimed to identify it, i.e. its official name and the country. The figure below represents a possible GUI interface for these two data. However the UBL specification provides many other data elements some of which may be interesting to include in the ESPD, notably data about the means to contact the contracting body (see below the list of elements possible in the ESPD).

Therefore software applications may take leverage of the richness of UBL-2.2 to collect also data about the contracting authority contact, end-point, and other data possible in the ESPD.

Procurer identification
Figure 16. Data about the procurer, mock-up

XSD Schema

The UBL-2.2 model provides a component that fits the purpose of holding data about the procurer: the common aggregate component cac:ContractingParty.

ContractingParty
Figure 17. cac:ContractingParty XSD Schema, global vision

The cac:ContractingParty class is a specialisation of cac:Party. Hence, the main data about the procurer is in this associated cac:Party component:

Party
Figure 18. cac:Party XSD Schema, global vision

The cac:Party class in turn associates a very rich class that holds the data about the Party address, including the country (see the UBL-2.2 specification for the complete list of fields):

PostalAddress
Figure 19. cac:PostalAddress, XSD Schema

Notice also that the class associated to cac:Party to place the data about how to contact the contracting body:

Contact
Figure 20. cac:Contact, XSD Schema

Expected elements

Table 8. Contracting body, expected elements

Class name:

cac:ContractParty

Definition:

The contracting authority or contracting entity who is buying supplies, services or public works using a tendering procedure as described in the applicable directive (e.g. Directives 2014/24/EU, 2014/25/EU).

Business rule(s): Common (BR-REQ-20#1)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

Components Type Card Description Requirements

cbc:BuyerProfileURI

Identifier

0..1

URL of the web section, in the contracting body web site, that contains information about the contracting body, the norms it applies when contracting, published calls for tenders, Prior Information Notices and Contract Notices as well as the related procurement documents, contract award notices, etc.

Information Requirement: tbr070-006.

Rule: Notices published at national level shall not contain information other than that contained in the notices dispatched to the Publications Office of the European Union or published on a buyer profile, but shall indicate the date of dispatch of the notice to the Publications Office of the European Union or its publication on the buyer profile (Directive 2014/24/EU, Art. 52.2).

Table 9. Contracting body party, expected elements

Class name:

cac:Party

Definition:

Main data placeholder structure for, in this case, the contracting body.

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ContractingParty/cac:Party

Components Type Card Description Requirements

cac:PartyIdentification/cbc:Identifier

Identifier

0..1

The national identifier of a contracting body as it is legally registered (e.g. VAT identification).

Information Requirement: tbr070-001.

Rule: More than one identifier can be specified. When possible use the VAT identification of the contracting body (see the VIES platform for a EU cross-border national VAT number verification system).

Rule scope: Common (BR-REQ-20#4, BR-OTH-02)

cbc:WebsiteURI

Identifier

0..1

The website of the contracting body.

Information Requirement: tbr070-006.

Rule: For online services (e.g. Web Services, REST services, etc. use the component cac:EndPointID.

cbc:EndPointID

Identifier

0..1

Electronic address of the contracting body.

Information Requirement: tbr070-001.

Rule: Use it for online services (e.g. Web Services, REST services, Delivery ID, ftp, etc. For the official web site of the Party use always the cac:Party/cbc:WebsiteURI). An end-point identifier MUST have a scheme identifier attribute (e.g.eSENSParty Identifier Scheme). Should be considered for all actors (contracting authority, service provider, economic operator) as an eDeliveryID.

cac:PartyName/cbc:Name

Text

1

The name of the contracting body as it is registered.

Information Requirement: tbr070-001.

Rule: Mandatory. Use the official name of the contracting body. The PartyName class has an associated basic element "cbc:Name". See XML example below.

Rule scope: Common (BR-REQ-20#2)

Table 10. Contracting body postal address, expected elements

Class name:

cac:PostalAddress

Definition:

Contractinng body address information.

Business rule(s):

None

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ContractingParty/cac:Party/cac:PostalAddress

Components Type Card Description Requirements

cbc:StreetName

Text

0..1

The main address line in an address. Usually the street name and number or post office box.

Information Requirement: tbr070-006.

Rule: None.

cbc:CityName

Text

0..1

The common name of a city where the address is located.

Information Requirement: tbr070-006.

Rule: None.

cbc:PostalZone

Text

0..1

The identifier for an addressable group of properties according to the relevant postal service, such as a ZIP code or Post Code.

Information Requirement: tbr070-006.

Rule: None.

cac:Country/cbc:IdentificationCode

Code

1

A code that identifies the country. The lists of valid countries are registered with the ISO 3166-1 Maintenance agency, "Codes for the representation of names of countries and their subdivisions". It is recommended to use the Country Code ISO 3166-1 2A:2006 representation.

Information Requirement: tbr070-006.

Rule: The country of the contracting body must always be specified. Compulsory use of the code list CountryCodeIdentifier (ISO 3166-1 2A:2006).

Rule scope: Common (BR-REQ-20#3, BR-OTH-01, BR-OTH-01#5, BR-OTH-03)

cac:Country/cbc:Name

Text

0..1

The name of the country.

Information Requirement: tbr070-006.

Rule: None.

Table 11. Contact of the contracting body, expected elements

Class name:

cac:Contact

Definition:

Used to provide contacting information for a party in general or a person.

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ContractingParty/cac:Party/cac:Contact

Components Type Card Description Requirements

cbc:Name

Text

0..1

The name of the contact point.

Information Requirement: tbr070-006.

Rule: None.

cbc:Telephone

Text

0..1

A phone number for the contact point.

Information Requirement: tbr070-006.

Rule: None.

cbc:Telefax

Text

0..1

A fax number for the contact point.

Information Requirement: tbr070-006.

Rule: None.

cbc:ElectronicMail

Text

0..1

An e-mail address for the contact point.

Information Requirement: tbr070-006.

Rule: None.

XML example

The XML snippet below shows how an example of how to supply the expected data for the contracting body.

...
<!--- Root elements eliminated for the sake of brevity -->
<cac:ContractingParty>
        <cac:Party>
                <cbc:WebsiteURI>www.defensa.gob.es</cbc:WebsiteURI>
                <cbc:EndpointID>www.defensa.gob.es/?p=3404</cbc:EndpointID>
                <cac:PartyIdentification>
                        <cbc:ID schemeAgencyID="VIES-AEAT">B82387770</cbc:ID> (1)
                </cac:PartyIdentification>
                <cac:PartyName>
                        <cbc:Name>Ministerio de Defensa</cbc:Name> (2)
                </cac:PartyName>
                <cac:PostalAddress>
                        <cbc:StreetName>Paseo de la Castellana, 109</cbc:StreetName>
                        <cbc:CityName>Madrid</cbc:CityName>
                        <cbc:PostalZone>28071</cbc:PostalZone>
                        <cac:Country><cbc:IdentificationCode listID="CountryCodeIdentifier" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ES</cbc:IdentificationCode></cac:Country> (3)
                </cac:PostalAddress>
                <cac:Contact>
                        <cbc:Name>Responsable de la compra pública</cbc:Name> (4)
                        <cbc:Telephone>913955000</cbc:Telephone>
                        <cbc:ElectronicMail>comprapublica@defensa.gob.es</cbc:ElectronicMail>
                </cac:Contact>
        </cac:Party>
</cac:ContractingParty>
...
1 The contracting body VAT number. The issuer Agency is the Spanish Tax Agency (AEAT). You can use the VIES platform to verify that the VAT number exists and is correct for Spain.
2 In the ESPD the official name of the contracting body is mandatory.
3 In the ESPD the country code (ES, in this example) is compulsory. You will need to use this code (ES) to verify the VAT number in the VIES service.
4 In this example the contracting body specifies a role, instead of the name of a person.

III.7 Service Provider

REQUIREMENT tbr070-011

The ESPD request may contain information of identification regarding an ESPD service provider: Name, Party Identification, Endpoint ID.

Service providers are officially recognised organisations that can supply ESPD Request documents (on behalf of the contracting body) with pre-filled information about the contracting body and additional information (e.g. liability statements, see tbr070-012)

The ESPD allows the provision of data about the service provider who produced the ESPD Request document (and equally for the ESPD Response document, on behalf of the economic operator).

Differently to the previous version 1.0.2, the ESPD-EDM version 2.0.2 does not include the cac:ServiceProvider as a 'document root component'. Instead, it uses the UBL-2.2 cac:ContractingParty/cac:Party associated class cac:ServiceProviderParty.

XSD Schema

Service Provider
Figure 21. cac:ServiceProvider XSD Schema

Notice that:

  1. The cac:Party`class aggregates the class `cac:ServiceProviderParty; and

  2. The cac:ServiceProviderParty`class 'is a' Party. Hence it aggregates a `cat:Party class too, and uses it to place the main data about the service provider (like name, address, end-point, etc.).

service provider's 'Party' elements
Figure 22. cac:ServiceProvider/cac:Party elements expected for the service provider

Expected elements

Table 12. Service provider, expected elements

Class name:

cac:Party

Definition:

Main information about the service provider.

Business rule(s):

None

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ContractingParty/cac:Party/cac:ServiceProviderParty/cac:Party

Components Type Card Description Requirements

cbc:WebsiteURI

Identifier

0..1

The website of the service provider.

Information Requirement: tbr070-011.

Rule: Use it for the official web site of the service provider. Reserve the EndPointID for online services (e.g. web, REST, ftp services, etc.)

cbc:EndpointID

Identifier

0..1

Electronic address of the service provider.

Information Requirement: tbr070-011.

Rule: Use it for online services (e.g. Web Services, REST services, Delivery ID, ftp, etc. For the official web site of the Party use always the cac:Party/cbc:WebsiteURI). An end-point identifier MUST have a scheme identifier attribute (e.g.eSENSParty Identifier Scheme). Should be considered for all actors (contracting authority, service provider, economic operator) as an eDeliveryID.

cac:PartyIdentification/cbc:ID

Identifier

1

The national identifier of a service provider as it is legally registered (e.g. VAT identification).

Information Requirement: tbr070-011.

Rule: An identifier for the service provider must always be provided. Compulsory use of the attribute SchemeAgencyID. When possible use the VAT identification of the service provider (see the VIES platform for a EU cross-border national VAT number verification system). See XML example below.

Rule scope: Common (BR-REQ-20#5, BR-OTH-02")

cac:PartyName/cbc:Name

Text

1

The name of the service provider.

Information Requirement: tbr070-011.

Rule: The name of the service provider must always be specified. Supply the official registered name of the service provider.

Rule scope: Common (BR-REQ-20#6)

cac:PostalAddress/cac:Country/cbc:IdentificationCode

Identifier

1

The code that identifies the country of the service provider.

Information Requirement: tbr070-011.

Rule: The country of the service provider must always be specified. Compulsory use of the code list CountryCodeIdentifier (ISO 3166-1 2A:2006).

Rule scope: SELF-CONTAINED (BR-REQ-20#7, BR-OTH-01, BR-OTH-01#5, BR-OTH-03)

XML example

The XML snippet below shows how an example of how to supply the expected data for the service provider.

...
<!--- Root elements eliminated for the sake of brevity -->

<cac:ContractingParty>
        <cac:Party> (1)
                <cac:PartyIdentification><cbc:ID schemeAgencyID="VIES">B82387770</cbc:ID>        </cac:PartyIdentification>
                <cac:PartyName><cbc:Name>Ministerio de Defensa</cbc:Name></cac:PartyName>
                <cac:PostalAddress><cac:Country><cbc:IdentificationCode listID="CountryCodeIdentifier" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ES</cbc:IdentificationCode></cac:Country></cac:PostalAddress>
                <cac:ServiceProviderParty>
                        <cac:Party>
                                <cbc:WebsiteURI>http://www.minhafp.gob.es/es-ES/Areas%20Tematicas/Patrimonio%20del%20Estado/Contratacion%20del%20Sector%20Publico/Paginas/ROLECE.aspx</cbc:WebsiteURI>
                                <cbc:EndpointID>http://www.minhafp.gob.es/ESPD/endpoint</cbc:EndpointID>
                                <cac:PartyIdentification> (2)
                                        <cbc:ID schemeAgencyID="AEAT">B36699932</cbc:ID>
                                </cac:PartyIdentification>
                                <cac:PartyName> (3)
                                        <cbc:Name>Registro Oficial de Licitadores y Empresas Clasificadas (ROLECE)</cbc:Name></cac:PartyName>
                                <cac:PostalAddress> (4)
                                        <cac:Country><cbc:IdentificationCode listID="CountryCodeIdentifier" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ES</cbc:IdentificationCode></cac:Country>
                                </cac:PostalAddress>
                        </cac:Party>
                </cac:ServiceProviderParty>
        </cac:Party>
</cac:ContractingParty>

...
1 ContractingParty non-compulsory elements have been omitted for the sake of brevity.
2 The service provider VAT number. The issuer Agency is the Spanish Tax Agency (AEAT). You can use the VIES platform to verify that the VAT number exists and is correct for Spain.
3 The registered name of the service provider is mandatory.
4 The country code of the service provider (ES, in this example) is compulsory. You will need to use this code (ES) to verify the VAT number in the VIES service.

III.8 Procurement Procedure: Regulated ESPD

REQUIREMENT

The contracting authority must be able to provide basic data about the Procurement Procedure

There are some important differences between the data collected for a Regulated ESPD Request and the data that can be required in a Self-contained ESPD Request.

Mock-up

For the Regulated ESDP REquest only three basic data are required: the title, a short description and the file (i.e. case) reference number attributed by the Contracting Authority to the procurement procedure.

The mock-up below shows a possible way of collecting this data:

Procurement Procedure in a Regulated ESPD
Figure 23. Procurement Procedure, data collected in a Regulated ESPD

XSD Schema

The figure below is a fragment of the QualificationApplicationRequest XSD Schema. The placeholders for the data expected in the Regulated ESPD Request have been highlighted (cbc:ContractFolderID and cac:ProcuementProject).

Procurement Procedure-Regulated ESPD-XSD
Figure 24. Procurement Procedure (Regulated ESPD). XSD Schema
ProcurementProject
Figure 25. Class cac:ProcurementProject (elements used in the Regulated ESPD). XSD Schema

Expected elements

As already explained when describing the root elements of the QualificationApplicationRequest document, the identification of the procurement procedure is compulsory for the ESPD documents. This is done by specifying the reference number that the contracting authority assigned to the procedure in the element cbc:ContracFolderID.

Table 13. Regulated ESPD Request: Procurement Procedure reference number

Class name:

QualificationApplicationRequest

Definition:

"A structured electronic business document for requesting qualification information through an ESPD (conform to an ESPD template). Directive 2014/24/EU, Art. 59." (ESPD Request transaction (Trdm070))

Business rule(s):

None

File:

dist/main/xsdrt/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd

Components

Type

Card

Description

Requirements

cbc:ContractFolderID

Identifier

1

An identifier that is specified by the buyer and used as a reference number for all documents in the procurement process. It is also known as procurement project identifier, procurement reference number or contract folder identifier. A reference to the procurement procedure to which this Qualification document is delivered as a response.

Information Requirement: tbr070-007.

Rule: Compulsory use of schemeAgencyID attribute. Although not mandatory, it is a good practice to identify the document wiht a UUID. Copies of a document should be identified with a different UUID.

Rule scope: REGULATED (BR-REG-10), SELF-CONTAINED (BR-SC-10)

The rest of the data related to the Regulated ESPD Request go in the cac:ProcurementProject class:

Table 14. Regulated ESPD Request: Procurement Procedure-related data

Class name:

cac:ProcurementProject

Definition:

An overall description of the procurement procedure.

Business rule(s):

None

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Components Type Card Description Requirements

cbc:Name

Text

0..1

A title for the procurement procedure.

Information Requirement: tbr070-007.

Rule: Use the same name that will be used for the Contract Notice.

Rule scope: SELF-CONTAINED (BR-SC-10#1)

cbc:Description

Text

0..1

A descriptive text for the procurement procedure.

Information Requirement: tbr070-007.

Rule: Use the same description that will be used for the Contract Notice.

XML example

The XML snippet below shows how an example of how to supply the expected data for the service provider.

...
<!--- Root elements eliminated for the sake of brevity -->
<cac:ContractingParty><cac:Party>...</cac:Party></cac:ContractingParty>
        <cac:ProcurementProject>
                <cbc:Name>Spain-Aljaraque: Repair and maintenance services</cbc:Name>
                <cbc:Description>Repair and maintenance services. Real estate services.</cbc:Description>
</cac:ProcurementProject>
...

III.9 Procurement Procedure: Self-contained ESPD

REQUIREMENT

The CA must be able to provide the CPV codes to which the Procurement Procedure relates in the ESPDRequest

REQUIREMENT

The CA must be able to provide the object of the contract and the type of procedure

The Self-contained ESPD adds the possibility for the contracting authority to specify a few more data relevant at evaluation time and for the economic operator:

  1. The CPV (Common Procurement Vocabulary) codes for the procurement procedure so the contracting authority can assess the classification of the economic operator; and for the economic operator to confirm that the procedure falls under its competences, skills or experience.

  2. The 'Object of the contract' (i.e. the type of procurement project: execution of works, supply of products, provision of services). Software applications may use this information to, in a dynamic way, show or hide certain objects from the GUI; or to control the coherence of the XML content. Thus for example, if the object of the contract is 'works' it does not make sense to ask for references related to supplies of goods or services.

  3. The 'Type of procedure' (e.g. Open procedure, Restricted procedure, Competitive procedure with negotiation, Competitive dialogue, Innovation partnership). The type of procedure can be used to control how to treat certain selection criteria. Thus for example, the weighting of technical and professional ability criteria is only used in two stages procedures.

Mock-up

The mock-up below show how this could be implemented in an GUI. Notice that more than one CPV code can be supplied by the contracting authority.

Procurement Procedure in a Self-contained ESPD
Figure 26. Procurement Procedure, data collected in a Regulated ESPD

XSD Schema

For the Self-contained ESPD Request, the 'Object of the contract' needs to be expressed as a code. This code is located in the cac:ProcurementProject class. As a matter of fact, the class provides two codes that allow to further refine the object of the contract: the cbc:ProcurementTypeCode and the cbc:ProcurementSubTypeCode. Thus you can specify things like 'Services' and 'Maintenance and repair services, or Land transport services, including armoured car services, and courier services, except transport of mail, or other', for example (see Code List ServicesProjectSubType in the Code Lists file).

The figure below shows the elements that can be used in a Self-contained ESPD. In blue those elements that are expected. See the UBL-2.2 XSD Schema for more elements in the cac:ProcurementProject class (e.g. the cac:AdditionalCommodityClassification class for other classifications beyond the CPV).

Procurement Procedure elements used in a Self-contained ESPD
Figure 27. Procurement Procedure, elements used in a Self-contained ESPD

Expected elements

Table 15. Self-contained ESPD Request

Class name:

QualificationApplicationRequest

Definition:

"A structured electronic business document for requesting qualification information through an ESPD (conform to an ESPD template). Directive 2014/24/EU, Art. 59." (ESPD Request transaction (Trdm070))

Business rule(s):

None

File:

dist/main/xsdrt/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd

Components Type Card Description Requirements

cbc:ContractFolderID

Identifier

1

An identifier that is specified by the buyer and used as a reference number for all documents in the procurement process. It is also known as procurement project identifier, procurement reference number or contract folder identifier. A reference to the procurement procedure to which this Qualification document is delivered as a response.

Information Requirement: tbr070-007.

Rule: Compulsory use of schemeAgencyID attribute. Although not mandatory, it is a good practice to identify the document with a UUID. Copies of a document should be identified with a different UUID.

Rule scope: REGULATED (BR-REG-10), SELF-CONTAINED (BR-SC-10)

cbc:ProcedureCode

Identifier

1

The type of the procurement administrative procedure according to the EU Directives.

Information Requirement: tbr070-007.

Rule: Compulsory use of the Code List ProcedureType (open procedure, restricted procedure, accelerated restricted procedure, competitive dialogue, negotiated procedure, etc.).

Rule scope: SELF-CONTAINED (BR-SC-10#2, BR-OTH-03, BR-OTH-01, BR-OTH-01#1)

The rest of the data related to the Self-contained ESPD Request go in the cac:ProcurementProject class:

Table 16. Self-contained ESPD Request: Procurement Procedure-related data

Class name:

cac:ProcurementProject

Definition:

An overall description of the procurement procedure.

Business rule(s):

None

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Components Type Card Description Requirements

cbc:Name

Text

0..1

A title for the procurement procedure.

Information Requirement: tbr070-007.

Rule: Use the same name that will be used for the Contract Notice.

Rule scope: SELF-CONTAINED (BR-SC-10#1)

cbc:Description

Text

0..1

A descriptive text for the procurement procedure.

Information Requirement: tbr070-007.

Rule: Use the same description that will be used for the Contract Notice.

cbc:ProcurementTypeCode

Code

0..1

A code to describe the object of the project (e.g. works, supplies, services, public work concessions, service concessions, other).

Information Requirement: tbr070-007.

Rule: Compulsory use of the Code List ProjectType.

Rule scope: SELF-CONTAINED (BR-OTH-01, BR-OTH-01#6, BR-OTH-03)

cbc:MainCommodityClassification

Class

0..n

A class to classify the works, services or supplies. The Self-contained ESPD uses it to assign CPV codes to works and services.

Information Requirement: tbr070-007.

Rule: Use the element cbc:ItemClassificationCode for the specification of the CPV code. Beware that the cardinality of the basic element is 0..1 but the cardinality of the class is 0..n, thus allowing for multiple CPVs.

Rule scope: SELF-CONTAINED (BR-SC-10#1, BR-OTH-01)

XML example

This fragment of XML shows how to supply data in a Self-contained ESPD Request XML document describing the procurement procedure.

<?xml version="1.0" encoding="UTF-8"?>
<QualificationApplicationRequest xmlns="urn:X-test:UBL:Pre-award:QualificationApplicationRequest" xmlns:cac="urn:X-test:UBL:Pre-award:CommonAggregate" xmlns:cbc="urn:X-test:UBL:Pre-award:CommonBasic" xmlns:espd="urn:com:grow:espd:2.0.2"  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="urn:X-test:UBL:Pre-award:QualificationApplicationRequest ../xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd">
        <cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID>
        <cbc:CustomizationID schemeAgencyID="CEN-BII" schemeVersionID="3.0">urn:www.cenbii.eu:transaction:biitrdm070:ver3.0</cbc:CustomizationID>
        <cbc:ProfileID schemeAgencyID="CEN-BII">41</cbc:ProfileID>
        <cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID>
        <cbc:CopyIndicator>false</cbc:CopyIndicator>
        <cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID>
        <cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID>
        <cbc:IssueDate>2017-12-31</cbc:IssueDate>

        <!-- The type of procedure: 1 stands for Open Procedure. See Code List 'ProcedureType' -->
        <cbc:ProcedureCode listID="ProcedureType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">1</cbc:ProcedureCode> (1)

        <cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">SELFCONTAINED</cbc:QualificationApplicationTypeCode>

        <!-- Contracting body data left empty for the sake of brevity -->
        <cac:ContractingParty><cac:Party/>        </cac:ContractingParty>

        <!-- Self-contained ESPD Request. Data about the procurement procedure -->
        <cac:ProcurementProject>
                <cbc:Name>Spain-Aljaraque: Repair and maintenance services</cbc:Name> (2)
                <cbc:Description>Repair and maintenance services. Real estate services.</cbc:Description> (3)
                <cbc:ProcurementTypeCode listID="ProjectType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">Services</cbc:ProcurementTypeCode> (4)

                <!-- CPV for 'Repair and maintenance services'. -->
                <cac:MainCommodityClassification><cbc:ItemClassificationCode>50000000</cbc:ItemClassificationCode></cac:MainCommodityClassification> (5)
                <!-- CPV for 'Real estate services'. -->
                <cac:MainCommodityClassification><cbc:ItemClassificationCode>70000000</cbc:ItemClassificationCode></cac:MainCommodityClassification> (6)
        </cac:ProcurementProject>
</QualificationApplicationRequest>
1 Use of the root element cbc:ProcedureCode to indicate that this is an 'Open procurement procedure'. The code is '1' according to the GROW’s Code List ProcedureType.
2 Compulsory element cbc:Name, used to specify the title of the procurement procedure. Use the same title as for the Contract Notice.
3 Compulsory element cbc:Description used to describe shortly the procedure. Use the same description as for the Contract Notice.
4 The procurement is of type 'Services'. See GROW’s Code List ProjectType. No sub-type of services is specified. The contracting authority possibly decided that the 2nd. CPV was enough for that matter.
5 First main CPV code '50000000' standing for 'Repair and maintenance services'.
6 Additional CPV code '70000000' standing for 'Real estate services'.

III.10 Lots - Regulated ESPD

If the procedure is divided into Lots you can create multiple instances of the element ProcurementProjectLot and use it to identify and describe the Lots.

XSD Schema

Lots
Figure 28. cac:ProcurementProjectLot. XSD Schema

Expected elements

Table 17. Regulated ESPD Request: Lots

Class name:

cac:ProcurementProjectLot

Definition:

A sub-project into which a procurement procedure can be divided. A procurement project lot has its specific characteristics (e.g. different objectives and different selection criteria) and usually generates its own contract.

tbr070-008

Business rule(s):

SELF-CONTAINED (BR-LOT-30)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ProcurementProjectLot

Components Type Card Description Requirements

cbc:ID

Identifier

1

A reference to one or more lots the economic operator is applying for. The original lot definition is part of the call for tender document. The Qualification instance only references the corresponding IDs in order to establish the connection to the call for tender information.

Information Requirement: tbr070-008.

Rule: Compulsory use of schemeAgencyID attribute. Check that the type of the cbc:QualificationApplicationRequest element is set to REGULATED. If more than one lot is present in the XML instance a non-fatal warning should be thrown.

Rule scope: SELF-CONTAINED (BR-LOT-10, BR-LOT-30-S10, BR-OTH-02)

XML Example

In the example below the contracting authority has selected "No Lots", hence the Lot '0'.

Lots (REGULATED ESPD)
<?xml version="1.0" encoding="UTF-8"?>
<QualificationApplicationRequest xmlns="urn:X-test:UBL:Pre-award:QualificationApplicationRequest" xmlns:cac="urn:X-test:UBL:Pre-award:CommonAggregate" xmlns:cbc="urn:X-test:UBL:Pre-award:CommonBasic" xmlns:espd="urn:com:grow:espd:2.0.2"  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="urn:X-test:UBL:Pre-award:QualificationApplicationRequest ../xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd">
        <cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID>
        <cbc:CustomizationID schemeAgencyID="CEN-BII" schemeVersionID="3.0">urn:www.cenbii.eu:transaction:biitrdm070:ver3.0</cbc:CustomizationID>
        <cbc:ProfileID schemeAgencyID="CEN-BII">41</cbc:ProfileID>
        <cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID>
        <cbc:CopyIndicator>false</cbc:CopyIndicator>
        <cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID>
        <cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID>
        <cbc:IssueDate>2017-12-31</cbc:IssueDate>
        <cbc:ProcedureCode listID="ProcedureType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">1</cbc:ProcedureCode>
        <cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">REGULATED</cbc:QualificationApplicationTypeCode> (1)
        <!-- Contracting body data left empty for the sake of brevity -->
        <cac:ContractingParty> <cbc:BuyerProfileURI>http://www.defensa.gob.es/isfas/perfilcontr/</cbc:BuyerProfileURI>
                <cac:Party/>
        </cac:ContractingParty>

        <!-- Mandatory Lot of a Regulated ESPD -->
        <cac:ProcurementProjectLot>
                <cbc:ID schemeAgencyID="EU-COM-GROW">0</cbc:ID> (2)
        </cac:ProcurementProjectLot>
</QualificationApplicationRequest>
1 The type of ESPD is "REGULATED". If SELFCONTAINED was specified the presence of more than one lot should be checked and a non-fatal warning should be thrown.
2 The Regulated ESPD requires the presence of one Lot, identified with a '0' to indicate that the procedure is not divided into Lots. Additional Lots may be specified, in which case each Lot needs to be identified differently.

III.11 Lots - Self-contained ESPD

REQUIREMENT

The contracting authority needs to be able to specify the following information: (i) The Lots into which the procedure is divided; (ii) To which lots the tenders may be submitted (all lots, maximum number of lots, only one lot); and (iii) The maximum number of lots that may be awarded to one tenderer.

Mock-up

This mock-up shows how this could be implemented:

Lots-Selfcontained ESPD
Figure 29. Lots (Selfcontained ESPD), mock-up

XSD Schema

REGULATED and SELF-CONTAINED ESPD documents share the same UBL-2.2 XSD Schemas (there are not two different sets of XSD Schemas). Thus, for the identification of the Lots, the Self-contained ESPD uses the same component than for the Regulated ESPD:

Lots
Figure 30. cac:ProcurementProjectLot. XSD Schema

The rest of information about the lots (“tenders must be submitted for…”, “maximum number of lots”, “maximum number of lots that may be awarded”) is treated as the elements (or properties) of a “Criterion” (component cac:TenderingCriterion) named “Additional information about the Lots”.

As you will see in section IV.4 Mock-ups, data structures, XML examples and tools and further on, this guide uses a spread-sheet-based method to represent the structures of the criteria (and to generate XML template instances of the criteria). The figure below shows the structure that "generates" the XML instance. One important thing to observe in this structure and in the XML example is the use of the Publications Office Code List "BidType" to specify to which Lots the economic operator may bid.

Requirements about Lots issued by the CA
Figure 31. Requirements about Lots issued by the CA (Selfcontained ESPD), mock-up

Expected elements

Table 18. Regulated ESPD Request: Lots

Class name:

cac:ProcurementProjectLot

Definition:

A sub-project into which a procurement procedure can be divided. A procurement project lot has its specific characteristics (e.g. different objectives and different selection criteria) and usually generates its own contract.

tbr070-008

Business rule(s):

SELF-CONTAINED (BR-LOT-30)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ProcurementProjectLot

Components Type Card Description Requirements

cbc:ID

Identifier

1

A reference to one or more lots the economic operator is applying for. The original lot definition is part of the call for tender document. The Qualification instance only references the corresponding IDs in order to establish the connection to the call for tender information.

Information Requirement: tbr070-008.

Rule: Compulsory use of schemeAgencyID attribute. If several lots are present check that the type of the cbc:QualificationApplicationResponse element is set to SELFCONTAINED; otherwise a fatal exception should be thrown. As for the Regulated version, if only one Lot is specified its ID has to be set to '0' thus indicating that the procurement procedure is not divided into Lots.

Rule scope: SELF-CONTAINED (BR-LOT-10, BR-LOT-30-S10, BR-OTH-02)

The rest of the data related to the Self-contained ESPD Request go in a cac:TenderingCriterion object. See the XML example below and read sections about exclusion and selection criteria for more details on this class.

XML Example

In the example below the contracting authority has specified seven Lots, hence the seven instances of ProcurementProjectLot component.

Convention: Lots should always be identified with a sequential number, as in the examples: Lot1, Lot2, …​ Lot7.

Observe that the data is

Lots (SEL-CONTAINED ESPD)
<?xml version="1.0" encoding="UTF-8"?>
<QualificationApplicationRequest xmlns="urn:X-test:UBL:Pre-award:QualificationApplicationRequest" xmlns:cac="urn:X-test:UBL:Pre-award:CommonAggregate" xmlns:cbc="urn:X-test:UBL:Pre-award:CommonBasic" xmlns:espd="urn:com:grow:espd:2.0.2"  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="urn:X-test:UBL:Pre-award:QualificationApplicationRequest ../xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd">
        <cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID>
        <cbc:CustomizationID schemeAgencyID="CEN-BII" schemeVersionID="3.0">urn:www.cenbii.eu:transaction:biitrdm070:ver3.0</cbc:CustomizationID>
        <cbc:ProfileID schemeAgencyID="CEN-BII">41</cbc:ProfileID>
        <cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID>
        <cbc:CopyIndicator>false</cbc:CopyIndicator>
        <cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID>
        <cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID>
        <cbc:IssueDate>2017-12-31</cbc:IssueDate>
        <cbc:ProcedureCode listID="ProcedureType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">1</cbc:ProcedureCode>
        <cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">SELFCONTAINED</cbc:QualificationApplicationTypeCode>
        <!-- Contracting body data left empty for the sake of brevity -->
        <cac:ContractingParty> <cac:Party/></cac:ContractingParty>
        (1)
        <!--- This procurement procedure is divided into 7 Lots -->
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot1</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot2</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot3</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot4</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot5</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot6</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot7</cbc:ID></cac:ProcurementProjectLot>

(2)
<!-- Additional information about the Lots supplied by the contracting authority -->
        <!-- Criterion:CA Lots -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6a21c421-5c1e-46f4-9762-116fbcd33097</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.OTHER.CA_DATA.LOTS_SUBMISSION</cbc:CriterionTypeCode>
                <cbc:Name>CA Lots</cbc:Name>
                <cbc:Description>Please take into account the following requirements regarding the lots of this procurement procedure:</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">03cff8d1-4d22-4435-82fa-d6361af84be6</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">847829aa-e70a-45e1-b4d3-e11c3ffaf7a0</cbc:ID>
                                <cbc:Description>Tenders may be submitted for</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CODE</cbc:ValueDataTypeCode>(3)
                                <!-- Compulsory use of the Publications Office Code List BidType -->
                                <cbc:ExpectedCode listID="BidType" listAgencyID="EU-COM-OP" listVersionID="1.0">LOT_ALL</cbc:ExpectedCode> (4)
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">dceddc28-0ac8-471b-b954-c376a862ea30</cbc:ID>
                                <cbc:Description>Maximum number of lots</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUANTITY_INTEGER</cbc:ValueDataTypeCode>
                                <cbc:ExpectedValueNumeric>5</cbc:ExpectedValueNumeric>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4b710530-abea-4ed0-b3fb-f324919c2d62</cbc:ID>
                                <cbc:Description>Maximum number of lots that may be awarded to one tenderer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUANTITY_INTEGER</cbc:ValueDataTypeCode>
                                <cbc:ExpectedValueNumeric>1</cbc:ExpectedValueNumeric>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>
</QualificationApplicationRequest>
1 This procedure is divided into 7 lots. Hence their automatic identification from Lot1 to Lot7.
2 this Criterion has one group of properties containing a sub-group where the three requirements about the lots are actually specified: (i)The tenderers may submit tenders for the maximum number of lots; (ii) The Contracting Authority specifies a maximum number of 5 lots; and (iii) one tenderer can not win more than one lot. Notice that each element inside a criterion has a Universally Unique Identifier (UUID): these UUIDs are 'constant', meaning that they are maintained by DG GROW and need to be used compulsory as they were issued by DG GROW.
3 A code has to be provided to specify whether the economic operator is allowed to submit a tender covering one lot only, more than one but not all, or all of them.
4 The value for the expected code (see bullet number 3) needs to be chosen amongst the values of the Code List BidType.

Expected elements

Table 19. Regulated ESPD Request: Lots

Class name:

cac:ProcurementProjectLot

Definition:

A sub-project into which a procurement procedure can be divided. A procurement project lot has its specific characteristics (e.g. different objectives and different selection criteria) and usually generates its own contract.

tbr070-008

Business rule(s):

SELF-CONTAINED (BR-LOT-30)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:ProcurementProjectLot

Components Type Card Description Requirements

cbc:ID

Identifier

1

A reference to one or more lots the economic operator is applying for. The original lot definition is part of the call for tender document. The Qualification instance only references the corresponding IDs in order to establish the connection to the call for tender information.

Information Requirement: tbr070-008.

Rule: Compulsory use of schemeAgencyID attribute. If several lots are present check that the type of the cbc:QualificationApplicationResponse element is set to SELFCONTAINED; otherwise a fatal exception should be thrown. As for the Regulated version, if only one Lot is specified its ID has to be set to '0' thus indicating that the procurement procedure is not divided into Lots.

Rule scope: SELF-CONTAINED (BR-LOT-10, BR-LOT-30-S10, BR-OTH-02)

The rest of the data related to the Self-contained ESPD Request go in a cac:TenderingCriterion object. See the XML example below and read sections about exclusion and selection criteria for more details on this class.

XML Example

In the example below the contracting authority has specified seven Lots, hence the seven instances of ProcurementProjectLot component.

Convention: Lots should always be identified with a sequential number, as in the examples: Lot1, Lot2, …​ Lot7.

Observe that the data is

Lots (SEL-CONTAINED ESPD)
<?xml version="1.0" encoding="UTF-8"?>
<QualificationApplicationRequest xmlns="urn:X-test:UBL:Pre-award:QualificationApplicationRequest" xmlns:cac="urn:X-test:UBL:Pre-award:CommonAggregate" xmlns:cbc="urn:X-test:UBL:Pre-award:CommonBasic" xmlns:espd="urn:com:grow:espd:2.0.2"  xmlns:xsi="http://www.w3.org/2001/XMLSchema-instance" xsi:schemaLocation="urn:X-test:UBL:Pre-award:QualificationApplicationRequest ../xsdrt/maindoc/UBL-QualificationApplicationRequest-2.2-Pre-award.xsd">
        <cbc:UBLVersionID schemeAgencyID="OASIS-UBL-TC">2.2</cbc:UBLVersionID>
        <cbc:CustomizationID schemeAgencyID="CEN-BII" schemeVersionID="3.0">urn:www.cenbii.eu:transaction:biitrdm070:ver3.0</cbc:CustomizationID>
        <cbc:ProfileID schemeAgencyID="CEN-BII">41</cbc:ProfileID>
        <cbc:ID schemeAgencyID="DGPE">ESPDREQ-DGPE-3b5755dfb8</cbc:ID>
        <cbc:CopyIndicator>false</cbc:CopyIndicator>
        <cbc:UUID schemeID="ISO/IEC 9834-8:2008" schemeAgencyID="EU-COM-GROW" schemeVersionID="4">0fddbf2d-1e33-4267-b04f-52b59b72ccb6</cbc:UUID>
        <cbc:ContractFolderID schemeAgencyID="DGPE">PP.20170419.1024-9</cbc:ContractFolderID>
        <cbc:IssueDate>2017-12-31</cbc:IssueDate>
        <cbc:ProcedureCode listID="ProcedureType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">1</cbc:ProcedureCode>
        <cbc:QualificationApplicationTypeCode listID="QualificationApplicationType" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">SELFCONTAINED</cbc:QualificationApplicationTypeCode>
        <!-- Contracting body data left empty for the sake of brevity -->
        <cac:ContractingParty> <cac:Party/></cac:ContractingParty>
        (1)
        <!--- This procurement procedure is divided into 7 Lots -->
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot1</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot2</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot3</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot4</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot5</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot6</cbc:ID></cac:ProcurementProjectLot>
        <cac:ProcurementProjectLot><cbc:ID schemeAgencyID="EU-COM-GROW">Lot7</cbc:ID></cac:ProcurementProjectLot>

(2)
<!-- Additional information about the Lots supplied by the contracting authority -->
        <!-- Criterion:CA Lots -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6a21c421-5c1e-46f4-9762-116fbcd33097</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.OTHER.CA_DATA.LOTS_SUBMISSION</cbc:CriterionTypeCode>
                <cbc:Name>CA Lots</cbc:Name>
                <cbc:Description>Please take into account the following requirements regarding the lots of this procurement procedure:</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">03cff8d1-4d22-4435-82fa-d6361af84be6</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">847829aa-e70a-45e1-b4d3-e11c3ffaf7a0</cbc:ID>
                                <cbc:Description>Tenders may be submitted for</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CODE</cbc:ValueDataTypeCode>(3)
                                <!-- Compulsory use of the Publications Office Code List BidType -->
                                <cbc:ExpectedCode listID="BidType" listAgencyID="EU-COM-OP" listVersionID="1.0">LOT_ALL</cbc:ExpectedCode> (4)
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">dceddc28-0ac8-471b-b954-c376a862ea30</cbc:ID>
                                <cbc:Description>Maximum number of lots</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUANTITY_INTEGER</cbc:ValueDataTypeCode>
                                <cbc:ExpectedValueNumeric>5</cbc:ExpectedValueNumeric>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4b710530-abea-4ed0-b3fb-f324919c2d62</cbc:ID>
                                <cbc:Description>Maximum number of lots that may be awarded to one tenderer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUANTITY_INTEGER</cbc:ValueDataTypeCode>
                                <cbc:ExpectedValueNumeric>1</cbc:ExpectedValueNumeric>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>
</QualificationApplicationRequest>
1 This procedure is divided into 7 lots. Hence their automatic identification from Lot1 to Lot7.
2 this Criterion has one group of properties containing a sub-group where the three requirements about the lots are actually specified: (i)The tenderers may submit tenders for the maximum number of lots; (ii) The Contracting Authority specifies a maximum number of 5 lots; and (iii) one tenderer can not win more than one lot. Notice that each element inside a criterion has a Universally Unique Identifier (UUID): these UUIDs are 'constant', meaning that they are maintained by DG GROW and need to be used compulsory as they were issued by DG GROW.
3 A code has to be provided to specify whether the economic operator is allowed to submit a tender covering one lot only, more than one but not all, or all of them.
4 The value for the expected code (see bullet number 3) needs to be chosen amongst the values of the Code List BidType.

IV. Criteria, common aspects

REQUIREMENT _br41-002

The contracting body shall provide the exclusion grounds and selection criteria for its tendering process as structured information – via ESPD template or structured list of criteria set out in a call for tender.

The ESPD-EDM defined a flexible structure to express data about criteria. Based on this structure UBL-2.2 defined in turn the component cac:TenderingCriterion, which is used in ESPD-EDM V2.0.2 to implement the XML objects for exclusion and selection criteria.

The UML diagram below provides a graphic view of the QualificationApplicationRequest document with the complete structure for the cac:TenderingCriterion component (cf. section on the ESPD Response, furhter on this guide, to understand how the QualificationApplicationResponse deals with Criteria).

Criterion
Figure 32. Criterion - UML diagram

IV.1 General behavior

Notice that:

  1. One criterion may have descendent 'sub-criteria'. This is very useful to, for example, define national exclusion criteria that specialise the EU criteria defined in the Directive;

  2. One criterion may refer to one or several pieces of legislation (EU, national, other);

  3. One criterion must always contain at least one group of 'properties'. Properties may be informative captions; general requirements issued by the Member State or procedure-specific requirements specified by the contracting authority; and questions addressed to the economic operator;

  4. One group of properties must always specify at least one 'property';

  5. One group of properties may contain one or several 'sub-groups' of properties.

XSD Schema

This XSD Schema diagram shows a global view of the UBL-2.2 cac:TenderingCriterion component:

Criterion
Figure 33. cac:TenderingCriterion - XSD Schema, global view

Expected elements

Table 20. Criterion, expected elements

Class name:

cac:TenderingCriterion

Definition:

A tendering criterion describes a fact or a condition that is used by the contracting body to evaluate and compare tenders by economic operators and which will be used for the exclusion and the selection of candidate tenderers to the award decision.

tbr070-009

Business rule(s):

SELF-CONTAINED (BR-LOT-20, BR-LOT-30, BR-LOT-30-S20), Common (BR-TC-01)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:TenderingCriterion

Components Type Card Description Requirements

cbc:ID

Identifier

1

A language-independent token, e.g., a number, that allows to identify a criterion uniquely as well as allows to reference the criterion in other documents.

Information Requirement: tbr070-010.

Rule: Each Criterion is defined in e-Certis and must use the UUID supplied by e-Certis. See also the spreadsheets Criteria Taxonomy (Regulated ESPD) and Criteria Taxonomy (Self-contained ESPD).

Rule scope: Common (BR-TC-02, BR-TC-12, BR-TC-13, BR-OTH-02)

cbc:CriterionTypeCode

Code

1

A classification code defined by the ESPD-EDM to represent the criterion in the ESPD taxonomy of criteria.

Information Requirement: tbr070-013

Rule: Compulsory use of codes coming from e-Certis, which are also used in the spreadsheets Criteria Taxonomy (Regulated ESPD) and Criteria Taxonomy (Self-contained ESPD), e.g. CRITERION.EXCLUSION.CONVICTIONS.PARTICIPATION_IN_CRIMINAL_ORGANISATION, CRITERION.EXCLUSION.SOCIAL.ENVIRONMENTAL_LAW, CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.FINANCIAL_RATIO, etc.).

Rule scope: Common (BR-REQ-30, BR-REQ-30-S10, BR-REQ-30-S20, BR-REQ-40, BR-TC-03, BR-TC-04, BR-OTH-01, BR-OTH-01#7, BR-OTH-03)

cbc:Name

Text

1

A short and descriptive name for a criterion.

Information Requirement: tbr70-010

Rule: The name should match the one from e-Certis, which should be the same as in the in the spreadsheets Criteria Taxonomy (Regulated ESPD) and Criteria Taxonomy (Self-contained ESPD), e.g. 'Convictions', 'Corruption', 'Fraud', 'Financial ratio', 'Subcontracting proportion', 'Allowance of checks', etc.).

Rule scope: Common (BR-TC-05)

cbc:Description

Text

1..n

An extended description of the criterion.

Information Requirement: tbr70-010

Rule: The description should match the one from e-Certis, which should be the same as in the in the spreadsheets Criteria Taxonomy (Regulated ESPD) and Criteria Taxonomy (Self-contained ESPD), e.g. 'Has the economic operator itself or any person who is a member of its administrative, management or supervisory body or has powers of representation, decision or control therein been the subject of a conviction by final judgment for participation in a criminal organisation, by a conviction rendered at the most five years ago or in which an exclusion period set out directly in the conviction continues to be applicable? As defined in Article 2 of Council Framework Decision 2008/841/JHA of 24 October 2008 on the fight against organised crime (OJ L 300, 11.11.2008, p. 42).'.

Rule scope: Common (BR-TC-06, BR-TC-19)

Note: The UBL specification allows always multiple lines of text for the component cbc:Description. This feature can be used to split long descriptions into multiple lines, specially when the description contains enumerations (see the criterion "Misinterpretation" for an example).

cbc:WeightNumeric

Numeric

0..1

A weighting to provide for automatic scoring of the Criterion (normally a percentage, e.g. 0.1, 0.5)

Information Requirement: tbr70-016

Rule: Used only in Self-contained ESPDs namely for ability and professional selection criteria in procedures organised in two stages.

Rule scope: SELF-CONTAINED (BR-2P-10, BR-2P-10-S10, BR-2P-10-S10#1, BR-2P-10-S20#1)

cbc:EvaluationMethodTypeCode

Code

0..1

A code to inform about the type of Evaluation, namely for transparency purposes (e.g. PASSFAIL, WEIGHTED)

Information Requirement: tbr70-016

Rule: Compulsory use of the Code List “EvaluationMethodType”.

Rule scope: SELF-CONTAINED (BR-2P-10-S10#2, BR-2P-10-S20, BR-OTH-01, BR-OTH-03, BR-OTH-01#8, BR-OTH-03)

cbc:WeightingConsiderationDescription

Numeric

0..n

Additional information, comments or considerations about the weighting and the evaluation method, namely for transparency purposes; e.g. '0 Points 0 IT specialists, 30 Points 1 IT specialists, 60 Points 2 IT specialists'. See section about Selection Criteria and sub-section on 'Weighting', for more details.

Information Requirement: tbr70-016

Rule: Used only in Self-contained ESPDs namely for ability and professional selection criteria in procedures organised in two stages.

cbc:SubTenderingCriterion

Class

0..n

One or more descendant criteria used namely to define a national exclusion criterion that specialises a more generic criterion like a EU exclusion criterion defined in the Directive.

Information Requirement: tbr70-013

Rule: None. Beware that a sub-criterion 'is a' criterion, therefore no need to list these elements at new. See XML examples in the section about exclusion criteria about how to define a sub-criterion.

cbc:Legislation

Class

0..n

A reference to the legislation related to the Criterion.

Information Requirement: tbr070-013

Rule: None. See table below with the elements of this class.

cbc:TenderingCriterionPropertyGroup

Class

1..n

The first level group of properties and sub-groups of properties in the structure of a criterion.

Information Requirement: tbr070-013

Rule: None. Beware that in previous versions of the ESPD-EDM this was termed “RequirementGroup”.

XML Examples

See XML exmamples in the sections about exclusion and selection criteria.

IV.2 Legislation

The XSD schema below shows, in blue, the elements of the component cac:Legislation used to point at the legislation related to the criterion.

Legislation
Figure 34. cac:Legislation. XSD Schema

Expected elements

Table 21. Legislation, expected elements

Class name:

cac:Legislation

Definition:

A class to make reference to the legislation related to the criterion.

tbr070-013

Business rule(s):

Common (BR-TC-08, 2. BR-OTH-01, BR-OTH-01#9, BR-OTH-03)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:TenderingCriterion/cac:Legislation

Components Type Card Description Requirements

cbc:LegislationTitle

Text

1..n

Title of the legislation.

Information Requirement: tbr070-013.

Rule: The complete title of the legislation provided as in the original legal text. At a later stage it might be provided by e-CERTIS (e.g.'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'). Can be provided in several languages, but if LanguageID`not specified it defaults to `en (English).

Rule scope: Common (BR-TC-09)

cbc:Description

Code

0..n

Textual short description of the legislation.

Information Requirement: tbr070-013

Rule: The description of the legislation provided in the original legal text SHOULD be provided. At a later stage they might be provided by e-CERTIS. Can be provided in several languages, but if LanguageID`not specified it defaults to `en (English).

Rule scope: Common (BR-TC-10)

cbc:JurisdictionLevel

Text

0..n

Jurisdictional level of a particular legislation.

Information Requirement: tbr070-013

Rule: Although this is a text, use the description in Code List LegislationType. Can be provided in several languages, but if LanguageID`not specified it defaults to `en (English).

Rule scope: Common (BR-OTH-03, BR-OTH-01#10, BR-OTH-03)

cbc:Article

Text

0..n

Textual description of the article of the legislation.

Information Requirement: tbr070-013

Rule: Other articles where the Criterion is referred to SHOULD also be provided. At a later stage they might be provided by eCERTIS. Can be provided in several languages, but if LanguageID`not specified it defaults to `en (English).

Rule scope: Common (BR-TC-11)

cbc:URI

Identifier

0..1

URI that points to a legislation related to this criterion.

Information Requirement: tbr070-013

Rule: In the case of European legislation, the URL MUST point at the multilingual EUR-LEX web-page; e.g. Directive 2014/24/EU.

XML Examples

See examples in sections about exclusion and selection criteria.

XML Example

Snippet of XML to illustrate how to use the cac:Legislation component inside a criterion:

<cac:TenderingCriterion>

 <!-- ... elements omitted for brevity -->

        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4ea7a10a-643e-4022-b67e-e06573b28ff5</cbc:ID>(1)
                <cbc:Title>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</cbc:Title> (2)
                <cbc:Description>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</cbc:Description> (3)
                <cbc:JurisdictionLevel languageID="en">EU Directive</cbc:JurisdictionLevel> (4)
                <cbc:Article>57(1)</cbc:Article> (5)
                <cbc:URI>http://eur-lex.europa.eu/legal-content/ES/TXT/?uri=celex%3A32014L0024</cbc:URI> (6)
                </cac:Legislation>

 <!-- ... elements omitted for brevity -->

</cac:TenderingCriterion>
1 Use the UUID provided by GROW.
2 The official long title of the legislation is expected in the Title.
3 The short name that is commonly used to refer to the legislation is expected in the Description.
4 Use the textual values (descriptions) listed in the Code List LegislationType ESPD-CodeLists-V2.0.2.ods

IV.3 Groups of properties

This XSD diagram shows the sub-components of a group of criteria:

TenderingCriterionPropertyGroup
Figure 35. cac:TenderingCriterionPropertyGroup - XSD Schema, global view

One group of properties may include one or more 'sub-groups' of properties (class cac:SubsidiaryTenderingCriterionGroup).

Notice that: One sub-group of properties 'is a' group of criteria:

SubsidiaryTenderingCriterionGroup
Figure 36. cac:SubsidiaryTenderingCriterionGroup- XSD Schema

Expected elements

Table 22. Groups of properties, expected elements

Class name:

cac:TenderingCriterionPropertyGroup

Definition:

The first level group of properties and sub-groups of properties in the structure of a criterion.

tbr070-013

Business rule(s):

Common (BR-TC-07, BR-TC-16)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:TenderingCriterion/cac:TenderingCriterionPropertyGroup

Components Type Card Description Requirements

cbc:ID

Identifier

1

Identifies a group of requirements uniquely.

Information Requirement: tbr070-013.

Rule: Compulsory use of the UUIDs supplied by e-Certis. See also the spreadsheets Criteria Taxonomy (Regulated ESPD) and Criteria Taxonomy (Self-contained ESPD).

Rule scope: Common (BR-TC-12, BR-OTH-02, BR-OTH-02#01)

cbc:PropertyGroupTypeCode

Code

1

Code addressed to control the behavior of the group of criteria.

Information Requirement: tbr070-013.

Rule: Compulsory use of the Code List PropertyGroupType. See sections below about the 'criteria data structures' and the XML examples on exclusion and selection criteria to understand the use of this code. Beware that the first element inside a group of properties (after the group ID) is always a cac:TenderingCriterionProperty. In some occasions this might entail the use of an empty CAPTION element, for instance, to produce groups of subgroups where no property does really makes sense in the first group.

Rule scope: Common (BR-TC-14, BR-TC-15, BR-OTH-01, BR-OTH-01#11, BR-OTH-03)

cac:TenderingCriterionProperty

Class

1..n

Caption (i.e. a 'label'), specific MS or contracting authority requirement (e.g. 'Number of references expected: 5' or a question addressed to the economic operator (e.g. 'Your average yearly turnover for the past three years?'.

Information Requirement: tbr070-013.

Rule: See the rules for the class in the tables below to see the rules related to criterion properties. See also the XML examples provided in sections about exclusion and selection criteria.

cac:SubsidiaryTenderingCriterionPropertyGroup

Class

0..n

A second, third or n-level group inside a first level group of properties.

Information Requirement: tbr070-013.

Rule: subsidiary property groups 'are' property groups (i.e. its the same component but qualified as 'subsidary'). Therefore all the rules applicable to property groups are also applicable to sub-groups: Compulsory use of the Code List PropertyGroupType. See sections below about the 'criteria data structures' and the XML examples on exclusion and selection criteria to understand the use of this code. Beware that the first element inside a group of properties (after the group ID) is always a cac:TenderingCriterionProperty. In some occasions this might entail the use of an empty CAPTION element, for instance, to produce groups of subgroups where no property does really makes sense in the first group.

XML Examples

  1. See examples in sections about exclusion and selection criteria.

  2. You will notice in the examples that the elements cbc:Name and cbc:Description of groups and subgroups of properties are never used. As a common practice the ESPD documents use instead a first cac:TenderingCriterionProperty of type CAPTION (i.e. an informative property that act as a 'label').

IV.4 Properties

REQUIREMENT

The contracting authority needs to be able to specify the type of the value it expects from the economic operator in a response; e.g. DESCRIPTION, INDICATOR, QUANTITY, URL, etc.). The economic operator must provide a value for the response that is consistent with the type specified by the contracting authority.

This other XSD diagram shows the elements of the properties of a criterion :

TenderingCriterion
Figure 37. cac:TenderingCriterionProperty - XSD Schema

Notice that: One sub-criterion 'is a' criterion:

SubTenderingCriterion
Figure 38. cac:SubTenderingCriterion- XSD Schema

Expected elements

The following table lists the elements of a criterion property. Beware that the majority of the elements are the possible types of responses that the contracting authority can specify. The economic operator, in the ESPDResponse, must provide values that are consistent with the type specified by the contracting authority.

Table 23. Properties, expected elements

Class name:

cac:TenderingCriterionProperty

Definition:

Caption (i.e. a 'label'), specific MS or contracting authority requirement (e.g. 'Number of references expected: 5' or a question addressed to the economic operator (e.g. 'Your average yearly turnover for the past three years?'.

Information Requirement: tbr070-013

Business rule(s):

SELF-CONTAINED (BR-SC-20)

File:

dist/common/xsdrt/UBL-CommonAggregateComponents-Pre-award.xsd

Path:

/QualificationApplicationRequest/cac:TenderingCriterion/cac:TenderingCriterionProperty

Components Type Card Description Requirements

cbc:ID

Identifier

1

Identifies one specific property.

Information Requirement: tbr070-013.

Rule: Property identifiers must use UUID numbers (version 4) automatically generated. The responses of the economic operator (in the ESPD Response document) will refer to this UUID to link the response with one, and only one, criterion property. See the section about the ESPD Response for examples.

Rule scope: Common (BR-TC-18, BR-OTH-02)

cbc:Description

Text

1

The text of the caption, requirement or question.

Information Requirement: tbr070-013.

Rule: None.

Rule scope: Common (BR-TC-19)

cbc:TypeCode

Code

1

The type of property. Used to verify that structure of the property is correct.

Information Requirement: tbr070-013.

Rule: Compulsory use of the Code List 'CriterionElementType'. Possible types are 'CAPTION, REQUIREMENT and QUESTION'. If the type is CAPTION or REQUIREMENT no answer is expected from the economic operator and therefore the cbc:ValueDataTypeCode must be set to NONE. Otherwise this value must be set to one of the values defined in the Code List 'ResponseDataType'

Rule scope: SELF-CONTAINED (BR-TC-20, BR-OTH-01, BR-OTH-01#14, BR-OTH-03)

cbc:ValueDataTypeCode

Code

1

The type of answer expected by the contracting authority in the case of a poperty of type QUESTION.

Information Requirement: tbr070-013.

Rule: Compulsory use of the Code List “ResponseDataType”. Verify that the value is different to NONE for properties of type QUESTION.

Rule scope: Common (BR-TC-21, BR-OTH-01, BR-OTH-03, BR-OTH-01#12, BR-OTH-03)

cbc:ValueUnitCode

Code

0..1

The unit of measure of the numeric value as a quantity or measure in the expected response from the economic operator.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

Rule scope: SELF-CONTAINED (BR-OTH-01)

cbc:ValueCurrencyCode

Code

0..1

The currency of the numeric value as an amount in the expected response from the economic operator.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

Rule scope: SELF-CONTAINED (BR-OTH-01)

cbc:ExpectedID

Identifier

0..1

The expected identifier that the economic operator has to provide in the criterion response.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

Rule scope: SELF-CONTAINED (BR-LOT-40)

cbc:ExpectedCode

Code

0..1

The expected code that the economic operator has to provide in the Criterion response.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

Rule scope: SELF-CONTAINED (BR-OTH-01)

cbc:ExpectedValueNumeric

Numeric

0..1

The expected value that the economic operator has to provide in the Criterion response.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

cbc:MaximumValueNumeric

Numeric

0..1

The maximum value the response must have.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

cbc:MinimumValueNumeric

Numeric

0..1

The minimum value the response must have.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

cbc:CertificationLevelDescription

Text

0..1

The description of the level of the expected certification.

Information Requirement: tbr070-013.

Rule: Verify that the value of cac:TypeCode is set to QUESTION and that the cac:ValueTypeCode is different to NONE.

cac:ApplicablePeriod

Class

0..1

The period to which this criterion property shall apply.

Information Requirement: tbr070-013.

Rule: The ESPD-EDM does only expect start date and end date.

cac:TemplateEvidence

Class

0..n

A pointer to one or more evidences that support the veracity of this criterion.

Information Requirement: tbr070-013.

Rule: None.

XML Examples

  1. See examples in sections about exclusion and selection criteria.

  2. You will notice in the examples that the element cbc:Name is never used. Instead the cac:Description is sufficient for all the ESPD purposes.

IV.5 Mock-ups, data structures, XML examples and tools

The two next chapters describe in detail the different types of exclusion and selection criteria defined and used in the ESPD-EDM. By type of criterion we refer to criteria that share common characteristics, namely how they are structured. Each type of criterion is presented from three perspectives:

  1. Layout and functional: Mock-ups are provided to explain which data are expected and, to some extent, how software applications should behave (what to show/hide, validate or process depending on variables like 'what the user answers' or 'which is the role of the user'). Mock-ups are provided for both the contracting authority and economic operator perspectives;

  2. Structural: two spread-sheet books (two files) are provided with this document aimed to explain how each type of criterion is organised (each book contains different sheets (tabs). Each 'tab' shows the structure of one type of criterion (e.g. 'EG-Convictions', 'EG-Contributions', …​, 'SC-Suitability', 'SC_References', etc.; where 'EG' stands for 'Exclusion Grounds', and 'SC' stands for 'Selection Criteria').

    • ESPD-CriteriaTaxonomy-REGULATED-V2.0.2.xlsx, where the structures of the REGULATED ESPD criteria are defined;

    • ESPD-CriteriaTaxonomy-SELFCONTAINED-V2.0.2.xlsx, where the structures of the SELF-CONTAINE ESPD criteria are defined;

  3. XML Implementation:

Each mock-up (or pair of CA + EO mock-ups) represent the structure represented in the data structure spread-sheet and in the supplied XML example. Whilst the mock-up and XML example are quite self-explanatory, to understand the value of the data structure spread-sheet needs to be explained; which is the mission of this very next sub-section below.

Data structures

The ESPD-EDM 'criterion' entity is a very flexible and business-agnostic structure. This flexibility provides a convenient way to represent any type of criteria. The counterpart is that the semantics of the criteria needs to be delimited based on codes, identifiers and design rules.

Hence this document proposes a way of representing the criteria following a regular method and providing concrete codes to specify types of criterion properties, and identifiers to distinguish the different criteria and reusable groups of properties (when studying these data groups you will observe that sub-groups of properties are reused in different criteria have identical identifiers and structures).

The following two figures below illustrate the data structure sheets for one simple exclusion criterion (EG-Contributions) from both versions of the ESPD, REGULATED and SELF-CONTAINED. Compare them with the UBL-2.2 cac:TenderingCriterion XSD element.

The columns of the tables are to be interpreted as follows:

  • Column 1: an ordinal number to sort sequentially the criteria

  • Column 2: contains always the opening and closing tag for Criterion

  • Columns 3 to 17: reserved for the opening and closing tags defining the data structure (see the tag codes in code list CriterionElementType).

  • Column 18: Name, a short descriptive text to identify the criterion withouth having to read the description

  • Column 19: Description, the text describing the criterion as kept in e-Certis

  • Column 20: Value a possible value or description of the value used by the transformation artefacts to produce example XML instances

  • Column 21: Cardinality, indicates whether the element is mandatory or optional and its multiplicity

  • Column 22: PropertyDataType, the type of data expected according to the types defined in the code list ResponseDataType

  • Column 23: ElementUUID, The Universal Unique Identifier assigned to identify unambiguously a criterion, group or subgroup. These UUID are kept in e-Certis, except for those that have to be generated dynamically (e.g. UUIDs for Questions, Captions and Requirements). See also the special note "Criteria Taxonomy/Data Structures and the use of UUIDS" below

  • Column 24: Element Code; in the case of Criterion it contains the code that categorises the criterion in the taxonomy of exclusion and selection criteria (it maps to the taxonomy drawn in the online documentation and in the spread-sheet files "ESPD-CriteriaTaxonomy*" in folder dist/cl). For the rest of elements there are three types of codes:

    • ON*, meaning "process always" (e.g. show always or read and extract data always")

    • ONTRUE, meaning "process this group only if the previous parent question (always an INDICATOR) has been answered affirmatively"

    • ONFALSE, meaning "process this group only if the previous parent question (always an INDICATOR) has been answered negatively"

REGULATED

Regulated 'Contributions' criterion data structure
Figure 39. Regulated 'Contributions' criterion data structure

SELF-CONTAINED

Self-contained 'Contributions' criterion data structure
Figure 40. Self-contained 'Contributions' criterion data structure
Important Note: Criteria Taxonomy/Data Structures and the use of UUIDS

Please notice the following:

Every element of the data structures has an UUID assigned, except for the CAPTIONs, REQUIREMENTs and QUESTIONS. This is UUID is necessary to identify unambiguously a particular "data structure" (or "data shape"). One data structure identified with a unique identifier has always the same elements and characteristics. This allows the reuse of the same structure in different criteria. These UUIDs map the ones maintained in e-Certis for each criterion.

  • Example 1: There is a data structure that is reused by all the criteria, the one asking whether there is information available electronically. You will notice that all criteria where it is used the UUIDs of the groups and subgroups are the same, but also the cardinalities, the PropertyDataType and the Element Code".

  • Example 2: If you look into the "Convictions" data structures you will notice the data structure (a QUESTION_SUBGROUP) identified with the UUID "f4978772-3126-4ded-bc30-f50da8c3a038". This subgroup contains one QUESTION ("Have you taken measures to demonstrate your reliability (Self-Cleaning)?" and a sub-group with another QUESTION ("Please describe them"). If you search in the book you will observe that this same structure is also reused by other criteria (e.g. CRITERION.EXCLUSION.SOCIAL.*, CRITERION.EXCLUSION.MISCONDUCT.\*, etc.) but the UUID of the main subgroup is different in all those cases from the one used for Convictions. This is because the Element Code in the case of Convictions (and for this subgroup) is "ONTRUE" whilst in the rest of criteria it is "ON*".

As explained, CAPTIONs, REQUIREMENTs and QUESTIONs cannot have a "reusable" UUID allocated. The reason for this is that they are defined as "Criterion Properties" which must use non-reusable truly unique identifiers. This is especially important in the case of the responses of the economic operator (in the ESPD Response document) which will refer to one, and only one, QUESTION of the ESPD Request. For more details see sections IV.4 Properties and VII.7 Answering QUESTIONs.

Beware also that the spread-sheet files in v2.0.2 defining the criteria data structures (ESPD-CriteriaTaxonomy-REGULATED-V2.0.2.ods and ESPD-CriteriaTaxonomy-SELFCONTAINED-V2.0.2.ods) are indeed functionally equivalent to those that in previous versions were named as "Criteria Taxonomy", as they do not only identify and define the criteria and their inner elements but also "classify" the criteria in different categories. Each category represents one type of criterion with identical data structures inside. This concept of "taxonomies" is better illustrated and further detailed at the beginning of the sections V. Exclusion criteria and VI. Selection criteria. And keep in mind that, in ESPD v2.0.x, these Criteria Taxonomy spread-sheets can be used to automatically generate XML instances of REGULATED and SELF-CONTAINED documents, which can be extremely useful for implementers and testers of the ESPD v2.0.2-based software and services.

We could say that the 'data structures' represented in the spread-sheets define a kind of 'meta-language' (or 'controlled vocabulary') that helps 'map' the structure of an ESPD-EDM criterion and the UBL-2.2 criterion data structure. The table below 'maps' both vocabularies. Please compare any of the data structures provided in this document with both the UBL-2.2 XSD Schemas and the XML examples provided herein.

Table 24. Mapping between the ESPD-EDM criterion data structure spread-sheets and the UBL-2.2 vocabulary

ESDP-EDM Spread-sheet vocabulary

UBL-2.2 vocabulary

CRITERION

cac:TenderingCriterion

SUBCRITERION

cac:SubTenderingCriterion

REQUIREMENT_GROUP

cac:TenderingCriterionPropertyGroup

QUESTION_GROUP

cac:TenderingCriterionPropertyGroup

REQUIREMENT_SUBGROUP

cac:SubsidiaryTenderingCriterionPropertyGroup

QUESTION_SUBGROUP

cac:SubsidiaryTenderingCriterionPropertyGroup

CAPTION

cac:TenderingCriterionProperty

REQUIREMENT

cac:TenderingCriterionProperty

QUESTION

cac:TenderingCriterionProperty

ADDITIONAL_DESCRIPTION_LINE

cbc:Description (namely in cac:TenderingCriterion)

LEGISLATION

cac:Legislation

The ESPD-EDM data structures vocabulary is defined in the Code List "CriterionElementType". Her you have the definitions provided therein:

  • CRITERION: A criterion (in the case of the the ESPD an Exclusion or Selection criterion); maps to a UBL-2.2 cac:TenderingCriterion class

  • SUBCRITERION: Used to define national sub-criteria; maps to a UBL-2.2 cac:SubTenderingCriterion class

  • REQUIREMENT_GROUP: Group of requirements or remarks issued by a MS or a CA; maps to a UBL-2.2 cac:TenderingCriterionPropertyGroup

  • REQUIREMENT_SUBGROUP: A subgroup of requirements or remarks inside a group or subgroup of requirements; maps to a UBL-2.2 cac:SubsidiaryTenderingCriterionPropertyGroup

  • REQUIREMENT: Requirement, remark, rule, restriction or additional information to which the EO needs to conform or comply with; maps to a cac:TenderingCriterionProperty class (one data type must be specified for the value supplied by the contracting authority (CA); see see codes in the Code List "ResponseDataType")

  • QUESTION_GROUP: Group of questions, each question requiring a datum as an answer from the EO; maps to a cac:TenderingCriterionPropertyGroup class

  • QUESTION_SUBGROUP: A subgroup of questions inside a group or a subgroup of questions; maps to a cac:SubsidiaryTenderingCriterionPropertyGroup

  • QUESTION: A question that requires an answer (a specific datum) from the EO; maps to a cac:TenderingCriterionProperty class (one, and only one, data type is expected; see codes in the Code List "ResponseDataType" )

  • CAPTION: A text label (no requirement nor answer is expected); maps to a cac:TenderingCriterionProperty class (the expected response data type is NONE)

  • ADDITIONAL_DESCRIPTION_LINE: Additional line in a description (for descriptions that can be split in several lines); maps to a cbc:Description element (namely in cac:TenderingCriterion)

  • LEGISLATION: An instance of a Legislation class; maps to a cac:Legislation class

The main differences between REQUIREMENT, CAPTION and QUESTION are:

  1. A REQUIREMENT is a condition, restriction or rule established by the Member State (in e-Certis, for all procurement procedures) or the contracting authority (CA, for the specific procurement procedure). REQUIREMENTs are not intended to be responded by the economic operator; but the economic operator must conform to (comply with) it. Examples of REQUIREMENTs: 'Provide at least three references to similar works', 'The expected lowest general yearly turnover is 1,000,000 €', etc. (see mock-ups).

  2. A CAPTION is a label normally used to introduce a group of REQUIREMENTs or QUESTIONs; e.g. 'Lots the EO tenders to' (which is followed by a list of Lots identifiers provided by the EO);

  3. A QUESTION is a direct request for a specific datum by the MS or the CA addressed to the EO. The EO has to respond this QUESTION with a value of the expected type of data.

If you examine any of the XML examples provided in this document you will observe that:

  • SUBCRITERION is currently used to specify national criteria. The Regulated ESPD documents do not specify SUBCRITERIA. The SELF-CONTAINED version does;

  • The Regulated ESPD documents do not specify REQUIREMENTs, only QUESTIONs. The SELF-CONTAINED version does;

  • The reason for having 'groups' and 'sub-groups' of properties is because UBL-2.2 defined the 'TenderingCriterionPropertyGroup' and 'SubsidiaryTenderingCriterionPropertyGroup';

  • In the SELF-CONTAINED version the following rules apply in a regular way:

    • When the member state (MS) or the contracting authority (CA) needs to specify REQUIREMENTs, the outer group of the data structure is always a REQUIREMENT_GROUP (e.g. 'EG-Contributions', 'SC-Suitability', or practically all selection criteria). Otherwise the outer group is always a QUESTION_GROUP (e.g. 'EG-Convictions', 'EG-Environ-Social-Labour_Law', 'EG-Business', etc.)

    • A REQUIREMENT_GROUP always contain a first element CAPTION or REQUIREMENT. This is because in the UBL-2.2 XSD schema the first mandatory element is always a cac:TenderingCriterionProperty element;

    • A REQUIREMENT_GROUP or REQUIREMENT-SUBGROUP may contain either REQUIREMENT_SUBGROUPS and/or QUESTION_SUBGROUPS;

    • The only possibility in the UBL-2.2 model to distinguish whether a group or a subgroup of criterion properties contains REQUIREMENTs or QUESTIONs is to look into the value of the cac:TenderingCriterionProperty/cbc:TypeCode. The list of possible codes are the ones of the above mentioned Code List "CriterionElementType".

Data structures spread-sheets as a tool to generate XML instances

The fact of presenting the data structures as a spread-sheet book had an additional reason: to use the spread-sheet as an elementary prototype tool to generate the XML instances of the criteria for the ESPD Request and ESDP Response documents.

Thus the folder dist/xslt contains four XSL style-sheets that facilitate the generation of the complete set of criteria required in an ESDP Request or in an ESDP Response XML file.

For this you can use two different methods:

  1. Automatic method: Use the script file "Transformer.bat" to generate an ESPD Request or ESPD Response. The expected syntax is the following:

    • To generate the REGULATED ESPD Request criteria (without the responses, only criteria groups and properties):

      c:\dist\xslt>Transformer.bat [ods_file_filePathName] [XSL-T_filePathName] 	[Output_XML_filePathName]
      Example: c:\dist\xslt>Transformer.bat 	..\cl\ods\ESPD-CriteriaTaxonomy-REGULATED-V2.0.2.ods .\REGULATED-ESPDRequest-Annotated-V2.0.2.xslt ..\xml\MyREGULATED_ESPDRequestCriteria.xml
    • To generate the REGULATED ESDP Response criteria (generates only the answers to the QUESTIONs):

      c:\dist\xslt>Transformer.bat [ESPD_Request_filePathName] [XSL-T_filePathName] 	[Output_XML_filePathName]
      Example: c:\dist\xslt>Transformer.bat ..\xml\MyREGULATED_ESPDRequestCriteria.xml .\From-REGULATED-REQUEST_to_RESPONSE.xslt ..\xml\MyREGULATED_ESPDResponseCriteriaAnswers.xml
    • To generate the SELF-CONTAINED_ESPD Request criteria:

      c:\dist\xslt>Transformer.bat [ods_file_filePathName] [XSL-T_filePathName] Output_XML_filePathName]
      Example: c:\dist\xslt>Transformer.bat ..\cl\ods\ESPD-CriteriaTaxonomy-SELFCONTAINED-V2.0.2.ods	.\SELFCONTAINED-ESPDRequest-Annotated-V2.0.2.xslt ..\xml\MySELFCONTAINED_ESPDRequestCriteria.xml
    • To generate the SELF-CONTAINED ESDP Response criteria (generates only the answers to the QUESTIONs):

      c:\dist\xslt>Transformer.bat [ESPD_Request_filePathName] [XSL-T_filePathName] 	[Output_XML_filePathName]
      Example: c:\dist\xslt>Transformer.bat ..\xml\MySELFCONTAINED_ESPDRequestCriteria.xml .\From-SELFCONTAINED-REQUEST_to_RESPONSE.xslt ..\xml\MySELFCONTAINED_ESPDResponseCriteriaAnswers.xml
  2. Manual method: Rename the .ods files as .ods.zip and extract the file 'content.xml'; use an XML editor to load the 'content.xml' file and the XSL-T file. Associate (or reference) the XSLT file to the XML. Launch the transformation from the XML Editor. Save the output file.

Beware that this solution is a simple prototype aimed at generating the complete list of criteria that may occur in an ESDP Request and the responses (but not the the criteria properties) in an ESPD Response.

The following features are implemented in the first set of transformation XSL-T style-sheet (REGULATED-ESPDRequest-Annotated-V2.0.2.xslt and SELFCONTAINED-ESPDRequest-Annotated-V2.0.2.xslt):

  • All the root elements are created and commented;

  • An empty contracting authority is created in the ESPD Request and ESPD Response (no data about any CA is supplied); just the necessary for the XML to be validated against the XSD schema;

  • An empty economic operator is created in the ESPD Response (no data about any EO is supplied); just the necessary for the XML to be validated against the XSD schema;

  • All the exclusion and selection criteria in the spread-sheets are created;

  • Per each criterion a complete Legislation object is instantiated with 'dummy' values.

The following features are NOT implemented in the first set of transformation XSL-T style-sheet (REGULATED-ESPDRequest-Annotated-V2.0.2.xslt and SELFCONTAINED-ESPDRequest-Annotated-V2.0.2.xslt):

  • The publications and document references requested in the business requirements are not generated; but the XML examples provided in the distribution do contain examples of TED and national publications (both for the ESPD Request and ESPD Response examples. See files REGULATED-ESPDRequest-2.0.2.xml, REGULATED-ESPDResponse-2.0.2.xml, SELFCONTAINED-ESPDRequest-2.0.2.xml and SELFCONTAINED-ESPDResponse-2.0.2.xml, in the xml folder.

  • The response value and cardinality are shown for informative purposes. No functionality is currently implemented based on them, but could be used in future improved versions of the prototype;

The following features are implemented in the second set of transformation XSL-T style-sheet (From-REGULATED-REQUEST_to_RESPONSE.xslt and From-SELFCONTAINED-REQUEST_to_RESPONSE.xslt files):

  • All the root elements are created and commented;

  • An empty contracting authority is created (no data about any CA is supplied); just the necessary for the XML to be validated against the XSD schema;

  • An empty economic operator is created (no data about any EO is supplied); just the necessary for the XML to be validated against the XSD schema;

  • A cac:TenderingCriterionResponse per cac:TenderingCriterionProperty in the ESPD Request document is created with 'dummy' values. The cac:ResponseValue elements are of the data type expected as specified in the ESPD Request cac:TenderingCriterionProperty/cac:ValueDataTypeCode element.

The following features is NOT implemented in the first set of transformation XSL-T style-sheet (REGULATED-ESPDRequest-Annotated-V2.0.2.xslt and SELFCONTAINED-ESPDRequest-Annotated-V2.0.2.xslt):

  • The Criteria from the ESPD Request are not copied in the ESPD Response document. but the XML examples in the xml folder do.

V. Exclusion criteria

REQUIREMENT br41-002 The contracting body shall provide the exclusion grounds and selection criteria for its tendering process as structured information – via ESPD template or structured list of criteria set out in a call for tender.

REQUIREMENT tbr070-009

The ESPD request must contain information about the criteria that set the exclusion grounds as stated in directive 2014/24/EU Art. 57 and referred to in directive 2014/25/EU Art. 80 and/or according to national legislation. These should be retrieved from e-Certis.

Differences between Regulated and Self-contained exclusion criteria

As far as the data structures of exclusion criteria are concerned there are practically not differences between a Regulated ESPD and a Self-contained ESPD.

The only two differences lie in:

  1. The way the criteria are worded; e.g. the description of a conviction criterion reads like this in the two cases:

    • Regulated ESPD Request: Has the economic operator, to its knowledge, breached its obligations in the field of environmental law? As referred to for the purposes of this procurement in national law, in the relevant notice or the procurement documents or in Article 18(2) of Directive 2014/24/EU.

    • Self-contained ESPD Request: Has the economic operator, to its knowledge, breached its obligations in the field of environmental law? As referred to for the purposes of this procurement in this ESPD document and in the national law, in the relevant notice or the procurement documents or in Article 18(2) of Directive 2014/24/EU.

  2. The criterion 'Contributions' (i.e. Payment of Taxes and Social Security Contributions) adds a national REQUIREMENT to set the minimum threshold of debt for taxes or social security that is allowed in the Member State.

As suggested in section "Criteria Data Structures" criteria may be grouped in several different categories. The figure below is intended to identify and list these categories for the Exclusion criteria (branches in text boxes), and specific subgroups within each category (leaves in text without boxes).

Each branch in this 'criteria taxonomy' corresponds to one data structure that is identical for all the leaves under that branch (e.g. compare the names of the boxes with the tabs of the spreadsheets containing the Regulated and Self-contained taxonomies).

Exclusion criteria taxonomy
Figure 41. Exclusion criteria taxonomy

V.1 Convictions

Information requirement

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The only difference between REGULATED and SELF-CONTAINED concerning conviction criteria is that the SELF-CONTAINED version allow Member States to link national sub-criteria to the EU conviction criterion. Thus:

    • For REGULATED ESPDs the XML file will not contain the national criteria specified in e-Certis. See the figure showing the data structure for Regulated ESPDs.

    • For SELF-CONTAINED ESPDs the XML will contain the national criteria and also the QUESTION for the economic operator to answer whether it fulfills the national criterion or not. See the figure showing the data structure for Self-contained ESPDs below.

  2. The label ''Convictions'' groups all the criteria with identical data structures classified as:

    • CRITERION.EXCLUSION.CONVICTIONS.*: ''participation in a criminal organisation'', ''corruption'', ''fraud'', ''terrorist offences linked to terrorist activities'', ''money laundering or terrorist financing'', ''child labour and other forms of trafficking in human beings''.

Note about the ESPD Service

If you are using the ESPD Service developed by the European Commission you will observe the label 'More information >>' on the left side of the mock-up. If you click on it the national criteria defined by the MS in the e-Certis will be shown. However you must be warned that, as the EC ESPD Service does only implement the Regulated ESPD V1.0.2 the national criterion will not be saved into the exported XML instance.

Mock-ups - economic operator perspective

The figure below shows the GUI presented by the ESPD Service. Beware that the XML example we provide in this guide is based on the ESPD Request V2.0.2, which does allow the possibility of saving the national criteria, contrary to the ESPD V1.0.2.

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

Conviction EO mock-up
Figure 42. Conviction 'Participation in criminal organisation', mock-up (EO perspective)

Data structure - Regulated

Notice that the only difference between the Regulated and the Self-contained structures is that the Regulated one does not contain a 'national sub-criterion'.

Convictions data structure
Figure 43. Data Structure for all 'Regulated Conviction' exclusion grounds criteria

Data structure - Self-contained

Convictions data structure
Figure 44. Data Structure for all 'Self-contained Conviction' exclusion grounds criteria

XML Example - Self-contained

The fragment of XML code below illustrates how a 'Convictions' criterion looks like in a Self-contained ESPD Request. See comments beneath the example.

'Participation in a criminal organisation' conviction
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

<!-- Criterion:Participation in a criminal organisation -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">005eb9ed-1347-4ca3-bb29-9bc0db64e1ab</cbc:ID>
        (14)
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.CONVICTIONS.PARTICIPATION_IN_CRIMINAL_ORGANISATION</cbc:CriterionTypeCode> (15)

        <cbc:Name>Participation in a criminal organisation</cbc:Name> (16)
        <cbc:Description>Has the economic operator itself or any person who is a member of its administrative, management or supervisory body or has powers of representation, decision or control therein been the subject of a conviction by final judgment for participation in a criminal organisation, by a conviction rendered at the most five years ago or in which an exclusion period set out directly in the conviction continues to be applicable? As defined in Article 2 of Council Framework Decision 2008/841/JHA of 24 October 2008 on the fight against organised crime (OJ L 300, 11.11.2008, p. 42).</cbc:Description>

        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>Participation in the activity of an organized criminal group ( The Criminal Code of Finland 39/1889 Chapter 17 Section 1)</cbc:Name>
                (12)
                <cbc:Description>Participation in the activity of an organized criminal group an accordance with the criminal code Chapter 17 Section 1</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">070e776e-6a83-44f2-8233-5ac8b39d3f62</cbc:ID>
                                <cbc:Name/>
                                (13)
                                <cbc:Description>Extract from the Criminal Records</cbc:Description>
                                <cbc:Description>Issued By: Legal Register Centre</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode> (17)
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode> (18)
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8591244c-5a6f-4dea-92d4-bba1fc7a7d00</cbc:ID>
                                <cbc:Description>Your Answer</cbc:Description> (19)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>
        <!-- EU legislation data related to this criterion -->
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4ea7a10a-643e-4022-b67e-e06573b28ff5</cbc:ID>
                (20)
                <cbc:Title languageID="en">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</cbc:Title>
                <cbc:Description languageID="en">Directive 2014/24/EU</cbc:Description> (21)
                <cbc:JurisdictionLevel languageID="en">EU Directive</cbc:JurisdictionLevel> (22)
                <cbc:Article languageID="en">Article 57(1)</cbc:Article> (23)
                <cbc:URI>http://eur-lex.europa.eu/legal-content/ES/TXT/?uri=celex%3A32014L0024</cbc:URI>
        </cac:Legislation>

        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7c637c0c-7703-4389-ba52-02997a055bd7</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode> (24)
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7ee6d863-8897-4e18-8a88-75b2503cc286</cbc:ID>
                        <cbc:Description>Your answer</cbc:Description> (25)
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode> (26)
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode> (27)
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup> (28)
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">75f31476-677c-4fa6-b48a-2e4d4f09ce82</cbc:ID>
                                <cbc:Description>Date of conviction</cbc:Description> (1)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DATE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7ea2ecf8-94a5-44bf-96ab-c8a430365811</cbc:ID>
                                <cbc:Description>Reason</cbc:Description> (2)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">579f5614-d114-4b73-b2ff-3b7d15d19e25</cbc:ID>
                                <cbc:Description>Who has been convicted</cbc:Description> (3)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">ef9e3534-00bd-41ef-8f07-85efe6f44d1d</cbc:ID>
                                <cbc:Description>Length of the period of exclusion</cbc:Description> (4)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5f9f09f7-f701-432c-9fdc-c22c124a74c9</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c048c1bc-b280-4409-9480-1663a2fdfd13</cbc:ID>
                                        <cbc:Description>Have you taken measures to demonstrate your reliability (Self-Cleaning)?</cbc:Description> (5)
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">74e6c7b4-757b-4b40-ada6-fad6a997c310</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">db33b5ae-2290-4671-aeae-fd361d6f6958</cbc:ID>
                                                <cbc:Description>Please describe them</cbc:Description> (6) (7)
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>

                <!-- CONSTANT STRUCTURE: Is this information available online --> (29)
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">643ed2c5-1be5-4b4d-8103-63dcec7f5fe0</cbc:ID>
                        <cbc:Description>Is this information available electronically?</cbc:Description>(8)
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f0651bc9-41b9-49b2-9401-ed23ed6aa12d</cbc:ID>
                                <cbc:Description>Evidence supplied</cbc:Description>(9)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>  (10) (11)
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->
1 Date of conviction, see mock-up. Mandatory format 'YYYY-MM-DD'
2 The reason of convictions, see mock-up. A descriptive text.
3 The natural person or legal entity convicted. A text.
4 Length of the period of exclusion. A cac:Period will be used in the response by the economic operator. The EO may specify a starting date and an end-date or, alternatively, a text to commenting the length. See XML example in the ESPD Response section.
5 If the answer is No the QUESTION 'Please describe them' should not be shown.
6 Text box to describe the measures to demonstrate the economic operator’s reliability.
7 A whole group related to one conviction can be repeated multiple times (or deleted).
8 If answered as No the group of QUESTIONs relating the online evidence should not be shown. Beware that the ESPD Response behaves totally differently as far as evidences are concerned. The data concerning the evidence in the ESPDRequest document is placed in the ESPD Response document in a component cac:Evidence in a different manner. See the section ESPD Response for more details on this. See also the XML examples.
9 The URL where to access the evidence. Will be placed in an element of the object cac:Evidence. See chapter "IX. Evidences".
10 By specifying that the value of the expected data type is an evidence identifier (code EVIDENCE_IDENTIFIER of the Code List ResponseDataType`) the Response will have to contain an evidence supplied in an element of the object cac:Evidence, at the end of the XML Instance. See chapter "VII.8 Evidences".
11 The issuer party of this evidence (e.g. a base registry). Will be placed in the element cac:Evidence/cac:DocumentReference/cac:Attachment/cac:IssuerParty. Some countries use verification codes associated to evidences. To specify these verification codes you can use the Evidence ID, as in the end the code identifies uniquely the Evidence in the issuer system (see this XML example, look for 'Verification code' inside the example, bullet number 6).
12 National criterion defined by the MS in e-Certis (this example corresponds to Finland) related to the EU criterion on this conviction.
13 An additional specification for this national criterion, in this case related to the evidence that will be required by this Member State.
14 UUID supplied by e-Certis. See also the criteria taxonomy spread-sheet.
15 Exclusion criteria taxonomy code defined in the criteria taxonomy spread-sheet.
16 Compulsory name and description for the criterion as defined in e-Certis. See also criteria taxonomy spread-sheet. Beware that UBL-2.2 allows '0..n' description lines!
17 This property is a caption, a mere 'label'. See Code List 'CriterionElementType' for the complete list of possible options. Beware that when a property is of type CAPTION the cbc:ValueDataType must be set to NONE.
18 As the property is a CAPTION no response is expected from the economic operator. See Code List 'ResponseDataType' for the complete list of possible options.
19 Notice that in the ESPD Request the criterion properties never use its element cbc:Name.
20 EU legislation data related to this criterion. Notice that all the textual fields have multiple cardinality and may specify the language (attribute languageID. This can be used to express the same content in different languages. No language specified defaults to en (English).
21 The complete title as published in Eurlex or in a national official electronic bulletin board is expected for this field.
22 A quick reference name to refer to the legislation is expected for this field.
23 The jurisdiction level (or scope) covered by this legislation. You must use the text of the description supplied by the Code List LegislationType.
24 One or more articles from this legislation where the criterion is defined and referred to. Beware that the cardinality of this field is multiple.
25 Groups codified as ON* must be processed always (e.g. all its elements shown on a GUI or automatically parsed and saved, etc.).
26 Pay attention to this type of QUESTIONs. It is intended to act as a decision point. If answered with yes (INDICATOR value = true) some additional questions will be asked to the economic operator. Thus the value of the code of the next sub-group (set to ONTRUE).
27 This property is a QUESTION, therefore a specific type of value will be expected from the economic operator in the ESPD Response (an INDICATOR, i.e. a 'boolean' value true/false, in this case).
28 The cbc:ValueDataType indicates the type of value that the contracting authority requires for this QUESTION. Therefore, in its answer (inside the ESPD Request document) the economic operator will have to use also an INDICATOR value (true/false). Otherwise the mechanism used to validate the ESPD Response should consider the XML instance as invalid (should be treated as a FATAL error).
29 Data structures defined by GROW are re-usable. This is specially the case (but not uniquelly) of the structure 'Is this information available electronically?' Notice that the UUID that identifies this structure is always the same in all the criteria that include it. Similarly structures that are reused in different criteria do have the same UUID (as they are the same). Beware that the group of properties (URI, Reference/Code, Issuer) will only be shown if the answer is 'Yes', thus the sub-group code ONTRUE.
Note for the future: Cross-border/cross-sector codes

Some relevant trans-European initiatives like ECRIS, BRIS, EESSI, and other, have defined Code Lists and other reference data that could be used in e-Procurement, and specifically by the ESPD. This would enhance the cross-border and cross-sector semantic and technical interoperability.

Thus, in the case of Convictions, a new requirement could be introduced in G1 (see figures above) asking for the ECRIS Code corresponding to the offence that will be specified in the Response in case the Economic Operator answered ''yes'' to the first Requirement. The ECRIS Codes can be consulted in the Annex to the COUNCIL DECISION 2009/316/JHA of 6 April 2009 on the establishment of the European Criminal Records Information System (ECRIS) in application of Article 11 of Framework Decision 2009/315/JHA [2].

V.2 Contributions

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. In the SELF-CONTAINED version the contracting authority can specify the minimum debt an economic operator can maintain related to unpaid taxes or social security contributions.

  3. For both REGULATED and SELF-CONTAINED, the category ''Contributions'' encompasses two criteria with identical data structures:

    • CRITERION.EXCLUSION.CONTRIBUTIONS.*: ''payment of taxes'' and ''social security contributions''.

V.2.1 Regulated Contributions

Mock-ups - contracting authority perspective

For a better understanding of the behavior of the Regulated 'Contributions' have a look to the two figures below. They show two different options offered by the ESPD Service GUI perspective for the economic operator:

The figure below represents a possible mockup for the contracting authority perspective of the Conviction criterion 'Payment of Taxes' as retrieved from e-Certis:

Regulated 'Payment of Taxes' (ESPD Service, CA perspective)
Figure 45. Regulated 'Conviction' Payment of Taxes (ESPD Service, EO perspective) - OPTION 1 (YES)

Mock-ups - economic operator perspective

The next mock-up shows the view of the economic operator when it answers "Yes" to the question "Has this breach of obligations been established by other means…​.?". See the next mock-up for the negative answer.

Regulated 'Payment of Taxes' (ESPD Service, EO perspective)
Figure 46. Regulated 'Conviction' Payment of Taxes (ESPD Service, EO perspective) - OPTION 1 (YES)

This other mock-up shows the view of the economic operator when it answers "No" to the question "Has this breach of obligations been established by other means…​.?".

Regulated 'Payment of Taxes' (ESPD Service, EO perspective)
Figure 47. Regulated 'Conviction' Payment of Taxes (ESPD Service, EO perspective) - OPTION 2 (NO)

Data Structure - Regulated

Regulated 'Contributions' criterion data structure
Figure 48. Regulated 'Contributions' criterion data structure

XML Example - Regulated

Regulated Payment of Taxes (PoT)
<!... header elements removed for brevity -->

<!-- Criterion:Payment of taxes -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b61bbeb7-690e-4a40-bc68-d6d4ecfaa3d4</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.CONTRIBUTIONS.PAYMENT_OF_TAXES</cbc:CriterionTypeCode>

        <cbc:Name>Payment of taxes</cbc:Name> (1)
        <cbc:Description>Has the economic operator breached its obligations relating to the payment of taxes, both in the country in which it is established and in Member State of the contracting authority or contracting entity if other than the country of establishment?</cbc:Description>

        <!-- Reference to the EU Directive where 'Payment of Taxes' are covered -->
        <cac:Legislation>        (11)
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4ea7a10a-643e-4022-b67e-e06573b28ff5</cbc:ID>
                <cbc:Title languageID="en">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</cbc:Title>
                <cbc:Description languageID="en">Directive 2014/24/EU</cbc:Description>
                <cbc:JurisdictionLevel languageID="en">EU Directive</cbc:JurisdictionLevel>
                <cbc:Article>Article 57(2)</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/legal-content/ES/TXT/?uri=celex%3A32014L0024</cbc:URI>
        </cac:Legislation>


                <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">098fd3cc-466e-4233-af1a-affe09471bce</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0810157d-82d8-4a31-9814-b41de9ca0f7a</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Your answer</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f8499787-f9f8-4355-95e2-9784426f4d7b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">789302e2-acbe-4bee-b2a0-d0312207ef3d</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Country or member state concerned</cbc:Description> (2)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CODE_COUNTRY</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">ea565b14-4b91-4730-840f-aae117a84a0c</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Amount concerned</cbc:Description> (3)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7c2aec9f-4876-4c33-89e6-2ab6d6cf5d02</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5773c0da-bccd-4378-89f3-1356f7bd2824</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Has this breach of obligations been established by means other than a judicial or administrative decision?</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">80633323-a7b6-4206-9728-e4534eaad8b2</cbc:ID>

                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">115b8c74-1f17-4e26-a10a-f35198978b16</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Please describe which means were used</cbc:Description> (4)
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a49e6e25-0059-47da-9397-72c2db5fd5b1 </cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6e00a5f4-e832-40aa-b399-2d33f5657c04</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Has the economic operator fulfilled its obligations by paying or entering into a binding arrangement with a view to paying the taxes or social security contributions due, including, where applicable, any interest accrued or fines?</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">42a44eb9-b8c9-4a67-8776-e77fc5356efe</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c5b50839-e117-4415-b5b9-fba95d76c443</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Please describe them</cbc:Description> (5)
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">536417dc-8130-4981-85c5-fceba5541c58</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONFALSE</cbc:PropertyGroupTypeCode> (12)
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">75545f09-5a13-40f3-af8b-6a4a131659fc</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>If this breach of obligations was established through a judicial or administrative decision, was this decision final and binding?</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8aaac22d-1b59-442e-9210-a6e70ec05962</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">63cb3683-44ce-4549-aefc-843204884011</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Please indicate the date of conviction or decision</cbc:Description> (9)
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DATE</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">505a8da4-d7db-4870-8c3a-4229148a40e2</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>In case of a conviction insofar as established directly therein, the length of the period of exclusion</cbc:Description> (10)
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">dd5919af-59eb-4295-b27b-5dfd73466ba4</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Is this information available electronically?</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">849d935c-7ef8-4e00-b075-9b6094464367</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Evidence supplied</cbc:Description>(6)
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode> (7) (8)
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>
1 EU Payment of Taxes (PoT) criterion according to the Directive.
2 Country or Member State concerned by the conviction. This field is only shown if the the answer to the previous QUESTION was Yes.
3 Amount concerned and currency for the amount concerned. The economic operator may change the currency. Notice that the currency is specified in the cac:Amount attribute @currencyID. To see how this looks like in an XML instance open an XM example file corresponding to an ESPDResponse and search for currencyID. The default currency is EUR, but the economic operator may specify it in the currency of its country.
4 Placeholder for the "[…​] means used to" establish the obligation (See mock-up above). Beware that this sub-structure is only processed (e.g. showed in a GUI, preserved in the XML instance, other) if the answer to the previous QUESTION is Yes (INDICATOR value = true). Compare with the ESPD Service screen-capture above (EO perspective) when the answer is yes.
5 Placeholder for the "Please describe them" field. This sub-group of one QUESTION is only shown if the previous QUESTION was answered with a Yes, thus the ONTRUE code for the sub-group.
6 URL from where to download the evidence. Will be placed in an element of the object cac:Evidence. See chapter "IX. Evidences".
7 By specifying that the value of the expected data type is an evidence identifier (code EVIDENCE_IDENTIFIER of the Code List ResponseDataType`) the Response will have to contain an evidence supplied in an element of the object cac:Evidence, at the end of the XML Instance. See chapter "VII.8 Evidences".
8 The issuer party of this evidence (e.g. a base registry). Will be placed in the element cac:Evidence/cac:DocumentReference/cac:Attachment/cac:IssuerParty. Some countries use verification codes associated to evidences. To specify these verification codes you can use the Evidence ID, as in the end the code identifies uniquely the Evidence in the issuer system (see this XML example, look for 'Verification code' inside the example, bullet number 6).
9 Placeholder for the "Please indicate the date of conviction or decision". Beware that this sub-structure is only processed (e.g. showed in a GUI, preserved in the XML instance, other) if the answer to the previous QUESTION is Yes (INDICATOR value = true). Compare with the ESPD Service screen-capture above (EO perspective) when the answer is Yes. Notice also that this XML example contains the possible answers. This was done on purpose to show you how both branches are instantiated in the XML file. However in a real file (e.g. not in an example) it would not make sense have both XML branches, but only one: either the one corresponding to the Yes answer or the one for the No answer; which is the normal expected behaviour of a choice structure (this behavior is similar to the an XML choice structure, however UBL Naming and Design Rules (NDR) disavow the use of choices).
10 Placeholder for the "In case of a conviction, insofar as established…​". It goes in the same sub-group than the previous QUESTION about the date of conviction.
11 Notice that the structure and elements for legislation are always the same for all exclusion criteria. Also the UUID identifying the structure is the same in all the exclusion criteria, as this is a highly reusable structure.
12 Beware that this sub-structure is only processed if the answer to the QUESTION was No (INDICATOR value = false). Compare with the mock-up. Compare with the ESPD Service screen-capture above (EO perspective) when the answer is No.

V.2.2 Self-contained Contributions

REQUIREMENT The contracting authority needs to be able to specify national exclusion criteria linked to one EU criterion as well as criteria particular for the procurement procedure. The economic operator, in the ESPD Response document, will have to responde "Yes" or "No" to each national criterion thus confirming that it in breach of the Law.

See also the REQUIREMENT tbr070-015 about economic thresholds regarding unpaid taxes or social security obligations.

Mock-ups - contracting authority perspective

The screen-capture below represents a possible mock-up for a contracting authority perspective of the Self-contained 'Contributions' criterion (Payment of Taxes).

Regulated 'Payment of Taxes' (ESPD Service, CA perspective)
Figure 49. Regulated 'Payment of Taxes' (ESPD Service, CA perspective)

This other screen-capture below represents a possible mock-up, from the contracting authority perspective, for the edition of requirements in a Self-contained 'Contributions' criterion (Payment of Taxes).

Self-contained 'Payment of Taxes', REQUIREMENT edition
Figure 50. Self-contained 'Payment of Taxes', REQUIREMENT edition (CA Perspective)

The differences with the Regulated Contribution version are:

  1. The criteria specified by the Member State in e-Certis will be save in the ESPD Request XML instance;

  2. The contracting authority has specified a pair of REQUIREMENTs for this procedure (threshold and additional information). If the REQUIREMENT is applicable to all procurement procedure (because it is in the national Law, for example) this would be defined as a national criterion in e-Certis.

Mock-ups - economic operator perspective

This other mock-up illustrates what the economic operator sees.

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

Self-contained 'Payment of Taxes', EO  perspective
Figure 51. Self-contained 'Payment of Taxes', (EO perspective)

Data structure - Self-contained

The figure for the general data structure below is not reflecting the fact that, for this particular example (about Finland), the national sub-criterion will be repeated four times (the sub-criterion structure has cardinality 0..n). Hence the circles 2 to 5 in this figure meaning that the sub-criterion structure will be repeated for the national criteria 2 to 5. Verify that in the XML example there are four cac:SubTenderingCriterion elements)

Self-contained 'Contributions' criterion data structure
Figure 52. Self-contained 'Contributions' criterion data structure

XML Example - Self-contained

Self-contained Payment of Taxes (PoT)
<!... header elements removed for brevity -->

<!-- Criterion:Payment of taxes -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b61bbeb7-690e-4a40-bc68-d6d4ecfaa3d4</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.CONTRIBUTIONS.PAYMENT_OF_TAXES</cbc:CriterionTypeCode>
        <cbc:Name>Payment of taxes</cbc:Name>
        <cbc:Description>Has the economic operator breached its obligations relating to the payment of taxes, both in the country in which it is established and in Member State of the contracting authority or contracting entity if other than the country of establishment?</cbc:Description> (1)

        <!-- Finland, in e-Certis, defines up to four different types of national exclusion ground for payment of taxes. Each one is instantiated in different national sub-criteria elements -->
        <cac:SubTenderingCriterion> (2)
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <!-- Mandatory: name and description -->
                <cbc:Name>I. Payment of taxes ( Act on public procurement 1397/2016 81 Section 1 )</cbc:Name>
                <cbc:Description>The contracting entity may decide to exclude from competitive tendering a candidate or tenderer that the contracting entity can prove, otherwise than by legally final decision or judgement, to have defaulted on a duty to pay the taxes or social security contributions of Finland or of its country of establishment;</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>

                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">cde9df2e-1b89-443c-8946-c047f45c8935</cbc:ID>
                                <cbc:Description>1. Extract from Tax Debt Register</cbc:Description>
                                <cbc:Description>Issued By: Finnish Tax Administration</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">52bcfe2c-53a5-4c57-986e-957dba43ce7e</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>

        <!-- National criterion 2 --> (3)
        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>II. Payment of taxes ( Act on public procurement 1397/2016 80 Section 4 )</cbc:Name>
                <cbc:Description>The contracting entity shall also exclude from competitive tendering a candidate or tenderer that has been found by a legally final decision or judgement to have defaulted on a duty to pay the taxes or social security contributions of Finland or of its country of establishment.</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">cde9df2e-1b89-443c-8946-c047f45c8935</cbc:ID>
                                <cbc:Description>1. Extract from the Criminal Records</cbc:Description>
                                <cbc:Description>Issued By: Legal Register Centre</cbc:Description>
                                <cbc:Description>2. Extract from Tax Debt Register</cbc:Description>
                                <cbc:Description>Issued By: Finnish Tax Administration</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">52bcfe2c-53a5-4c57-986e-957dba43ce7e</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>
        <!-- National criterion 3 --> (4)
        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>III. Aggravated tax fraud ( The Criminal Code of Finland 39/1889 Chapter 29 Section 2 )</cbc:Name>
                <cbc:Description>If in the tax fraud (1) considerable financial benefit is sought or (2) the offence is committed in a particularly methodical manner and the tax fraud is aggravated also when assessed as a whole, the offender shall be sentenced for aggravated tax fraud to imprisonment for at least four months and at most four years.</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">cde9df2e-1b89-443c-8946-c047f45c8935</cbc:ID>
                                <cbc:Description>1. Extract from the Criminal Records</cbc:Description>
                                <cbc:Description>Issued By: Legal Register Centre</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">52bcfe2c-53a5-4c57-986e-957dba43ce7e</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>
        <!-- National criterion 4 --> (5)
        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>IV. Tax fraud ( The Criminal Code of Finland 39/1889 Chapter 29 Section 1 )</cbc:Name>
                <cbc:Description>A person who (1) gives a taxation authority false information on a fact that influences the assessment of tax, (2) files a tax return concealing a fact that influences the assessment of tax, (3) for the purpose of avoiding tax, fails to observe a statutory duty pertaining to taxation that is of significance in the assessment of tax, or (4) otherwise acts fraudulently, and thereby causes or attempts to cause a tax not to be assessed, a tax to be assessed too low or a tax to be unduly refunded, shall be sentenced for tax fraud to a fine or to imprisonment for at most two years.</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">cde9df2e-1b89-443c-8946-c047f45c8935</cbc:ID>
                                <cbc:Description>1. Extract from the Criminal Records</cbc:Description>
                                <cbc:Description>Issued By: Legal Register Centre</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">52bcfe2c-53a5-4c57-986e-957dba43ce7e</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>

        <!-- Reference to the EU Directive where 'Payment of Taxes' are covered -->
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4ea7a10a-643e-4022-b67e-e06573b28ff5</cbc:ID>
                <cbc:Title languageID="en">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</cbc:Title>
                <cbc:Description languageID="en">Directive 2014/24/EU</cbc:Description>
                <cbc:JurisdictionLevel languageID="en">EU Directive</cbc:JurisdictionLevel>
                <cbc:Article>Article 57(2)</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/legal-content/ES/TXT/?uri=celex%3A32014L0024</cbc:URI>
        </cac:Legislation>

        <!-- Member State and contracting authority REQUIREMENTs. In this case the MS allows a maximum debt of 50 EUR, and additional information is provided for clarification purposes -->
        <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">53c9aad8-dc80-48f8-85d9-755c2aab8e95</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a764b129-26e7-4047-9d58-752ebd59af28</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Threshold</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                                <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                                <cbc:ExpectedAmount currencyID="EUR">50</cbc:ExpectedAmount> (6) (7)
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c4421575-0f45-430e-a3d9-9f9967eafdee</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Additional Information</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                                <cbc:ExpectedDescription>In case of debt please fulfill your obligation before tendering.</cbc:ExpectedDescription> (8)
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>

                (9)
                <!-- The rest of the criterion is identical than for the Regulated version -->

                <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">098fd3cc-466e-4233-af1a-affe09471bce</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0810157d-82d8-4a31-9814-b41de9ca0f7a</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Your answer</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f8499787-f9f8-4355-95e2-9784426f4d7b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">789302e2-acbe-4bee-b2a0-d0312207ef3d</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Country or member state concerned</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CODE_COUNTRY</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">ea565b14-4b91-4730-840f-aae117a84a0c</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Amount concerned</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7c2aec9f-4876-4c33-89e6-2ab6d6cf5d02</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5773c0da-bccd-4378-89f3-1356f7bd2824</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Has this breach of obligations been established by means other than a judicial or administrative decision?</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">80633323-a7b6-4206-9728-e4534eaad8b2</cbc:ID>

                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">115b8c74-1f17-4e26-a10a-f35198978b16</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Please describe which means were used</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a49e6e25-0059-47da-9397-72c2db5fd5b1 </cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6e00a5f4-e832-40aa-b399-2d33f5657c04</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Has the economic operator fulfilled its obligations by paying or entering into a binding arrangement with a view to paying the taxes or social security contributions due, including, where applicable, any interest accrued or fines?</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">42a44eb9-b8c9-4a67-8776-e77fc5356efe</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c5b50839-e117-4415-b5b9-fba95d76c443</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Please describe them</cbc:Description>
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">536417dc-8130-4981-85c5-fceba5541c58</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONFALSE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">75545f09-5a13-40f3-af8b-6a4a131659fc</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>If this breach of obligations was established through a judicial or administrative decision, was this decision final and binding?</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8aaac22d-1b59-442e-9210-a6e70ec05962</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">63cb3683-44ce-4549-aefc-843204884011</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Please indicate the date of conviction or decision</cbc:Description>
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DATE</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">505a8da4-d7db-4870-8c3a-4229148a40e2</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>In case of a conviction insofar as established directly therein, the length of the period of exclusion</cbc:Description>
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">dd5919af-59eb-4295-b27b-5dfd73466ba4</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Is this information available electronically?</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">849d935c-7ef8-4e00-b075-9b6094464367</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Evidence supplied</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>
1 The MS defined this national 'Payment of Taxes' criterion in e-Certis. See also previous example for the REGULATED Payment of taxes (the behavior is identical for all exclusion criteria).
2 Reference to the EU Legislation. This reusable structure is identical for all the exclusion criteria.
3 For this SELFCONTAINED ESPD Request Payment of Taxes criterion, the Member State defined in e-Certis a national REQUIREMENT consisting in the specification of the 'threshold amount of debt that an economic operator have with the national Tax Agency' (50 Euros in this example)
4 Notice that type of property used is REQUIREMENT. This entails that: (i) the ESPDRequest is of type SELFCONTAINED (REGULATED ESPDs does not work with REQUIREMENTs); (ii) a cbc:ValueDataType will be present indicating the type of value the contracting authority uses for this REQUIREMENT (e.g. AMOUNT, INDICATOR, DESCRIPTION, etc.; see the Code List ResponseDataType, the values are the same for contracting authorities REQUIREMENTs than for economic operator response values).
5 Beware that No answer is expected here from the economic operator (do not get confused by the presence of the cbc:ValueDataType, as said it is used by both the CA and the EO.
6 The value supplied by the contracting authority for this requirement (50 Euros, in this example). Notice that the currency is specified in the attibute currencyID of the cbc:Amount component.
7 The MS also allows the contracting authority the possibility of adding multiple additional textual requirements (in this case the CA uses this to explain that ''Beware that the national Tax Agency won’t permit the existence of a debt, even if minimial, for two consecutive years'').
8 Again, no answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority.
9 Except for the national sub-criteria and the REQUIREMENTs, the rest is identical to the Regulated version.

V.3 Environment, Social, Labour Law

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. For both REGULATED and SELF-CONTAINED, the category ''Social'' encompasses criteria with identical data structures, classified as:

    • CRITERION.EXCLUSION.SOCIAL.*: ''breaching of obligations in the fields of environmental law'', ''breaching of obligations in the fields of social law'' and ''breaching of obligations in the fields of labour law''.

Mock-ups - contracting authority perspective

Social - CA perspective
Figure 53. 'Environmental Law' criterion mock-up - CA perspective

Mock-ups - economic operator perspective

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

Social - EO perspective
Figure 54. 'Environmental Law' criterion mock-up - CA perspective

Data structure - Regulated

Regulated Environmental Law
Figure 55. 'Environmental Law' criterion data structure

Data structure - Self-contained

Self-contained Environmental Law
Figure 56. 'Environmental Law' criterion data structure

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

'Environmental Law'
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

                <!-- Criterion:Breaching of obligations in the fields of environmental law -->
                <cac:TenderingCriterion>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a80ddb62-d25b-4e4e-ae22-3968460dc0a9</cbc:ID>
                        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.SOCIAL.ENVIRONMENTAL_LAW</cbc:CriterionTypeCode>
                        <cbc:Name>Breaching of obligations in the fields of environmental law</cbc:Name>
                        <cbc:Description>Has the economic operator, to its knowledge, breached its obligations in the fields of environmental law? As referred to for the purposes of this procurement in national law, in the ESPD, the relevant notice or the in the ESPD, the relevant notice or , in Article 18(2) of Directive 2014/24/EU or in the ESPD.</cbc:Description>
                        <cac:SubTenderingCriterion>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                                <cbc:Name>[Name of the National Criterion]</cbc:Name>
                                <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                                <cac:TenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5f614675-9db7-4ec6-9567-0673b758c1e2</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f0a20829-ea70-44e5-8310-91808e7b957a</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Your Answer</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:TenderingCriterionPropertyGroup>
                        </cac:SubTenderingCriterion>
                        <cac:Legislation>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">22746727-298b-4abb-b580-52b5ea482d7c</cbc:ID>
                                <cbc:Title>[Legislation title]</cbc:Title>
                                <cbc:Description>[Legislation description]</cbc:Description>
                                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                                <cac:Language>
                                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                                </cac:Language>
                        </cac:Legislation>
                        <cac:TenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">976b5acb-c00f-46ca-8f83-5ce6abfdfe43</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">95dad7ae-1aba-4ad6-9760-5a7ed15cb039</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Your answer</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">64a2102c-4af1-4ecb-97b3-0c41907ec0f6</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">ea48e234-7ad2-4235-b375-4f72c9877693</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Please describe them</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5f9f09f7-f701-432c-9fdc-c22c124a74c9</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2"/>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0a345842-1aee-4bba-b9a6-64343ba91809</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Have you taken measures to demonstrate your reliability (Self-Cleaning)?</cbc:Description>
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">74e6c7b4-757b-4b40-ada6-fad6a997c310</cbc:ID>
                                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                        <cac:TenderingCriterionProperty>
                                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">304ef89a-477e-4b60-8b9b-9ea15d10a3a0</cbc:ID>
                                                                <cbc:Name/>
                                                                <cbc:Description>Please describe them</cbc:Description>
                                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                                        </cac:TenderingCriterionProperty>
                                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:TenderingCriterionPropertyGroup>
                </cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.4 Business

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. For both REGULATED and SELF-CONTAINED, the category ''Business'' encompasses the following group of criteria with the same data structures and classified as:

    • CRITERION.EXCLUSION.BUSINESS.*: breaching of obligations for ''bankruptcy'', ''insolvency'', ''winding-up'', ''arrangement with creditors'', ''analogous situation like bankruptcy under national law'', ''assets being administered by liquidator'' and ''business activities suspended''.

Mock-ups - contracting authority perspective

'Bankruptcy' criterion mock-up - CA perspective
Figure 57. 'Bankruptcy' criterion mock-up - contracting authority perspective

Mock-ups - economic operator perspective

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

'Bankruptcy' criterion mock-up - EO perspective
Figure 58. 'Bankruptcy' criterion mock-up - economic operator perspective

Data structure - Regulated

Regulated_Business
Figure 59. 'Bankruptcy' criterion data structure - Regulated

Data structure - Self-contained

Selfcontained_Business
Figure 60. 'Bankruptcy' criterion data structure - Self-contained

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

'Bankruptcy'
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

        <!-- Criterion:Bankruptcy -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">d3732c09-7d62-4edc-a172-241da6636e7c</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.BUSINESS.BANKRUPTCY</cbc:CriterionTypeCode>
                <cbc:Name>Bankruptcy</cbc:Name>
                <cbc:Description>Is the economic operator bankrupt? This information needs not be given if exclusion of economic operators in this case has been made mandatory under the applicable national law without any possibility of derogation where the economic operator is nevertheless able to perform the contract.</cbc:Description>
                <cac:SubTenderingCriterion>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                        <cbc:Name>[Name of the National Criterion]</cbc:Name>
                        <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                        <cac:TenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8ab473f2-653a-4465-a7dd-61e0df984c27</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">9420733c-be4d-459e-b782-0e6cd6a7c199</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Your Answer</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:TenderingCriterionPropertyGroup>
                </cac:SubTenderingCriterion>
                <cac:Legislation>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f92fe55b-e6fd-4317-b2d1-ae0e6a4aaf04</cbc:ID>
                        <cbc:Title>[Legislation title]</cbc:Title>
                        <cbc:Description>[Legislation description]</cbc:Description>
                        <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                        <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                        <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                        <cac:Language>
                                <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                        </cac:Language>
                </cac:Legislation>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">d91c11a1-f19e-4b83-8ade-c4be2bf00555</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">2074f13b-4adb-4550-9814-6b971904c5b3</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">aeef523b-c8fc-4dba-9c34-03e34812567b</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">645b5933-30c3-482e-b7d4-6c6b29b3db72</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Please describe them</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">36ccd47b-b021-4ccb-b614-6a3b671817c9</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Indicate reasons for being nevertheless to perform the contract</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:TenderingCriterionPropertyGroup>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c64b6686-acf9-4cb0-b3d7-ae8260cf75e6</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Is this information available electronically?</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">771f8e03-abc5-4a08-b095-dc40efdd3f79</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Evidence supplied</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:TenderingCriterion>
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.5 Misconduct

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. For both REGULATED and SELF-CONTAINED, the category ''Misconduct'' encompasses two criteria that share the same structure as the one used for the ''social'' group of criteria (see sub-section ''How to specify ''social'' related criteria, above).

    • CRITERION.EXCLUSION.MISCONDUCT.*: ''guilty of grave professional misconduct''; and ''agreements with other economic operators aimed at distorting competition''.

All these criteria are specified based on the same data structure:

Mock-ups - contracting authority perspective

'Professional misconduct' criterion mock-up - CA perspective
Figure 61. 'Professional misconduct' criterion mock-up - contracting authority perspective

Mock-ups - economic operator perspective

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

'Professional misconduct' criterion mock-up - EO perspective
Figure 62. 'Professional misconduct' criterion mock-up - economic operator perspective

Data structure - Regulated

Regulated Professional misconduct
Figure 63. 'Professional misconduct' criterion data structure - Regulated

Data structure - Self-contained

Professional misconduct Professional misconduct
Figure 64. 'Professional misconduct' criterion data structure - Self-contained

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

'Professional Misconduct'
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

        <!-- Criterion:Guilty of grave professional misconduct -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">514d3fde-1e3e-4dcd-b02a-9f984d5bbda3</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.MISCONDUCT.MC_PROFESSIONAL</cbc:CriterionTypeCode>
                <cbc:Name>Guilty of grave professional misconduct</cbc:Name>
                <cbc:Description>Is the economic operator  guilty of grave professional misconduct? Where applicable, see definitions in national law, the relevant notice or the in the ESPD, the relevant notice or .</cbc:Description>
                <cac:SubTenderingCriterion>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                        <cbc:Name>[Name of the National Criterion]</cbc:Name>
                        <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                        <cac:TenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e988261e-93ae-4e62-9d71-ce1f548b1347</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3df8f3d8-d074-460d-85c9-969b8a947554</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Your Answer</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:TenderingCriterionPropertyGroup>
                </cac:SubTenderingCriterion>
                <cac:Legislation>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">cb8d4d15-7fd7-4d94-9a98-a4733d7268be</cbc:ID>
                        <cbc:Title>[Legislation title]</cbc:Title>
                        <cbc:Description>[Legislation description]</cbc:Description>
                        <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                        <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                        <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                        <cac:Language>
                                <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                        </cac:Language>
                </cac:Legislation>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">67362ec7-cec3-4cb8-a38e-5d7a2a31e6d8</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e78aa682-1ad8-4b4c-b8aa-ea4f8f5cc88d</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">2cbcf978-765c-40aa-996b-b1d082485cef</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">61ea71a3-28e4-401c-850d-0817c6bf4f4d</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Please describe them</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5f9f09f7-f701-432c-9fdc-c22c124a74c9</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1688b9f9-6d2d-422b-8ce3-6315a617fe88</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Have you taken measures to demonstrate your reliability</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">74e6c7b4-757b-4b40-ada6-fad6a997c310</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c5210554-19a9-4b37-90f1-041bab348d58</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Please describe them</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.6 Conflict of interest

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. For both REGULATED and SELF-CONTAINED, the category ''Conflicts of Interest'' encompasses different exclusion criteria which are more heterogeneous than the ones described until now.

We have divided the conflict of interest criteria in two groups, this first group is composed of two criteria with the same structure:

  • CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.PROCEDURE_PREPARATION: Conflict of interest due to ''direct or indirect involvement in the preparation of this procurement procedure'';

  • CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.PROCEDURE_PARTICIPATION: Conflict of interest due to ''participation in the procurement procedure''.

The second group, named ''Early termination'', is explained in a different section. See section "Early termination).

Mock-ups - contracting authority perspective (REGULATED and SELF-CONTAINED)

This mock-up could be used for both versions, Regulated and Self-contained:

'Conflict of interest' criterion mock-up - CA perspective
Figure 65. 'Conflict of interest' criterion mock-up - contracting authority perspective

Mock-ups - economic operator perspective (REGULATED and SELF-CONTAINED)

This mock-up could be used for both versions, Regulated and Self-contained:

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

'Conflict of interest' criterion mock-up - EO perspective
Figure 66. 'Conflict of interest' criterion mock-up - economic operator perspective

Data structure - Regulated

Conflict of interest
Figure 67. 'Conflict of interest' criterion data structure - Regulated

Data structure - Self-contained

Conflict of interest
Figure 68. 'Conflict of interest' criterion data structure - Self-contained

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

'Participation in the procurement procedure' conflict of interest
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

        <!-- Criterion:Conflict of interest due to its participation in the procurement procedure -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b1b5ac18-f393-4280-9659-1367943c1a2e</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.MISCONDUCT.MC_PROFESSIONAL</cbc:CriterionTypeCode>
                <cbc:Name>Conflict of interest due to its participation in the procurement procedure</cbc:Name>
                <cbc:Description>Is the economic operator aware of any conflict of interest, as indicated in national law, the relevant notice or the in the ESPD, the relevant notice or due to its participation in the procurement procedure?</cbc:Description>
                <cac:SubTenderingCriterion>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                        <cbc:Name>[Name of the National Criterion]</cbc:Name>
                        <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                        <cac:TenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c4b7f5ce-bf0b-464f-b1b3-5db603c00c6f</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">621a3591-8ef5-469a-80d5-29130683ee5e</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Your Answer</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:TenderingCriterionPropertyGroup>
                </cac:SubTenderingCriterion>
                <cac:Legislation>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">fb5adf8c-1ffc-427c-95d0-9cfa0a8ef5cc</cbc:ID>
                        <cbc:Title>[Legislation title]</cbc:Title>
                        <cbc:Description>[Legislation description]</cbc:Description>
                        <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                        <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                        <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                        <cac:Language>
                                <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                        </cac:Language>
                </cac:Legislation>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">67362ec7-cec3-4cb8-a38e-5d7a2a31e6d8</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">567e5857-978f-4115-95be-dc5145ea950a</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">73f0fe4c-4ed9-4343-8096-d898cf200146</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">d2aaed34-443f-4fc7-9f8c-72c9e21d8f26</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Please describe them</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.7 Early termination

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  1. For both REGULATED and SELF-CONTAINED, the category 'Early termination' refers to only one criterion with a specific (simple) data structure classified as:

    • CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.EARLY_TERMINATION: Conflict of interest due to ''early termination, damages or other comparable sanctions''.

Mock-ups - contracting authority perspective

'Early termination' criterion mock-up - CA perspective
Figure 69. 'Early termination' criterion mock-up - contracting authority perspective

Mock-ups - economic operator perspective

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

'Early termination' criterion mock-up - EO perspective
Figure 70. 'Early termination' criterion mock-up - economic operator perspective

Data structure - Regulated

Early termination
Figure 71. 'Early termination' criterion data structure - Regulated

Data structure - Self-contained

Early termination
Figure 72. 'Early termination' criterion data structure - Self-contained

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

Early termination conflict of interest
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

        <!-- Criterion:Early termination, damages or other comparable sanctions -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3293e92b-7f3e-42f1-bee6-a7641bb04251</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.EARLY_TERMINATION</cbc:CriterionTypeCode>
                <cbc:Name>Early termination, damages or other comparable sanctions</cbc:Name>
                <cbc:Description>Has the economic operator experienced that a prior public contract, a prior contract with a contracting entity or a prior concession contract was terminated early, or that damages or other comparable sanctions were imposed in connection with that prior contract?</cbc:Description>
                <cac:SubTenderingCriterion>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                        <cbc:Name>[Name of the National Criterion]</cbc:Name>
                        <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                        <cac:TenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">82dd3b06-72fc-4dbe-ab09-e2726b621382</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6f8f4018-b255-4aaf-ac6f-dbd26a03e189</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Your Answer</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:TenderingCriterionPropertyGroup>
                </cac:SubTenderingCriterion>
                <cac:Legislation>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">339b347e-e301-4547-9128-c766d99d6237</cbc:ID>
                        <cbc:Title>[Legislation title]</cbc:Title>
                        <cbc:Description>[Legislation description]</cbc:Description>
                        <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                        <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                        <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                        <cac:Language>
                                <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                        </cac:Language>
                </cac:Legislation>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">67362ec7-cec3-4cb8-a38e-5d7a2a31e6d8</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">fed2e6a3-a1da-4a36-a638-b2f7a29ad243</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">73f0fe4c-4ed9-4343-8096-d898cf200146</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7495abce-b711-4acb-994c-fb180ec8827e</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Please describe them</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">20c5361b-7599-4ee6-b030-7f8323174d1e</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6edfb05b-c93c-4518-9f25-175a3f08e34c</cbc:ID>
                                                <cbc:Name/>
                                                <cbc:Description>Have you taken measures to demonstrate your reliability (Self-Cleaning)?</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">74e6c7b4-757b-4b40-ada6-fad6a997c310</cbc:ID>
                                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                                <cac:TenderingCriterionProperty>
                                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1154b341-7237-4712-9d4d-7f0656ffd947</cbc:ID>
                                                        <cbc:Name/>
                                                        <cbc:Description>Please describe them</cbc:Description>
                                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                                </cac:TenderingCriterionProperty>
                                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.8 Misinterpretation

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. For both REGULATED and SELF-CONTAINED, the category 'Misinterpreation', another type of 'Conflict of Interest', share the same data structure, and is classified as:

    • CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.MISINTERPRETATION

Mock-ups - contracting authority perspective

'Misinterpretation' criterion mock-up - CA perspective
Figure 73. 'Misinterpretation' criterion mock-up - contracting authority perspective

Mock-ups - economic operator perspective

Beware that this mock-up is not showing the national criteria. For this mock-up it is presumed that by answering 'Yes' to the general EU criterion all the national criteria QUESTION 'Your answer' will be also set to 'Yes'.

'Misinterpretation' criterion mock-up - EO perspective
Figure 74. 'Misinterpretation' criterion mock-up - economic operator perspective

The UBL specification allows always multiple lines of text for the component cbc:Description. This feature can be used to split long descriptions into multiple lines, specially when the description contains enumerations.

The data structure for the criterion "Guilty of misinterpretation […​]" below uses the feature to divide four possible cases into different lines. Software and transformation solutions can also use it to generate an XML instance where the enumeration is split in multiple cbc:Description lines. See screen-captures below representing the data structures of this criterion for the REGULATED and SELF-CONTAINED versions.

Data structure - Regulated

Misinterpretation
Figure 75. 'Misinterpretation' criterion data structure - Regulated

Data structure - Self-contained

Misinterpretation
Figure 76. 'Misinterpretation' criterion data structure - Self-contained

XML Example - Self-contained

Notice that the Regulated and Self-contained XML instances are identical, except for the fact that the Regulated version does not contain national sub-criteria.

'Misinterpretation' conflict of interest
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

<!-- Criterion:Guilty of misinterpretation, withheld information, unable to provide required documents and obtained confidential information of this procedure -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">696a75b2-6107-428f-8b74-82affb67e184</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.CONFLICT_OF_INTEREST.MISINTERPRETATION</cbc:CriterionTypeCode>
        <cbc:Name>Guilty of misinterpretation, withheld information, unable to provide required documents and obtained confidential information of this procedure</cbc:Name>
        <cbc:Description>Can the economic operator confirm that:</cbc:Description>
        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>[Name of the National Criterion]</cbc:Name>
                <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0934d941-9680-447c-b2ca-af1f0fce53fd</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7dfc567f-1429-4ed3-a299-39f2451e69c2</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e26648ec-ba40-46d4-a4d0-79833b7da551</cbc:ID>
                <cbc:Title>[Legislation title]</cbc:Title>
                <cbc:Description>[Legislation description]</cbc:Description>
                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                <cac:Language>
                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                </cac:Language>
        </cac:Legislation>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f3a6836d-2de2-4cd1-81ca-fb06178d05c5</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f838769c-5869-4f55-b9cb-089d9331bbf5</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Your answer</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.9 Purely national criteria

See formal requirements related to exclusion grounds criteria in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically tbr070-009, tbr070-004, and tbr070-013.

Ohter requirements related specifically to purely national criteria are:

REQUIREMENT

The Member State must be able to specify in e-Certis individual national criteria, and the economic operator must be able to answer to each individual purely national exclusion grounds criterion.

REQUIREMENT

For the purely national exclusion grounds that have evidences related in e-Certis, the required evidences should be displayed. When the criterion has no related evidences, the text "No evidence required for this criterion" should be displayed. Per each national criterion the EO needs to be able to provide one or more evidences.

These two requirements are introduced by the new Self-contained ESPD-EDM V2.0.2. Therefore you will see that there is an essential difference between the Regulated and the Self-contained ESPDs.

Differences between Regulated and Self-contained

  1. The SELF-CONTAINED version the XML instances can keep the national sub-criteria defined by the MS in e-Certis;

  2. The data structure for the SELF-CONTAINED versions is quite different from the REGULATED due to the new information requirements requested by the Membere States. See the sub-sections below on Regulated purely national and Self-contained purely national criteria below for details on the differences. The classification code fore this criterion is:

    • CRITERION.EXCLUSION.NATIONAL.OTHER

V.9.1 Regulated Purely national criteria

In the Regulated ESPD, software applications may download from e-Certis all the purely national criteria specified by the Member States in e-Certis. However the economic operator has not the possibility of answering the criteria individually, it has to respond 'Yes' or 'No' to all of them.

Beware that for Regulated ESPDs the XML file will not contain the national criteria specified in e-Certis.

Note about the ESPD Service

If you are using the ESPD Service developed by the European Commission you will observe the GUI shows the list of national criteria defined by the Member State in e-Certis. However you must be warned that, as the EC ESPD Service does only implement the Regulated ESPD V1.0.2 the list of national criteria will not be saved into the exported XML instance.

Mock-ups - contracting authority perspective (REGULATED)

The mock-up below shows how the contracting authority views the criteria purely national defined in e-Certis.

'Purely national criteria' mock-up - CA perspective
Figure 77. 'Purely national criteria' mock-up - contracting authority perspective

Mock-ups - economic operator perspective (REGULATED)

The figure below shows a fragment of a list of national criteria that a software application has captured from e-Certis. The economic operator does have to confirm that it fulfills all the criteria purely national.

'Purely national criteria' mock-up - EO perspective
Figure 78. 'Purely national criteria' mock-up - economic operator perspective

Data structure - Regulated

'Purely national criteria'
Figure 79. 'Purely national criteria' data structure

XML Example - Regulated

'Purely national criteria' (Regulated)
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

<!-- Criterion:Purely national exclusion grounds -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">63adb07d-db1b-4ef0-a14e-a99785cf8cf6</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.NATIONAL.OTHER</cbc:CriterionTypeCode>
        <cbc:Name>Purely national exclusion grounds</cbc:Name>
        <cbc:Description>Other exclusion grounds that may be foreseen in the national legislation of the contracting authority's or contracting entity's Member State. Has the economic operator breached its obligations relating to the purely national grounds of exclusion, which are specified in the relevant notice or in the procurement documents?</cbc:Description>
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6df6d577-c593-4349-8a89-f785c97d830d</cbc:ID>
                <cbc:Title>[Legislation title]</cbc:Title>
                <cbc:Description>[Legislation description]</cbc:Description>
                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                <cac:Language>
                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                </cac:Language>
        </cac:Legislation>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2"/>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">fddf4a1a-744d-4fe0-ba1b-54f9dfc051ba</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Your answer?</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41748296-9179-48b3-983f-964fb6127d46</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">13cd212b-24ba-471f-bd2e-9539c680ab23</cbc:ID>
                                <cbc:Name>Have you taken measures to demonstrate your reliability (Self-Cleaning)?</cbc:Name>
                                <cbc:Description/>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3fa51985-630a-4f73-a1d6-032a36cba292</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">fa52a1af-798e-4b91-a490-8204519b17d2</cbc:ID>
                                        <cbc:Name>Please describe them</cbc:Name>
                                        <cbc:Description/>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">07e6adb0-fae2-47be-8fad-e98f60c55b37</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Is this information available electronically?</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6c4442a6-0c88-4e3e-b23c-b9fa8e92d7bc</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Evidence supplied</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

V.9.2 Self-contained Purely national criteria

The ESPD-EDM V2.0.2 Self-contained ESPD introduces and important feature: the MS can specify and save in the XML individual national criteria. The mock-ups, data structure and XML example below show how.

Mock-up - economic operator perspective

The figure below shows a fragment of a list of national criteria that a software application has captured from e-Certis. Per each criterion the economic operator has to specify whether it fulfills the Criterion or not and eventually provide references to online evidences.

'Purely national criteria' mock-up - CA perspective
Figure 80. 'Purely natural criteria' - economic operator perspective (Self-contained)

Data structure - Self-contained

Purely national criteria
Figure 81. 'Purely national criteria' data structure - Regulated

XML Example - Self-contained

'Purely national criteria' (Self-contained)
<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

<!-- Criterion:Purely national exclusion grounds -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">63adb07d-db1b-4ef0-a14e-a99785cf8cf6</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.EXCLUSION.NATIONAL.OTHER</cbc:CriterionTypeCode>
        <cbc:Name>Purely national exclusion grounds</cbc:Name>
        <cbc:Description>Other exclusion grounds that may be foreseen in the national legislation of the contracting authority's or contracting entity's Member State. Has the economic operator breached its obligations relating to the purely national grounds of exclusion, which are specified in the relevant notice or in the procurement documents?</cbc:Description>
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3a26fe31-6441-454e-9831-a4b1418b3d97</cbc:ID>
                <cbc:Title>[Legislation title]</cbc:Title>
                <cbc:Description>[Legislation description]</cbc:Description>
                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                <cac:Language>
                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                </cac:Language>
        </cac:Legislation>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2"/>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">70d6dbf1-7b58-4660-9249-ed93e7273dd8</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description/>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2"/>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2"/>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f2ec28aa-9202-4c4f-abc9-8287cda43175</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>[Text describing the national criterion]</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">4d9bd997-8aa0-4134-816d-b0b58471bfee</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>[Type of evidence from e-Certis]</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7f06f77c-29e5-4af6-8eb1-0d7f1505f382</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer?</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">bef25782-3d4e-4d31-b6c2-b9bcdbf112c4</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Is this information available electronically?</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">d1bcea91-26df-496a-bcdd-f04de6de32c4</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Evidence supplied</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>

<!-- ... the rest of elements in the QualificationApplicationRequest document omitted for brevity -->

VI. Selection criteria

'The contracting body shall provide the exclusion grounds and selection criteria for its tendering process as structured information – via ESPD template or structured list of criteria set out in a call for tender."

This chapter on selection criteria provides details on how to implement the formal requirements set in the eSens ESPD BIS 41 - Single European Document (Version 2.0.0) document. See specifically these global requirements related to selection criteria: br41-002, tbr070-010, tbr070-013, tbr070-016, and tbr070-018.

Differences between Regulated and Self-contained exclusion criteria

The ESPD-EDM V2.0.2 introduces important changes regarding the selection criteria. It provides the contracting authority with much more flexibility to define requirements specific to the procurement procedure. These new features affect specifically the following aspects:

  1. Suitability, including enrolment in a relevant professional register, enrolment in a trade register, authorisation and membership of particular organisation needed for service contracts;

  2. Turnovers (general and specific);

  3. References to similar works and services, including confidentiality about the references;

  4. Quality assurance schemes and environmental management standards;

  5. Professional ris indemnity insurance;

  6. Other economic or financial requirements;

  7. Technicians or technical bodies;

  8. Supply chain management;

  9. Allowance of checks;

  10. Educational and professional qualifications and Environmental management measures;

  11. Tools, plant or technical equipment;

  12. Criteria for a particular type of contract;

  13. Technical, study, research, and development facilities resources;

  14. Financial ratios;

  15. Other: Lots management, weighting, EO Roles.

This section covers exhaustively each of these aspects and provides examples of XML implementation for each one of them. They will examined criterion by criterion, taking as a starting the point the requirement expressed in 'BIS 41 - European Single Procurement Document (Version 2.0.0)'.

ABOUT the compatibility between Regulated and Self-contained ESPDs:

  • Not all the selection criteria have modified their structures between versions 1.0.2 and 2.0.2.

  • The changes introduced by the Self-contained ESPD are basically 'additions'.

Therefore the compatibility from a Regulated ESPD towards a Self-contained ESPD should be possible to a large extent.

As for the exclusion criteria (and following requirement tbr070-013) we have grouped the selection criteria under different categories. The figure below is intended to identify and list these categories for the selection criteria (branches in text boxes), and specific subgroups within each category (leaves in text without boxes).

Each branch in this 'criteria taxonomy' corresponds to one data structure that is identical for all the leaves under that branch (e.g. compare the names of the boxes with the tabs of the spreadsheets containing the Regulated and Self-contained taxonomies).

Selection criteria taxonomy
Figure 82. Selection criteria taxonomy

VI.1 Suitability

See formal requirements related to 'Suitability' criteria for the Self-contained ESPD in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically the requirement tbr070-003

Differences between Regulated and Self-contained

  1. In the REGULATED, the CA is able to check the selection criteria regarding Suitability that apply to a particular procurement procedure, but cannot provide the particular information required to the EO for each criteria.

  2. In the SELF-CONTAINED, the CA is able to specify the name of the register or the organisation the EO must be part of, and the URL. Additionally, the CA can specify Lots.

  3. For both versions (REGULATED and SELF-CONTAINED), the category ''Suitability'' covers two groups of identical data structures with these classification codes:

    • (Enrolments) CRITERION.SELECTION.SUITABILITY.PROFESSIONAL_REGISTER_ENROLMENT, and CRITERION.SELECTION.SUITABILITY.TRADE_REGISTER_ENROLMENT: ''Enrolment in a relevant professional register'' and ''Enrolment in a trade register'';

    • (Authorisations and memberships) CRITERION.SELECTION.SUITABILITY.AUTHORISATION, and CRITERION.SELECTION.SUITABILITY.MEMBERSHIP: ''For service contracts: authorisation of particular organisation needed'', and ''For service contracts: membership of particular organisation needed''.

VI.1.1 Regulated suitability

Mock-ups - contracting authority perspective

Regulated 'Suitability' criterion (CA perspective)
Figure 83. Regulated 'Suitability' criterion (CA perspective)'

Mock-ups - economic operator perspective

Notice that, as for the exclusion criteria, for the selection criteria the MS can specify general national sub-criteria in e-Certis. Software applications can download these sub-criteria from e-Certis and shown them in their GUI. For each national sub-criteria, the economic operator will have to respond "Yes" or "No" to confirm that it fulfills them.

Regulated 'Suitability' criterion (EO perspective)
Figure 84. Regulated 'Suitability' criterion (EO perspective)'

Data Structure - Regulated

Regulated 'Suitability' criterion data structure
Figure 85. Regulated 'Suitability' criterion data structure

XML Example - Regulated

Regulated 'Enrolment in a relevant professional register' suitability criterion
<!... header elements removed for brevity -->

        <!-- Criterion:Enrolment in a relevant professional register -->
        <cac:TenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6ee55a59-6adb-4c3a-b89f-e62a7ad7be7f</cbc:ID>
                <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.SELECTION.SUITABILITY.PROFESSIONAL_REGISTER_ENROLMENT</cbc:CriterionTypeCode>
                <cbc:Name>Enrolment in a relevant professional register</cbc:Name>
                <cbc:Description>It is enrolled in relevant professional registers kept in the Member State of its establishment as described in Annex XI of Directive 2014/24/EU; economic operators from certain Member States may have to comply with other requirements set out in that Annex.</cbc:Description>
                <cac:Legislation><!-- eliminated for brevity --></cac:Legislation>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1768de86-a6c8-48e4-bd8e-de2f2f7424d0</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0b0e0f5c-af55-4bc9-b1d9-4a6a152e9e17</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your answer?</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a99c28d8-c3e0-40c9-993e-793c6f5358af</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Is this information available electronically?</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b2f0f738-b50a-4a1e-af47-bff423626e9e</cbc:ID>
                                        <cbc:Name/>
                                        <cbc:Description>Evidence supplied</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:TenderingCriterionPropertyGroup>
        </cac:TenderingCriterion>

<!... rest of elements removed for brevity -->

VI.1.2 Self-contained suitability

Mock-ups - contracting authority perspective

For each criteria regarding suitability, the CA should be able to provide: the register name, its URL and the Lots to which each requirement apply.

The mock-up below represents the requirements the CA should be able to specify for a suitability criterion in a procedure procurement that is not divided into lots:

Self-contained 'Suitability' criterion (CA perspective)
Figure 86. Self-contained 'Suitability' criterion without Lots (CA perspective)'

This other mock-up represents the same situation when the procurement procedure is divided into lots.

The contracting authority (CA) may request that the economic operator is registered in one or multiple registers. Per each register the CA specifies to which Lots this make sense. This behaviour of “one set of lots per group of properties is regular for all those selection criteria where the allocation of lots to a set of 'criterion properties' make sense (e.g. see the section "References").

Self-contained 'Suitability' criterion (CA perspective)
Figure 87. Self-contained 'Suitability' criterion with Lots (CA perspective)'

Mock-ups - economic operator perspective

Notice that:

  1. The Lots and registers specified by the contracting authority are presented to the economic operator (on the left side of the mock-up, circles 1 to 6);

  2. The expected answer is "Yes", meaning that the economic operator fulfills the criterion;

  3. In case of answering "No" the economic operator will have to provide the reasons why it is not registered.

Self-contained 'Suitability' criterion (EO perspective)
Figure 88. Self-contained 'Suitability' criterion (EO perspective)'

Data Structure - Self-contained

This data structure is quite different from the Regulated ESPD:

  1. It allows the definition of multiple national sub-criteria (to be retrieved from e-Certis): cardinality "0..n" of the SUBCRITERION group;

  2. It also allows the contracting authority to speciy multiple groups of REQUIREMENTs (in this case to specify which registers the economic operator should be registered in).

  3. The number of Lots is also multiple (notice the cardinality "1..n" of the LotID REQUIREMENT, thus making possible to build lists of LotsIDs.

  4. Regarding the groups of questions, notice that the main question is addressed to get the confirmation from the economic operator that it fulfills the criterion (if "Yes" the economic operator is registered). In case of answering "No" a sub-group of one QUESTION must be shown (the one asking the economic operator to provide the reason why it is not registered in the register specified by the contracting authority).

Self-contained 'Suitability' criterion data structure
Figure 89. Self-contained 'Suitability' criterion data structure

XML Example - Self-contained (with Lots)

The following XML example illustrates how to solve the more complex situation, when the Lots are specified. If the procurement procedure is not divided into Lots, the XML would be identical, except that all the elements related to Lots would not be present.

Self-contained 'Enrollment in a relevant professional register' suitability criterion
<!... header elements removed for brevity -->

<!-- Criterion:Enrolment in a relevant professional register -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6ee55a59-6adb-4c3a-b89f-e62a7ad7be7f</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.SELECTION.SUITABILITY.PROFESSIONAL_REGISTER_ENROLMENT</cbc:CriterionTypeCode>
        <cbc:Name>Enrolment in a relevant professional register</cbc:Name>
        <cbc:Description>It is enrolled in relevant professional registers kept in the Member State of its establishment as described in Annex XI of Directive 2014/24/EU; economic operators from certain Member States may have to comply with other requirements set out in that Annex.</cbc:Description>
        <cac:SubTenderingCriterion> <!-- ... ELEMENTS REMOVED FOR BREVITY --> </cac:SubTenderingCriterion>
        <cac:Legislation><!-- ... ELEMENTS REMOVED FOR BREVITY --> </cac:Legislation>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">a53561d5-6614-4dbe-987e-b96f35387f46</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f99ee126-23b8-4d83-8a62-6df4056a77cb</cbc:ID>
                        <cbc:Description>Lots the requirement apply to</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">aca46197-141d-4c96-8d97-6ed08d653e22</cbc:ID>
                        <cbc:Description>LotIDs</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">IDENTIFIER</cbc:ValueDataTypeCode>
                        <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                        <cbc:ExpectedID>[List of Lots]</cbc:ExpectedID>
                </cac:TenderingCriterionProperty>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3aacb82e-afba-440c-b64e-1834007965a2</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0a72759b-cdff-4132-803f-d5d8955a5059</cbc:ID>
                                <cbc:Description>Register name</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                                <cbc:ExpectedDescription>[Register Name]</cbc:ExpectedDescription>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b420be09-d85b-45df-ab09-a43eef0b5635</cbc:ID>
                                <cbc:Description>URL</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">URL</cbc:ValueDataTypeCode>
                                <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                        </cac:TenderingCriterionProperty>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6cce6b8e-c53d-4598-8150-ac49aba3b9c7</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">d35eff44-9405-44f3-82c9-ca30bd98e589</cbc:ID>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">70d5bbcf-0581-4d0f-b5c7-8b604a791972</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8fa5ec56-385c-44ec-ba97-ff25e95a3287</cbc:ID>
                                        <cbc:Description>Registration number</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">3a4a5421-81cc-468e-b69f-b86bf8c7932d</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONFALSE</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">093d3723-461b-4782-a1a0-6cc5203b1ce3</cbc:ID>
                                        <cbc:Description>Reasons why your are not registered</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DESCRIPTION</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">7458d42a-e581-4640-9283-34ceb3ad4345</cbc:ID>
                                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                                <cac:TenderingCriterionProperty>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">53029e73-1cfe-45dd-ae91-36e2f9c4e610</cbc:ID>
                                        <cbc:Description>Is this information available electronically?</cbc:Description>
                                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                                </cac:TenderingCriterionProperty>
                                <cac:SubsidiaryTenderingCriterionPropertyGroup>
                                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">41dd2e9b-1bfd-44c7-93ee-56bd74a4334b</cbc:ID>
                                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ONTRUE</cbc:PropertyGroupTypeCode>
                                        <cac:TenderingCriterionProperty>
                                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">012c8f70-2ba4-4273-aeec-5f8e404b75f2</cbc:ID>
                                                <cbc:Description>Evidence supplied</cbc:Description>
                                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">EVIDENCE_IDENTIFIER</cbc:ValueDataTypeCode>
                                        </cac:TenderingCriterionProperty>
                                </cac:SubsidiaryTenderingCriterionPropertyGroup>
                        </cac:SubsidiaryTenderingCriterionPropertyGroup>
                </cac:SubsidiaryTenderingCriterionPropertyGroup>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>
<!... rest of elements removed for brevity -->

VI.2 Turnovers

See formal requirements related to 'Turnover' criteria for the Self-contained ESPD in the BIS 41 - European Single Procurement Document (Version 2.0.0), and more specifically the requirement tbr070-008

Differences between 'general and specific' and 'yearly and average' turnovers

  1. General turnover refers to the general turnover of the economic operator in a period of years and regardless of the nature of the contract, normally the last three or five years (as required in the contract documents or the ESPD).

  2. Specific turnovers refer to the turnover of the economic operator resulting from the activity of the economic operator in the business area covered by the contract;

  3. As far as the data structures are concerned, they can be classified in two groups 'yearly' and 'average':

    • For general and specific yearly turnovers the economic operator specifies a turnover amount (and currency) per year, e.g. one amount for 2016, one amount for 2015, one amount for 2014, etc.

    • For general and specific average turnovers, given the n last years (specified in the ESPD, notices or procurement documents) the economic operator adds all the yearly turnovers of those n years, divides the sum by n and provides the resulting amount.

    • The classification codes for the different turnovers are:

      • (Yearly) CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.GENERAL_YEARLY, CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.SPECIFIC_YEARLY;

      • (Average) CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.AVERAGE_YEARLY, CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.SPECIFIC_YEARLY

Differences between Regulated and Self-contained turnovers

  1. The REGULATED version expects a constant amount of groups of properties made of Amount, Start Date, End Date. The ESPD Service, for instance, expects general or specific yearly turnovers for the five past years. Thus, being the current year 2017, the ESPD Service generates a view for the economic operator with fields for 2016, 2015, 2014, 2013 and 2012. See mock-up below for the Regulated version of the general and specific yearly turnovers.

  2. In the new SELF-CONTAINED:

    • For the general yearly turnover the contracting authority can specify the number of the past recent years for which it will require Turnovers, and also the minimum amount it expects from the economic operator. The economic operator should only see the same number of groups of fields 'amount + period' than the number of minimum amounts the contracting authority required.

    • For the average yearly turnover the contracting authority can specify the period (“Start Date” and “End Date”) encompassing the yearly turnovers for which the average is to be calculated; the minimum amount for which the EO’s average yearly turnover must equal or be greater; and the currency.

    • For the specific yearly turnover the contracting authority can specify the number of fiscal years for which the EO will have to provide turnovers (e.g. last 5 years); the CPVs, with one or several Common Procurement Vocabulary codes to indicate the activities that were developed during those fiscal years for that Turnover. The CA could be able to select the CPV codes from a pop-up window with the whole CPV structure. Both the CPV code and the “Business domain description” could be displayed, both in the pop-up window (in order to facilitate the selection of the codes to be included in the ESPD) and in the ESPDResponse; the Minimum amount expected from the EO, for which each specific yearly turnover must equal or be greater; and the currency.

    • For the specific average turnover the contracting authority can specify the number of the past recent fiscal years for which the EO will need to provide the Average Turnover; e.g. last 3 years; the CPVs, with one or several Common Procurement Vocabulary codes to indicate the activities that were developed during those fiscal years for that Turnover; the minimum amount expected from the EO, for which the EO’s average yearly turnover must equal or be greater; and the currency.

VI.2.1 Regulated general turnover

Mock-up - contracting authority perspective

The mock-up below shows the perspective of the contracting authority (CA) when preparing a new ESPD Request. Notice that the CA may select the type of turnover. The economic operator, while preparing the ESPD Response, should only see these turnovers, and not the unselected ones.

In this case the contracting authority (CA) requires only a general average turnover. You will notice that this case is identical to the Regulated specific average turnover. The only difference between both is the wording of the criterion. In this "general" case the CA asks for the average in general, regardless of the business area covered by the contract.

Regulated 'yearly turnover' CA mock-up
Figure 90. Regulated 'general yearly turnover' CA mock-up

Mock-up - economic operator perspective

The economic operator has to provide turnovers for all the years required by the contracting authority. For all of them it can also provide one evidence.

Regulated 'yearly turnover' EO mock-up
Figure 91. Regulated 'general yearly turnover' EO mock-up

Data Structure - Regulated

Regulated 'yearly turnover' criterion data structure
Figure 92. Regulated 'general yearly turnover' criterion data structure

XML Example - Regulated

Regulated 'general yearly turnover'
<!... header elements removed for brevity -->

<!-- Criterion:General yearly turnover -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">499efc97-2ac1-4af2-9e84-323c2ca67747</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.GENERAL_YEARLY</cbc:CriterionTypeCode>
        <cbc:Name>General yearly turnover</cbc:Name>
        <cbc:Description>Its general yearly turnover for the number of financial years required in the relevant notice, the in the ESPD, the relevant notice or or the ESPD is as follows:</cbc:Description>
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">0fe1a87a-2147-4af3-b3c9-b72cf92f2afe</cbc:ID>
                <cbc:Title>[Legislation title]</cbc:Title>
                <cbc:Description>[Legislation description]</cbc:Description>
                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                <cac:Language>
                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                </cac:Language>
        </cac:Legislation>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">954bc8eb-5c54-4743-9b73-323ce69a9dd6</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">6c24be1c-f941-4e0b-af0f-2f6520dd3d62</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date; End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">70b936fd-c1e6-46a7-a1a9-14a5952be7d5</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b2792cd0-7c34-43c0-b872-4a3faae5114f</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date; End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b1f517-db48-40b6-b4c6-92fdb97d7d60</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c2741306-171e-44da-a9a7-9f23ff5df900</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date; End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">abc4f7c1-e6ec-4b9d-bb38-2fc62ae73a59</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">bbe1f8bc-0dab-43cd-9029-eb44ae46bd6e</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date; End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">179cf46a-5c03-4523-bbe2-b5a8db427842</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">f2d3c4af-98a1-4249-8cc3-857b9bf59ecb</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date; End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">PERIOD</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
</cac:TenderingCriterion>

<!... rest of elements removed for brevity -->

VI.2.2 Self-contained general turnover

In the new Self-contained version the contracting can specify the number of the past recent years for which it will require turnovers, but also the minimum amount it expects from the economic operator.

Mock-up - contracting authority perspective

Notice that the contracting authority can add and remove as many groups of minimum required amounts as needed (in the example below the software application limits the number to five, see tool-tip next to the button "Add"). These requirements are, of course, particular to this procurement procedure and were not defined by the Member State in e-Certis.

Self-contained 'General and Specific Yearly Turnovers' CA mock-up
Figure 93. Self-contained 'General Yearly Turnovers' CA mock-up

Mock-up - economic operator perspective

Self-contained 'General and Specific Yearly Turnovers' EO mock-up_EO
Figure 94. Self-contained 'General Yearly Turnovers' EO mock-up

Data Structure - Self-contained

In this this figure what it is being shown is that the contracting authority required three general yearly turnovers, for which it defined minimum amounts in one REQUIREMENTs group. Next, three groups of QUESTIONs are provided, each one of them corresponding to the past three years. Remember that the spreadsheet used in this guide to represent the criteria data structure is also used to generate sample XML instances. So by including three groups of QUESTIONs in the spread-sheet, the tool generating sample XML instances will automatically generate three sub-groups of properties each one with distinct UUIDs.

Self-contained 'General Yearly Turnovers' criterion data structure
Figure 95. Self-contained 'General Yearly Turnovers' criterion data structure

XML Example - Self-contained

Self-contained general yearly turnover
<!... header elements removed for brevity -->

<!-- Criterion:General yearly turnover -->
<cac:TenderingCriterion>
        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">499efc97-2ac1-4af2-9e84-323c2ca67747</cbc:ID>
        <cbc:CriterionTypeCode listID="CriteriaTypeCode" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CRITERION.SELECTION.ECONOMIC_FINANCIAL_STANDING.TURNOVER.GENERAL_YEARLY</cbc:CriterionTypeCode>
        <cbc:Name>General yearly turnover</cbc:Name>
        <cbc:Description>Its general yearly turnover for the number of financial years required in the relevant notice, the in the ESPD, the relevant notice or or the ESPD is as follows:</cbc:Description>
        <cac:Legislation>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">91b9fce0-b813-4776-ab8e-7bec8800fb10</cbc:ID>
                <cbc:Title>[Legislation title]</cbc:Title>
                <cbc:Description>[Legislation description]</cbc:Description>
                <cbc:JurisdictionLevel>EU</cbc:JurisdictionLevel>
                <cbc:Article>[Article, e.g. Article 2.I.a]</cbc:Article>
                <cbc:URI>http://eur-lex.europa.eu/</cbc:URI>
                <cac:Language>
                        <cbc:LocaleCode listID="LanguageCodeEU" listAgencyName="EU-COM-GROW" listVersionID="2.0.2">EN</cbc:LocaleCode>
                </cac:Language>
        </cac:Legislation>
        <cac:SubTenderingCriterion>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e6b21867-95b5-4549-8180-f4673219b179</cbc:ID>
                <cbc:Name>[Name of the National Criterion]</cbc:Name>
                <cbc:Description>[Description of the National Criterion ]</cbc:Description>
                <cac:TenderingCriterionPropertyGroup>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">8c39b505-8abe-44fa-a3e0-f2d78b9d8224</cbc:ID>
                        <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">31e65051-2fa5-411b-8871-1486b7cbf0ad</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>[Additional information; e.g. no evidences online]</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">CAPTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">NONE</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                        <cac:TenderingCriterionProperty>
                                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">e4a5e2de-ec78-48ba-b78c-b5f4378be4a5</cbc:ID>
                                <cbc:Name/>
                                <cbc:Description>Your Answer</cbc:Description>
                                <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                                <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">INDICATOR</cbc:ValueDataTypeCode>
                        </cac:TenderingCriterionProperty>
                </cac:TenderingCriterionPropertyGroup>
        </cac:SubTenderingCriterion>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">5ca58d66-3ef1-4145-957c-45d5b18a837f</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">b7b4a2e6-07c9-490b-b219-6899ce9a3184</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Minimum requirement</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                        <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                        <cbc:ExpectedAmount currencyID="EUR">100000</cbc:ExpectedAmount>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">146d60a8-ee60-43f7-af3c-4d35679fe134</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Minimum requirement</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                        <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                        <cbc:ExpectedAmount currencyID="EUR">120000</cbc:ExpectedAmount>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">1875b9d4-9746-4d2a-bec7-1916036a5eaf</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Minimum requirement</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">REQUIREMENT</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                        <!-- No answer is expected here from the economic operator, as this is a REQUIREMENT issued by the contracting authority. Hence the element 'cbc:ValueDataTypeCode' contains the type of value of the requirement issued by the contracting authority -->
                        <cbc:ExpectedAmount currencyID="EUR">130000</cbc:ExpectedAmount>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c0cd9c1c-e90a-4ff9-bce3-ac0fe31abf16</cbc:ID>
                <cbc:PropertyGroupTypeCode listID="PropertyGroupType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">ON*</cbc:PropertyGroupTypeCode>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">724ba593-e19a-46fc-a2ea-94b1ca9d5d37</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Amount</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">AMOUNT</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">c1af79e2-2328-4c27-b6ad-22ccc0f2deed</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>Start Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DATE</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
                <cac:TenderingCriterionProperty>
                        <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="2.0.2">961a0dd6-d167-4751-8a72-bff18e33d8c3</cbc:ID>
                        <cbc:Name/>
                        <cbc:Description>End Date</cbc:Description>
                        <cbc:TypeCode listID="CriterionElementType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">QUESTION</cbc:TypeCode>
                        <cbc:ValueDataTypeCode listID="ResponseDataType" listAgencyID="EU-COM-GROW" listVersionID="2.0.2">DATE</cbc:ValueDataTypeCode>
                </cac:TenderingCriterionProperty>
        </cac:TenderingCriterionPropertyGroup>
        <cac:TenderingCriterionPropertyGroup>
                <cbc:ID schemeID="CriteriaTaxonomy" schemeAgencyID="EU-COM-GROW" schemeVersionID="<