“FMS Group 2018-2021 Year-End Audit” awarding process
Awarding Document A - I
Forms for Request for Information
“FMS Group 2018-2021 Year-End Audit”
ABl. (Official Journal) 2016/PXXX
Deadline for submission of the applications for participation
23.12.2016, 12.00 noon
To be marked:
“Application for participation in the awarding process for the
“FMS Group 2018-2021 Year-End Audit”
Not to be opened before expiry of the application period!
To be passed unopened to Mr. Jochen Fahrbach in person”
FMS Wertmanagement AöR
f.a.o. Mr. Jochen Fahrbach
Prinzregentenstraße 56
80538 Munich
No amendments to the predefined text is permitted.
Any changes to the bidder’s registration entries are to be notified unambiguously.
(Only relevant to manual or typewritten entries)!
This is a convenience translation only. In cases of inconsistencies between the German and the English version of the document the German version shall prevail and shall be the binding version.
Summary of the forms to be submitted
Nature of the document / Form1 / Application to participate letter / A1
2 / Basic information – Self-declaration as a bidder / A2
3 / Declarations by the members of the bidding consortium(where applicable) / A3
4 / Declarations regarding subcontractors / hired expertise (where applicable) / A4
5 / Self-declaration on qualification and independence / A5
6 / Self-declaration of total turnover / A6
7 / Self-declaration on the average number of employees of the service providers (company/branch/office/subcontractor/member of a bidding consortium) who will on their own responsibility fulfil the audit assignment in the relevant countryfor the year-end audit of institutions per § 1 Para. 1b KWG (German Banking Act), (credit institutions, financial service institutions) and/or winding up agenciesper § 8a or § 8b FMStFG (German Financial Market Stabilisation Act) / A7
8 / Self-declaration on the existence of professional liability insurance / A8
9 / Self-declaration with statements on comparable services in Germany – company references / A9
10 / Self-declaration with statements on comparable servicesin Ireland – company references / A10
11 / Self-declaration with statements on comparable services in Luxembourg – company references / A11
12 / Self-declaration on trans-national audit activities in Germany, Ireland and Luxembourg – company reference / A12
13 / Presentation of the existing cooperation model in the relevant countriesincluding presentation of interfaces with accounting centers of competence (including trans-national) and other relevant experts with a statement of the bodies / A13
A1 – Application to participate letter
[Name and address of the bidder / the bidding consortium]
______
______
______
To:
FMS Wertmanagement AöR
f.a.o. Mr. Jochen Fahrbach
Prinzregentenstraße 56
80538 Munich
Re: Awarding processfor “FMS Group 2018-2021 Year-End Audit”
(ABl. EU 2016/P XXX)
Hereinafter called:Participation application
Dear Sir or Madam,
We hereby participate in the above-mentioned call for tender and submit our participation application to you.
We have enclosed the required declarations and evidences with our participation application.
We confirm that the statements that we have made are true and correct.
We undertake to treat all information that we obtain in the context of the awarding process as confidential and not to pass it on to third parties.
Kind regards
______
Place, DateSignature of the bidder or of the authorised
representative of the bidding consortium
______
Signature in block capitals
A2 – Basic information – Self-declaration as a bidder
N.B.:With this form, you are making a self-declaration about the bidder’s company or of the companies participating in the bidding consortium. In addition, the bidder/bidding consortium must state the service providers (company/branch/office/subcontractor/member of the bidding consortium), that will fulfil the audit assignment in Germany, Ireland and Luxembourg in their own responsibilityand also the number of employees of the service providerfor the year-end audit of institutions (credit institutions, financial service institutions) per § 1Para. 1b KWG (German Banking Act) or of winding-up agencies per § 8a or § 8b FMStFG (German Financial Market Stabilisation Act) in Germany, Ireland and Luxembourg. The international network is to be specified, in particular with regard to the cooperation of affiliated companies in Great Britain and the USA. If service providers are members of a bidding consortium, Form A3 is also to be completed. If subcontractors or other third party companies are involved in the fulfilment of the assignment on the basis of their expertise, Form A4 is also to be completed. All fields highlighted in grey must be filled in if relevant.
1.Please complete the following table for the participation application of an(individual) bidder:
Name of the bidderLegal form
Address
Telephone
Fax
Email address
Contact person
Presentation of the international network, in particular with regard to the combination of affiliated companies in Great Britain and the USA
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignmenton its own responsibility in Germanyand the number of employeesthere in the sector of year-end audits of institutions (credit institutions, financial service institutions) per § 1 Para. 1b KWG or winding-up agencies per § 8a or § 8b FMStFG
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignmenton its own responsibility in Ireland and the number of employees there in the sector of year-end audits of institutions (credit institutions, financial service institutions) per § 1 Para. 1b KWG or winding-up agencies per § 8a or § 8b FMStFG
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignmenton its own responsibility in Luxembourg and the number of employees there in the sector of year-end audits of institutions (credit institutions, financial service institutions) per § 1 Para. 1b KWG or winding-up agencies per § 8a or § 8b FMStFG
2.Please complete the following tables for the participation application of a bidding consortium:
Name of the bidding consortiumAddress
Telephone
Fax
Email address
Contact person/authorised representative of the bidding consortium (see Form A3)
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignment on its own responsibility in Germany and also the number of employees there in the sector of year-end audits of institutions (creditinstitutions, financial service institutions) per § 1 Para. 1b KWG orwinding-up agencies per § 8a or § 8b FMStFG
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignment on its own responsibility in Ireland and also the number of employees there in the sector of year-end audits of institutions (credit institutions, financial service institutions) per § 1 Para. 1b KWG or winding-up agencies per § 8a or § 8b FMStFG
Service provider (company/branch/office/subcontractor/member of a bidding consortium) that will fulfil the audit assignment on its own responsibility in Luxembourg and also the number of employees there in the sector of year-end audits of institutions (credit institutions, financial service institutions) per § 1 Para. 1b KWG or winding-up agencies per § 8a or § 8b FMStFG
Name of the bidding consortium member (1)
Legal form
Address
Telephone
Fax
Email address
Contact person
Role within the bidding consortium, explanation of the relevant service scope
Presentation of the international network, in particular with regard to the combination of affiliated companies in Great Britain and the USA
Name of the bidding consortiummember (2)
Legal form
Address
Telephone
Fax
Email address
Contact person
Role within the bidding consortium, explanation of the relevant service scope
Presentation of the international network, in particular with regard to the combination of affiliated companies in Great Britain and the USA
Name of the bidding consortium member (3)
Legal form
Address
Telephone
Fax
Email address
Contact person
Role within the bidding consortium, explanation of the relevant service scope
Presentation of the international network, in particular with regard to the combination of affiliated companies in Great Britain and the USA
(Copy the form if necessary)
A3 – Declarations by the members of the bidding consortium(where applicable)
N.B.:This form is only to be submitted if the participation application is submitted by a bidding consortium. In this event, this form is to be completed and signed separately by each of the members of the bidding consortium. All fields highlighted in grey must be filled in.
We, ______(name of the company), are a member of the bidding consortium______(name of the bidding consortium). As a member of the bidding consortium we make the following declarations:
- Appointment of the authorised representative of the bidding consortium
We authorise______(name), ______(company) as the representative of the bidding consortium. The members of the bidding consortium will give prompt notice of any change of the authorised person.
- Declaration of the power to act of the authorised representative
We declare that the authorised representative of the bidding consortium is authorised to make and accept legally binding declarations in the awarding process on behalf of the members of the bidding consortium with effect for and against these membersand to submit a binding offer for the bidding consortium. .
- Declaration on joint and several liability
We are liable as a joint and several obligor for obligations incurred by members of the bidding consortium arising from the awarding process (§ 421 BGB [German Civil Code]). We also declare as of now that, in the event of the award of the contract(s), we are jointly and severally liable to the client for obligations owed by the bidding consortium in connection with the contracts to be concluded.
______
Place, DateSignature
______
Signature in block capitals
(Copy the form if necessary)
A4 – Declarations about subcontractors/hired expertise (where applicable)
N.B.: This form is only to be submitted if and in so far as the bidder/bidding consortium relies upon the use of subcontractors as evidence of its capability to provide the services or the bidder/bidding consortium intends to use other third party companies as evidence of its capability to provide the serviceswith hired expertis..
With this form you make a self-declaration of whether and, if relevant, for which services it is intended to engage subcontractors or other third party companiesand also a commitment declaration of the relevant subcontractor/other third party company. The form is to be signed by every subcontractor and each one of their subcontractorsand all other companiesupon which the bidder/bidding consortium relies as evidence of its capability to provide the services and is to be submitted by the bidder/bidding consortium. All fields highlighted in grey must be filled in if relevant.
______
[Name of the bidder/bidding consortium]
1.Statements about the subcontractor/other third party
Name of the subcontractorLegal form
Address
Telephone
Fax
Contact person
Presentation of the international network, in particular with regard to the combination of affiliated companies in Great Britain and the USA
2.Statements about the service
Services/elements of services to be provided by the subcontractor3.Declaration by the subcontractor/other third party in the event of services being subcontracted
In the event of the engagement of the above-mentioned bidder/bidding consortium, we undertake to provide the element of the service for which we have been named as responsible for and will provide any required resources for the fulfilment of the order.
______
Place, DateSignature of the subcontractor/third party
______
Signature in block capitals
(Copy the form if necessary)
A5 – Self-declaration on reliability and independence
N.B.:This declaration is to be submitted by every bidder, every member of a bidding consortium where applicable,by every subcontractor in the event of the intended use of subcontractors and by every other third party company in the event of the intended use of other third party companies (hired expertise). All fields highlighted in grey must be filled in.
We declare on behalf of ______(name of the company)that
1.Grounds for exclusion per § 123 and § 124 GWB (German Act against Restraint of Competition)
- with regard to our company and persons for whose conduct our company is responsible, there are no mandatory grounds for exclusion per § 123 Para. 1 GWB or per comparable legislation of other states and
- with regard to our company, there are no non-mandatory grounds for exclusion per § 124 GWB or per comparable legislation of other states;
2.Certified Public Accountant
- the employees of each of the service providers (see Form A2) who are envisaged as responsible for the year-end auditare authorised to act and are licenced asauditors in accordance with the relevant national legislation in each case;
3.No grounds for exclusion per EU Directive 537/2014 dated 16.04.2016
- there are no grounds for exclusion per EU Directive 537/2014 dated 16.04.2016 relating to specific requirements concerning the year-end audit of public interest entities or because of the legislation of the relevant member state implementing the Directive;
4.Conflict of interests
- no consultancy services have been performed within the FMS-WM Group that would put the year-end audit at risk;
5.Observance of professional regulations and standards
- allthe professional rules and regulations (e.g. per the WPO or comparable regulations of other states) applicable to the performance of the relevant auditsand all the legislative provisions and auditing standardsto be applied to the performance of the relevant audits are observed in our audit activities;
6.Consultancy and audit servicessince 1 January 2015
- we have not provided any/we have provided the following [delete if not applicable] consultancy and audit services for the FMS Group since 1 January 2015:
Service provider / Client / Nature of activity / Period / Volume of consultancy in net €[______] / [______] / [______] / [______] / [______]
______
Place, DateSignature
______
Signature in block capitals
(Copy the form if necessary)
A6 – Self-declaration of total turnover
N.B.: With this form you are submitting a self-declaration of total (net) turnover in Germany and Ireland in financial years 2015, 2014 and 2013. In the event of financial years that differ from the calendar year,the last three financial years are relevant. The turnover of members of a bidding consortium is added together. Turnover of subcontractorsand other third parties hired are evaluated if a declaration of obligation by the relevant subcontractor/other third party hired is submitted as per Form A4. All fields highlighted in grey must be filled in if relevant.
Minimum requirement:
The minimum (net) turnover must have been over EUR 50 million each financial year for Germany and Ireland altogether(minimum standard).
1.Please complete the following table for the participation application by an (individual) bidder:
______(Enter the name of the bidder)
Total turnover in Germany and Ireland (altogether) / Financial Year 2015 / Financial Year 2014 / Financial Year 2013Bidder
Subcontractor/other third party 1: ______
Subcontractor/other third party 2: ______
(Extend the table if necessary)
Total
2.Please complete the following table for the participation application by a bidding consortium:
______(Enter the name of the bidding consortium)
Total turnover in Germany and Ireland (taken together) / Financial Year 2015 / Financial Year 2014 / Financial Year 2013(Member):
______
(Member):
______
(Member):
______
Subcontractor/other third party 1: ______
Subcontractor/other third party 2: ______
(Extend the table if necessary)
Total:
A7 – Self-declaration on the average number of employees of the service providers (company/branch/office/subcontractor/member of a bidding consortium) who will be on their own responsible for the fulfilmentof the audit assignment in the relevant country for the year-end audit of institutions per § 1 Para. 1b KWG (German Banking Act), (credit institutions, financial service institutions) or winding up agencies per § 8a or § 8b FMStFG (German Financial Market Stabilisation Fund Act)
N.B.: With this form the bidder/bidding consortium must state the average number of employeesfor the year-end audit of institutions per § 1Para. 1b KWG (credit institutions, financial service institutions) or of winding-up agenciesper § 8a or § 8b FMStFG in financial years 2015, 2014 and 2013 in Germany, Ireland and Luxembourg. In the event of financial years that differ from the calendar year, the last three financial years are relevant.Here the average numbers of employees of each of the service providers listed on Form A2 are to be stated. The numbers of employees of members of a bidding consortium are added together. The numbers of employees of subcontractors or other third parties hired are evaluated if a commitment declaration by the relevant subcontractor/other third party hired is submitted as per Form A4. All fields highlighted in grey must be filled in if relevant.
Minimum requirement:The average number of employees for the year-end audit of institutions per § 1 Para. 1b KWG(credit institutions, financial service institutions) or of winding-up agencies per§ 8a or § 8b FMStFG of the service provider that performs the year-end audit in the relevant country must have been at least 75 in Germany and at least 25 in Ireland in each financial year.
1.Please complete the following table for the participation application by an (individual) bidder:
______(Enter the name of the bidder)
Number of employees in Germany
Financial Year :2013 / Financial Year :2014 / Financial Year :2015Service provider
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
Number of employees in Ireland
Financial Year :2013 / Financial Year :2014 / Financial Year :2015Service provider
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
Number of employees in Luxembourg
Financial Year :2013 / Financial Year :2014 / Financial Year :2015Service provider
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
2.Please complete the following table for the participation application by a bidding consortium:
______(Enter the name of the bidding consortium)
Number of employees in Germany
Financial Year :2013 / Financial Year :2014 / Financial Year :2015Service provider 1
Service provider 2 (extend the table if necessary)
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
Number of employees in Ireland
Financial Year :2013 / Financial Year 2014 / Financial Year :2015Service provider 1
Service provider 2 (extend the table if necessary)
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
Number of employees in Luxembourg
Financial Year :2013 / Financial Year :2014 / Financial Year :2015Service provider 1
Service provider 2 (extend the table if necessary)
Subcontractor 1: ______
Subcontractor 2: ______
(Extend the table if necessary)
Total
A8 – Self-declaration on the existence of professional liability insurance