Appendix 1. Formulare Eignung reviewed.docx

Tender

Framework contract for the manufacture and supply of PV modules

Qualitative selection forms for the call for tenders

Notes:

Attention must be paid to the minimum requirements for qualification included in the EU-wide notice! If these are not met, exclusion must take place.

In addition, reference is made to the criteria for the evaluation of the call for tenders, which can also be found in the EU-wide notice (cf. Section II.2.9).

The forms submitted and completed are valid without a signature; unless a signature is expressly required.

You may make the entries in German or English. Only in the event of a request shall a translation be sent to the client.

Instructions for completion: The boxes in the following forms must be ticked where applicable.

Content

Form I Declaration by the applicant consortium 3

Form II Self-declaration of reliability 4

Form III Declaration on Section 19 (3) MiLoG 8

Form IV Declaration on Public Liability Insurance 9

Form V Declaration of turnover 10

Form VI Self-declaration on the company 11

Form VII Self-declaration Company references 13

Form VIII Self-declaration Qualification for the preparation of the necessary permit-relevant documents in compliance with the laws, ordinances and regulations applicable at the project location. 15

Form IX Self-declaration Qualification for the system-compatible application of the power plant labelling system 16

Form X Self-declaration Qualification on the use of the SI system of units for all technical data and documentation 17

Form XI List of subcontractors and qualifying lenders 18

Form XII 20

Declaration of commitment of the third party to the suitability loan of technical and professional capability 20

Form XIII 21

Declaration of commitment of the third party to the suitability loan of the economic and financial capacity 21

Information due to the collection of personal data under Articles 13 and 14 of the General Data Protection Regulation (Regulation (EU) 2016/679 of 27 April 2016). 22

Form I Declaration of the applicant consortium

(If applicable, to be filled in as provided. If the applicant group is to have more than four members, the form must be duplicated).

We, the companies of a bidding consortium listed below,

Member

Member

Member

Member

resolve to form a consortium in the event of the award of a contract.

Authorized representative:

We declare that

the authorized representative legally represents the members vis-à-vis the principal,

all members are jointly and severally liable.

(Place) (Date) (Company stamp and signature)

(Place) (Date) (Company stamp and signature)

(Place) (Date) (Company stamp and signature)

(Place) (Date) (Company stamp and signature)

Form II Self-declaration on reliability

(The form is to be completed by each company with a role in the procurement process. The form must be reproduced if necessary).

__________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant[1]

□ Member of an applicant group

□ Subcontractor with suitability lending

□ Subcontractor without suitability lending

□ Suitability lender only

1. I/We declare that

□ no person whose conduct[2] is attributable to my/our company has been convicted by a final court decision or no fine has been imposed on my/our company by a final court decision pursuant to § 30 of the German Administrative Offences Act (Code of Administrative Offences) for an offence pursuant to[3] :

1. § Section 129 of the Criminal Code (formation of criminal organisations), Section 129a of the Criminal Code (formation of terrorist organisations) or Section 129b of the Criminal Code (criminal and terrorist organisations abroad),
2. § Section 89c of the Criminal Code (financing of terrorism) or for participating in such an offence or for providing or collecting financial resources knowing that these financial resources will be used or are intended to be used, in whole or in part, to commit an offence under Section 89a(2)(2) of the Criminal Code,
3. § Section 261 of the Criminal Code (money laundering; concealment of unlawfully obtained assets),
4. § Section 263 of the Criminal Code (fraud), insofar as the offence is directed against the budget of the European Union or against budgets administered by the European Union or on its behalf,
5. § Section 264 of the Criminal Code (subsidy fraud), insofar as the offence is directed against the budget of the European Union or against budgets administered by the European Union or on its behalf,
6. § Section 299 of the Criminal Code (corruptibility and bribery in commercial transactions), §§ Sections 299a and 299b of the Criminal Code (corruptibility, bribery and bribery in the health sector),
7. § Section 108e of the Criminal Code (corruption and bribery of mandate holders),
8. sections 333 and 334 of the Criminal Code (granting of advantages and bribery), in each case also in conjunction with section 335a of the Criminal Code (foreign and international officials),
9. Article 2 § 2 of the Act on Combating International Bribery (Bribery of Foreign Members of Parliament in Connection with International Business Transactions) or
10. sections 232, 232a paragraphs 1 to 5, sections 232b to 233a of the Criminal Code (trafficking in human beings, forced prostitution, forced labour, exploitation of labour, exploitation using deprivation of liberty),

I/we am/are aware that a conviction or the imposition of a fine within the meaning of the aforementioned regulations shall be equivalent to a conviction or the imposition of a fine under the comparable provisions of other States.

□ I/we declare that my/our company has fulfilled its obligations to pay taxes, duties or social security contributions and there is no legally binding court or final administrative decision in this respect or my/our company has fulfilled its obligations in that I/we have committed to pay the taxes, duties and social security contributions including interest late fees and penalties.

1. I/we declare that

□ my/our company has not violated applicable environmental, social or labour law obligations in the execution of public contracts has violated applicable obligations under environmental, social or labour law - in particular also under the Posted Workers Act, the Residence Act, the Minimum Wage Act and the Act to Combat Clandestine Employment,

□ my/our company is not insolvent, no insolvency proceedings or comparable proceedings have been applied for or opened against the company's assets, the opening of such proceedings has not been rejected for lack of assets, the company is not in liquidation proceedings and has not ceased its activities,

□ my/our company has not committed any serious misconduct in the course of professional activity which calls into question the integrity of the company[4] ,

□ my/our company has not entered into any agreements with other companies or concerted practices which have as their object or effect the prevention, restriction or distortion of competition,

□ there is no conflict of interest in the conduct of the procurement procedure which could affect the impartiality and independence of a person acting on behalf of the contracting authority in the conduct of the procurement procedure

□ my/our company was not already involved in the preparation of the award procedure or that this does not result in a distortion of competition,

□ my/our company has not substantially or persistently failed to fulfil an essential requirement in the performance of a previous public contract or concession contract and this has led to early termination, damages or a comparable legal consequence,

□ my/our company has not committed any serious deception with regard to grounds for exclusion or selection criteria and has not withheld any information and is able to provide the required evidence,

□ my/our company has not attempted or will not attempt to improperly influence the decision-making of the contracting authority or to obtain confidential information through which the company could gain improper advantages in the procurement procedure,

□ my/our company has not made or will not make any misleading or inaccurate statements in the award procedure.

□ that the prerequisites for an exclusion according to § 22 para. 1 of the Supply Chain Sourcing Obligations Act (Lieferkettensorgfaltspflichtengesetz) are demonstrably not met

□ I/we declare that there is a reason for exclusion for my/our company pursuant to number 1 and/or 2 of this form however, I/we have/we have taken measures for self-cleaning for my/our company, by which the reliability of my/our company has been restored.

1. I/we am/are aware that no information has yet been obtained from the awarding authority regarding any previous exclusions of my/our company from award procedures or misconduct that may lead to entries in the Competition Register (Wettbewerbsregister)

□ I/We hereby affirm that there is no misconduct that could justify my/our exclusion from participation in the competition[5] or could lead to an entry in the Competition Register . [6]

I/we am/are aware that the incorrectness of the above declarations may lead to my/our exclusion from the award procedure as well as to the termination without notice of any contract awarded due to breach of a contractual accessory obligation for good cause and may result in notification of the exclusion and the exclusion period to the Competition Register.

I/We undertake to require the above declarations under 1. to 3. also from subcontractors and to submit them before conclusion of the contract.

Hint:

Provided you are in one of the above situations, you may also provide evidence that you have taken sufficient measures to ensure that, despite the existence of a relevant ground for exclusion, it does not apply. For this purpose, you shall provide evidence that you have paid or undertaken to pay compensation for any damage caused by a criminal offence or misconduct, that you have comprehensively clarified the facts and circumstances by actively cooperating with the investigating authority and that you have taken concrete technical, organizational and personnel measures suitable to prevent further criminal offences or misconduct. This proof must be attached to the application together with the self-declaration.

Tenderers are requested to note that, prior to concluding the Framework Agreements based on the procurement procedure, Tenderers, as well as members of their administration or management, or persons exercising representative, managerial or regulatory authority therein, selected to the Framework Agreement shall at the request of the client be obliged to provide extracts from the criminal records issued by the competent authority of the country of origin or establishment of a Candidate or Tenderer, of a member of an administrative, managerial or supervisory body thereof, or of a person exercising representative, managerial or regulatory authority therein, in order to ensure that the offences or defaults listed above do not concern the Tenderer or its administration or management or other representatives. The extract from criminal records may not be more than twelve months old. If the foregoing extract or certificate is not issued in the country of establishment of a Candidate or Tenderer, then a sworn statement or solemn declaration by the representative of the Candidate or Tenderer under the legislation of the country of establishment shall be acceptable as alternative evidence.

Place and date function, name of the declaring party, company

Form III Declaration on Section 19 (3) MiLoG

(The form is to be completed by each company with a role in the procurement process. The form must be reproduced if necessary).

Pursuant to Section 19 (3) MiLoG, contracting authorities must request information from the Central Trade Register on the applicant's record of legally binding decisions imposing fines for an administrative offence under Section 21 (1) or (2) MiLoG or demand a declaration from them that the conditions for exclusion under Section 19 (1) MiLoG are not met.

__________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

□ Subcontractor with suitability lending

□ Subcontractor without suitability lending

□ Suitability lender only

I/We declare that

□ the requirements for exclusion under section 19 (1) MiLoG are demonstrably not met.

□ I/we have taken note of the fact that, even in the event of a declaration, contracting authorities may at any time additionally request information from the Central Trade Register pursuant to Section 150a of the Trade Regulation Act in the currently valid version.

I/we understand that the above regulations are equivalent to comparable violations of the requirements of minimum wage regulations of other states.

__________________________________________________________________________

Place and date function, name of the declaring party ,company

Form IV Declaration on third party liability insurance

(The form must be completed by each applicant. In the case of consortia, the form may be completed by each member or by the consortium as such).

__________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

I/We declare that I/we

□ have a Public, Product and Pollution Liability Insurance with

______________________________________________________________

(Please enter name of the insurer)

with at least EUR 10 Mio. insured per occurrence and in the annual aggregate.

□ in the event that the order is placed we will take without delay a Product and Pollution Liability Insurance with

______________________________________________________________

(Please enter name of insurer)

with at least EUR 10 Mio. per occurrence and in the annual aggregate. t__________________________________________________________________________

Place and date function, name of the declaring party, company

Form V Declaration of turnover

(The form must be completed by each applicant. In the case of consortia, the form may be completed by each member or by the consortium as such. The form must be completed by the borrower in the case of economic and/or financial suitability lending).

NOTE: A minimum total turnover of 30 M€/year Euro (net) must have been reached or exceeded in each of the last 3 completed financial years.

__________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□Applicant / applicant consortium

□Member of an applicant group

□Suitability lender in economic-financial terms

__________________________________________________________________________

place and date function, name of the declaring party, company

Form VI Self-declaration on the company

(The form is to be completed by each company with a role in the procurement process. The form must be reproduced if necessary. Where provided for or necessary, explanations may/must be given in annexes to be prepared by the enterprise itself).

_________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

□ Subcontractor with suitability lending

□ Subcontractor without suitability lending

With regard to Sustainability and business principles minimum requirements I/we confirm the following:

I/We accept the Uniper Supplier Code of Conduct (Appendix 2) and commit to act accordingly.

□ yes □ no

2. Trade Sanctions

I/we confirm that the Supplier or its owners, ultimate beneficiaries, subcontractors, affiliates or their respective officers, directors or representatives is not subject of any trade sanctions (including but not limited to trade embargoes, asset blocking/freezing, and other financial restrictions, foreign trade controls, export controls) imposed under any law, regulation, decree, ordinance or legally binding order, rule or requirement of the United Nations or under the laws of the European Union, any EU Member State (e.g. German national legislation on trade sanctions), United Kingdom, or Switzerland, or other European country.

□ yes □ no

Remarks of the Candidate, if “no” is ticket:

1. In relation to the Quality Management System, I/we declare that we have ISO 9001 or corresponding certified operating procedures issued by an accredited body. I/We enclose a copy of the certification document with the participation papers.

□ yes □ no

In the event that a certificate equivalent to ISO 9001 is available, the candidate shall provide explanations in this regard below:

1. In relation to Environmental Management Measures System, I/we declare that we have ISO 14001 or corresponding certified operating procedures issued by an accredited body. I/We enclose a copy of the certification document with the participation papers.

□ yes □ no

In the event that a certificate equivalent to ISO 14001 is available, the candidate shall provide explanations in this regard below:

1. In relation to a valid occupational health and safety (OH&S) management system applied by the company during execution of the contract I/we declare that we have ISO 45001 or corresponding certified operating procedures, for all the manufacturing sites, issued by an accredited body. I/We enclose a copy of the certification document with the participation papers.

□ yes □ no

In the event that a certificate equivalent to ISO 45001 is available, the candidate shall provide explanations in this regard below:

1. I/we declare, that the bidder and its business/company have the technical and professional qualification to produce PV modules with the technical requirements described in item 6 of clause 4.1 described in the RFI document and declare that it has already produced PV modules with such minimum requirements.

□ yes □ no

1. I/we declare, that I/we have an established Product Qualification Program (PQP) for my/our PV modules in the product portfolio, based on Highly Accelerated Life Tests as per IEC TS 63209-1 or similar to ensure product reliability and that it is being carried out by a third party or in-house.

□ yes □ no

Give below a short description of the test sequences and pass/fail criteria adopted. Confirm if the PQP:

1. I/we confirm that I/we hold the following IEC Certifications for our PV modules:

• IEC 61215 (all applicable parts): Terrestrial photovoltaic (PV) modules – Design qualification and type approval;

□ yes □ no

• IEC 61730-1, -2: Photovoltaic (PV) module safety qualification, Part 1: Requirements for construction, Part 2: Requirements for testing;

□ yes □ no

• CE Mark

□ yes □ no

I/We enclose copies of the above mentioned certificate documents with the participation papers.

1. I/we confirm that we provide a product warranty of at least 10 years for defect on the modules and 25 years of module performance warranty backed by third party insurance. I/We know, that the performance warranty shall be specifically a warrant and indemnity insurance against excessive loss of output of PV Module

We are aware that longer warranty periods may be a criterion for the award of contracts in the context of mini-competitions and that the contracting parties reserve the right to agree longer warranty periods for individual orders under the framework contract.

□ yes □ no

1. I/We declare that I/we

□ specifically hold a warrant and indemnity insurance against excessive loss of output of PV Modules

______________________________________________________________

(Please enter name of the insurer)

I/We enclose copies of the standard warranty conditions and insurance confirmation letter with the participation papers.

□ in the event that an order under a framework agreement is placed we will take without delay a warrant and indemnity insurance against excessive loss of output of PV Module with the contractually agreed annual coverage amount if there is no corresponding insurance cover already in place. __________________________________________________________________________

1. I/We confirm, that our company has the technical and professional qualification to produce PV modules according to the minimum technical requirements and confirm that our company has already produced PV modules with such minimum requirements (as described in item 6 of the RFI document)

□ yes □ no

1. I/We confirm, that our company is able and also organizationally set up to deliver the PV modules to Europe in accordance with the Incoterms DDP.

□ yes □ no

1. I/We confirm, that our company allows, in the event of an order, a third-party inspector to perform all tests and inspections listed in the Quality Assurance Document in the Supplier’s factory or third-party lab, in compliance with IEC standards.

□ yes □ no

__________________________________________________________________________

place and date function, name of the declaring party, company

Form VII Self-declaration Company references

(The form must be completed by each applicant. In the case of consortia, it may be completed by each member or by the consortium as such. In the case of technical suitability lending, the form must be completed by the borrower. If necessary, additional sheets or own documents may be used as attachments for the description/presentation and further reference projects. The form must be copied if necessary).

NOTE: At least a self-declaration on company references must be submitted, covering the following areas: a) the candidate has cumulatively delivered at least 500 MWp of PV modules for PV utilization projects in Europe within the last 3 years b) the end of each reference project is no longer than 3 years in the past from the deadline of the request to participate. This is a minimum requirement.

_________________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

□ Subcontractor with suitability lending

All fields must be filled in! The information must be verifiable.

Reference no.: _____________

Order/project designation:

Client (Indication of the name and whether it belongs to the private or public sector):

Delivery quantity:

Performance period:

Contact person:

Address:

Telephone of the contact person:

E-mail of the contact person:

The named company reference includes (please tick!):

a) Services comprising [...] [with a power of at least [...]],

□ yes □ no

b) the end of the project is not more than 3 years in the past from the date of the announcement. past,

□ yes □ no

c) all comparable services have been provided in the same project.

□ yes □ no

Description of the (respective) assignment/project and presentation of the services rendered.

__________________________________________________________________________

Place and date function, name of the declaring party, company

Form VIII Self-declaration Qualification for the preparation of the necessary documents relevant for approval in compliance with the laws, ordinances and regulations applicable at the project location

(The form must be completed by each applicant. In the case of consortia, it may be completed by each member or by the consortium as such. In the case of technical suitability lending, the form must be completed by the borrower. If necessary, additional sheets or own documents may be used as attachments for the description/presentation and further reference projects. The form must be copied if necessary).

_________________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

□ Subcontractor with suitability lending

I/We declare that

the qualification required for the execution of the order to prepare the necessary documents relevant for approval in compliance with the laws, ordinances and regulations applicable at the project location is available.

__________________________________________________________________________

Place and date function, name of the declaring party, company

Form X Self-declaration Qualification on the use of the SI system of units for all technical specifications and documentation

(The form must be completed by each applicant. In the case of consortia, it may be completed by each member or by the consortium as such. In the case of technical suitability lending, the form must be completed by the borrower. If necessary, additional sheets or own documents may be used as attachments for the description/presentation and further reference projects. The form must be copied if necessary).

_________________________________________________________________________________

(enter company)

Role of the company in the award procedure:

□ Applicant

□ Member of an applicant group

□ Subcontractor with suitability lending

I/We declare that

• the qualification on the use of the [...] required for the execution of the order is available for all technical specifications and documentation.

__________________________________________________________________________

Place and date function, name of the declaring party, company

Form XI List of subcontractors and suitability lenders

A candidate or a group of candidates may use other companies as subcontractors and/or suitability lenders. These must be named in the request to participate using this form.

Note: With regard to the submission of additional documents, three cases must be distinguished:

Case 1: For the appointment of a subcontractor without a subcontracting agreement, the candidate must additionally submit for each subcontractor: all the documents listed under section III. 1.1 of the EU-wide notice (i.e. forms I, II, III and extract from the commercial register) as proof of the subcontractor's reliability and compliance with the law.

Case 2: For the designation of a company as a subcontractor with a subcontracting agreement on the basis of technical and/or professional capacity, the candidate must additionally submit: (i) the documents referred to in Section III. 1.3 of the EU-wide notice for this third party to the extent that the candidate relies on the capacities of the third party to prove capacity (i.e. Forms VI - X), (ii) the documents listed in Section III. 1.1 of the EU-wide notice, in each case all also from this designated third party (i.e. Forms I, II, III and extract from the commercial register), (iii) a declaration of commitment from the subcontractor using Form XII.

Case 3: For the designation of a company as the Qualifying Lender with regard to economic and financial capacity, the candidate must additionally submit: (i) Form V in accordance with Section III. 1.2 of the EU-wide notice, (ii) the documents listed under Section III. 1.1 of the EU-wide notice, in each case all from the Qualifying Lender (i.e. Forms I, II, III and extract from the commercial register), (iii) a declaration of commitment from the subcontractor using Form XIII.

It should be noted that another company may not only be an independent company that is legally distinct from the applicant, but may also be an affiliated/affiliated company.

• Continued on next page.

We nominate the following companies as suitability lenders and / or subcontractors:

• duplicate if necessary.

__________________________________________________________________________

place and date function, name of the declaring party, company

Form XII

Declaration of commitment of the third party to qualitative selection loan of the technical and professional capacity

Company of the applicant: _____________________________________

Company of the committing third party :_____________________________________

The qualitative selection loan exists for the candidate with regard to the following evidence of the technical and professional capacity of the candidates/the group of candidates in accordance with the EU-wide call for tenders (cf. Section III. 1.3 there):

In the event of the contract being awarded to the above-mentioned applicant/community of applicants, we undertake to be available to the applicant/community of applicants without restriction with the capabilities (resources/capacities) of our company for the duration of the performance of the contract and to carry out the specified partial services ourselves.

We have enclosed the other necessary documents concerning our company. These are all declarations and evidence pursuant to Section III. 1.1 and Section III. 1.3 of the EU-wide notice, insofar as reference is made thereto.

__________________________ _________________________________

(place, date) (name of the declaring third party, company)

Form XIII

Declaration of commitment of the third party to Suitability loan of the economic and financial capacity

Company of the applicant: _____________________________________

Company of the committing third party :_____________________________________

The suitability loan exists for the candidate with regard to the following evidence of the economic and financial capacity of the candidates/the group of candidates in accordance with the EU-wide notice (cf. Section III. 1.2 there):

We undertake to be jointly and severally liable with the applicant/contractor to the contracting authority in the event of the contract being awarded to the above-mentioned applicant/the above-mentioned group of applicants.

We have enclosed the other necessary documents concerning our company. These are all declarations and proofs according to section III. 1.1 and form V.

__________________________ _________________________________

(place, date) (name of the declaring third party, company)

Information due to the collection of personal data pursuant to Articles 13 and 14 of the General Data Protection Regulation (Regulation (EU) 2016/679 of

27 April 2016)

The contracting authority is required to collect and process personal data within the framework of the award procedure. It is therefore also required to inform the candidate / group of candidates as well as possible subcontractors about the processing of data in accordance with Art. 13, 14 of the General Data Protection Regulation (GDPR). The candidate / group of candidates as well as possible subcontractors are requested to forward this information to their employees whose data will be transmitted in the context of this award procedure and to bring it to their attention.

The client and thus the responsible party for data processing is Uniper Kraftwerke GmbH, Holzstraße 6, 40221 Düsseldorf. You can contact the data protection officer at the e-mail address dataprotection@uniper.energy or at the address Uniper SE - Attn: Data Protection Officer -, Holzstraße 6, 40221 Düsseldorf.

The personal data provided to the contracting authority by the candidate / group of candidates and possible subcontractors shall be processed for the purpose of implementing the award procedure. The legal basis for this is Art. 6 para. 1 lit. c), para. 3 DSGVO. As an applicant or bidder, you are obliged to provide the required information. If you do not provide this information, your tender / application to participate may be excluded from the further award procedure in accordance with the provisions of public procurement law.

Within the framework of the award procedure, the contracting authority collects and processes in particular the data specified in Forms I - XIII. This is done for the purpose of carrying out the award procedure. The data will be taken into account, among other things, in the evaluation of the submitted application for participation / tender, to enable any necessary contact to be made and to verify the submitted declarations and evidence.

The storage period of the collected data is based on the respective statutory retention periods. After expiry of this period, the data is deleted by us unless it is still required for the fulfilment or execution of the contract or for other purposes notified at the time of collection. As a rule, the retention period is three to five years.

Personal data is transmitted if it is necessary for the implementation of the award procedure. Disclosure to third parties therefore takes place, if necessary, to consultants or technicians for the purpose of verifying the information provided and comparing it with the requirements set. In all award procedures, the characteristics and advantages of the successful bid as well as the name of the successful bidder must be communicated upon request of the bidders who have not been considered for the award (Section 134 GWB).

In accordance with Art. 15 of the GDPR, you have the right to obtain information about the personal data stored about you, including any recipients and the planned storage period. Should incorrect personal data be processed, you have the right to rectification in accordance with Art. 16 DSGVO. If the legal requirements are met, you may request the deletion or restriction of processing as well as object to processing (Art. 17, 18 and 21 DSGVO). You can also lodge a complaint with a supervisory authority in accordance with Art. 77 DSGVO. If you are of the opinion that the client does not comply with the legal provisions when processing your data or that data protection claims have otherwise been violated in some way, you can contact the data protection supervisory authority responsible for your country. You can find the relevant contact details here: https://www.bfdi.bund.de/DE/Infothek/Anschriften\_Links/anschriften\_links-node.html. As a rule, the data subject can contact the supervisory authority of his or her usual place of residence or our registered office for this purpose.

Form XIV (reviewed on 18.03.24)

Sanctions - self-declaration on the lack of reference to Russia

(from all applicants / bidders / all members of applicant or bidder consortia)

**Name of the award procedure / contract:

Business reference of the contracting authority:**

In accordance with Article 5(k)(1) of Regulation (EU) No 833/2014 as amended by Article 1(23) of Council Regulation (EU) 2022/576 of 8 April 2022 concerning restrictive measures in view of Russia's actions destabilising the situation in Ukraine,

I/we hereby submit the following binding declaration (if applicable, also on behalf of the persons represented in the participation application / tender):

1.the applicant (s )/tender(s) does/do not belong to the

named persons or undertakings having a connection with Russia within the meaning of the provision,

1. by the Russian nationality of the applicant/tenderer or the establishment of the applicant/tenderer in Russia,

2. through the participation of a natural person or a company to which one of the criteria under letter a applies in the candidate/tenderer via the holding of shares (directly or indirectly) to the extent of more than 50%,

3. by the candidates/tenderers acting on behalf of or at the direction of persons or undertakings to whom the criteria in points (a) and/or (b) apply.

4. Companies participating in the contract as subcontractors, suppliers or companies whose capacities are used in connection with the provision of proof of suitability and which account for more than 10% of the contract value are also not included in the group of persons with a connection to Russia within the meaning of the provision.

5. It is confirmed and ensured that, also during the term of the contract**,** no companies involved as subcontractors, suppliers or companies whose capacities are used in connection with the provision of the proof of suitability are used which account for more than 10 % of the contract value.

6. The Bidder confirms it complies with all applicable laws and regulations regarding export control, export and import restrictions, embargoes and economic sanctions (“Sanctions”) including without limitation any Sanctions imposed by the United Nations, the European Union, the Federal Republic of Germany, as well as the United Kingdom, the United States to the extent the sanctions in question have been adopted against a country also subject to UN, EU or German sanctions and/or compliance with such Sanctions constitutes a violation of Regulation (EC) No, 2271/96, or any comparable legislation of the EU.

The Bidder represents and warrants, at the date of this contract and throughout its duration, that the Bidder nor any of their subsidiaries and/or sub supplier(s) and /or any director, officer or legal representative of the Bidder is not subject to Sanctions and the Bidder is not owned, controlled or acting on behalf of or at the direction of a person subject to Sanctions.

The Bidder shall immediately inform Uniper if he becomes aware of any event which would not be compliant with, in violation of, inconsistent with, or expose either party to punitive measures under such Sanctions.

___________________________________________________________________

place and date function, name of the declaring party, company

Article 5k of Regulation (EU) No 833/2014, as amended by Article 1(23) of Council Regulation (EU) 2022/576 of 8 April 2022, reads as follows:

(1) It shall be prohibited to award public contracts or concessions falling within the scope of the public procurement Directives and under Article 10(1), (3), (6)(a) to (e), (8), (9) and (10) and Articles 11, 12, 13 and 14 of Directive 2014/23/EU, under Articles 7 and 8, Article 10(b) to (f) and (h) to (j) of Directive 2014/24/EU, Article 18, Article 21(b) to (e) and (g) to (i), Article 29 and Article 30 of Directive 2014/25/EU and Article 13(a) to (d), (f) to (h) and (j) of Directive 2009/81/EC to the following persons, entities or bodies. continue to perform contracts with such persons, entities or bodies:

(a) Russian nationals or natural or legal persons, entities or bodies established in Russia,

(b) any legal person, entity or body in which more than 50 % of the shares are owned, directly or indirectly, by an entity referred to in point (a); or

(c) natural or legal persons, entities or bodies acting on behalf or at the direction of one of the organisations referred to in points (a) or (b),

including those accounting for more than 10 % of the contract value, subcontractors, suppliers or undertakings whose capacities are used within the meaning of the public procurement directives.

(2. By way of derogation from paragraph 1, the competent authorities may authorise the award or continued performance of contracts intended for

(a) the operation of civil nuclear capabilities, their maintenance, their decommissioning, the management of their radioactive waste, their supply and reprocessing of fuel elements and the continuation of the design, construction and acceptance testing for the commissioning of civil nuclear facilities and their safety, as well as the supply of source materials for the production of medical radioisotopes and related medical applications, critical technologies for radiological environmental monitoring and for civil nuclear cooperation, in particular in the field of research and development,

(b) intergovernmental cooperation in space programmes,

(c) the provision of essential goods or services where they can be provided exclusively or only in sufficient quantity by the persons referred to in paragraph 1,

(d) the activities of diplomatic and consular missions of the Union and of the Member States in Russia, including delegations, embassies and missions, or of international organisations in Russia enjoying immunity under international law.

(e) the purchase, import or transport of natural gas and petroleum, including refined petroleum products, and titanium, aluminium, copper, nickel, palladium and iron ore from or through Russia to the Union; or

(f) the purchase, import or transport of coal and other solid fossil fuels listed in Annex XXII until 10 August 2022.

(3. The Member State concerned shall inform the other Member States and the Commission of any authorisation granted under this Article within two weeks of its grant.

(4) The prohibitions in paragraph 1 shall not apply to the performance, until 10 October 2022, of contracts concluded before 9 April 2022.

Form XV

Brief description of the nature and duration of the

Supplier’s module manufacturing experience

(at least 5 years of module manufacturing experience by 31 Dec 2023 and the annual production capacity as of 01 Jan 2024 shall be at least 5 GWp)

1. mark with a cross where applicable ↑

2. The conduct of a person convicted by final judgment is attributable to an enterprise if that person acted as a person responsible for the management of the enterprise; this also includes the supervision of the management or the other exercise of controlling powers in a managerial position. ↑

3. A conviction or the imposition of a fine shall be equivalent to a conviction or the imposition of a fine under the comparable provisions of other States. ↑

4. see footnote 1 ↑

5. Misconduct which usually leads to the exclusion of the candidate or tenderer from participation in the award procedure are - irrespective of the form of participation, in the case of companies also irrespective of the function of the perpetrator or participant - in particular:

   • Criminal offences committed in or in relation to business transactions, including fraud, subsidy fraud, breach of trust, falsification of documents, agreements restricting competition in award procedures, bribery - also in business transactions - or granting of advantages,
   • offering, promising or granting unlawful advantages to persons who are close to public officials or persons obliged to perform public service, or to freelance professionals who act on behalf of a public contracting authority when awarding contracts.

   Violations of the Act against Restraints of Competition, including agreements on the submission or non-submission of bids, as well as the provision of specific planning and tendering assistance intended to influence competition, will lead to exclusion if facts also indicate unlawful or unfair influence on the award procedure. ↑

6. An entry in the Competition Register may also be made irrespective of an exclusion from an award if the requirements of Section 5 of the Act to Improve the Fight against Corruption and to Establish and Maintain a Public Procurement Register in North Rhine-Westphalia (Corruption Prevention Act - KorruptionsbG) are met. According to this law, misconduct is deemed to have occurred if, in the course of a business activity, a natural person

   1. Criminal offences under sections 331-335 (acceptance of benefits, bribery, granting of benefits, bribery), 261 (money laundering, concealment of unlawfully acquired assets), 263 (fraud), 264 (subsidy fraud), 265 b (loan fraud), 266 (embezzlement), 266 a (withholding and embezzlement of pay), 298 (agreements restricting competition in tenders), 299 (corruption and bribery in business transactions), 108e (bribery of members of parliament) StGB and under section 370 of the Tax Code,

   2. under sections 19, 20, 20 a and 22 of the War Weapons Control Act,

   3. violations of Section 81 of the Act against Restraints of Competition (GWB),

   4. violations of section 16 of the Temporary Employment Act,

   5. violations that may lead or have led to an exclusion pursuant to Section 21 of the Act to Combat Clandestine and Illegal Employment (Schwarzarbeitsbekämpfungsgesetz - SchwarzArbG) or pursuant to Section 21 of the Posted Workers Act,

   6. violations leading to exclusion pursuant to section 13 subsections 1 and 2 or section 16 subsection 1 of the North Rhine-Westphalia Tariff Compliance and Procurement Act.

   An entry is made in the case of misconduct within the meaning of section 5, paragraph 1, nos. 1-5 of the Corruption Act (see also footnote 4).

   1. on admission of the indictment

   2. in the event of a criminal conviction

   3. upon issuance of a penalty order

   4. in the event of discontinuation of the criminal proceedings pursuant to section 153 a of the Code of Criminal Procedure (StPO).

   5. after a penalty notice has become final or

   6. for the duration of criminal or fine proceedings, if in the individual case, in view of the evidence at the reporting office, there is no reasonable doubt of serious misconduct and the investigating authority or the administrative authority responsible for the fine proceedings does not consider the purpose of the investigation to be jeopardised. ↑