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Att upphandla kakan och ÄTA den också - Entreprenadrättsliga ÄTA-arbetens förhållande till ändringsregler i offentlig upphandling

Alfredsson, Patrik LU (2015) LAGM01 20152
Department of Law
Abstract (Swedish)
Denna uppsats utreder förhållandet mellan entreprenadrättsliga ÄTA-arbeten och upphandlingsrättsliga regler gällande ändringar i ett upphandlat kontrakt under dess löptid. I ett entreprenadavtal tillerkänns beställaren principiellt en vidsträckt ändringsbefogenhet. Denna ändringsbefogenhet tar sig i standardavtalen AB 04 och ABT 06 form av beställarens rätt att föreskriva tilläggsarbete, ändringsarbeten eller avgående arbeten(ÄTA-arbeten) vilka entreprenören både har en rättighet och skyldighet att utföra. Denna ändringsfrihet står i skarp kontrast till de upphandlingsrättsliga principerna om likabehandling och öppenhet vilka begränsar möjligheten till ändringar av ett offentligt upphandlat kontrakt under dess löptid.

Då ändringar under... (More)
Denna uppsats utreder förhållandet mellan entreprenadrättsliga ÄTA-arbeten och upphandlingsrättsliga regler gällande ändringar i ett upphandlat kontrakt under dess löptid. I ett entreprenadavtal tillerkänns beställaren principiellt en vidsträckt ändringsbefogenhet. Denna ändringsbefogenhet tar sig i standardavtalen AB 04 och ABT 06 form av beställarens rätt att föreskriva tilläggsarbete, ändringsarbeten eller avgående arbeten(ÄTA-arbeten) vilka entreprenören både har en rättighet och skyldighet att utföra. Denna ändringsfrihet står i skarp kontrast till de upphandlingsrättsliga principerna om likabehandling och öppenhet vilka begränsar möjligheten till ändringar av ett offentligt upphandlat kontrakt under dess löptid.

Då ändringar under löptiden inte är uttryckligt reglerat i LOU fokuserar utredningen på ÄTA-arbetens förhållande till EU-domstolen praxis om väsentliga ändringar och förhandlat förfarande utan föregående annonsering enligt 4 kap 8 § LOU. Dessa ställs därefter i relation till den nya regleringen om ändringar av kontrakt under löptiden i art. 72 i dir. 2014/24/EU.

Av utredningen framkommer att ÄTA-arbeten enligt gällande rätt bör kunna beställas utan ny upphandling om den ändring som ÄTA-arbetet innebär inte är väsentlig. För det fall ett ÄTA-arbete utgör en väsentlig ändring enligt EU-domstolens praxis måste detta omfattas av undantaget för kompletterande byggentreprenader i 4 kap 8 § LOU för att en ny upphandling inte ska vara nödvändig.

När ett ÄTA-arbete utgör en väsentlig ändring enligt EU-domstolen praxis är inte klart. Enskilda tilläggsarbeten eller ändringar i storlek av runt 10 % av kontraktssumman eller sådana vilka överskrider tröskelvärden för byggentreprenadkontrakt bör dock vara väsentliga. Så även om tilläggs- eller ändringsarbeten kan antas påverkat vilken anbudsgivare som godkänts, eller vars anbud antagits i det ordinarie upphandlingstillfället. Ytterligare praxis behövs dock för att ge närmare svar på denna fråga.

Det nya upphandlingsdirektivet klargör rättsläget genom en uttrycklig huvudregel med innebörden att icke-väsentliga ändringar alltid får genomföras utan nytt upphandlingsförfarande. Då ändringar vars värde understiger 15 % av kontraktsvärdet inte är väsentliga om de inte ändrar kontraktets övergripande karaktär bör många typer av mindre ÄTA-arbeten kunna genomföras utan ny upphandling. Vidare bör undantagen för kompletterande byggentreprenader och oförutsedda omständigheter medge en något större möjlighet att utan nytt upphandlingsförfarande föreskriva ÄTA-arbeten vilka utgör väsentliga ändringar. Dock kvarstår vissa oklarheter rörande tolkning av det nya direktivet. Framförallt avseende väsentlighetsbedömningen enligt art. 72(4) och vad som konstituerar ändring av kontraktets övergripande karaktär. Det finns därför ett stort behov av klargörande praxis på området. (Less)
Abstract
This thesis aims to investigate the relationship between rules regarding the possibility to amend a contract in civil construction law and public procurement rules regarding changes of a contract during its term. In Swedish standard-form contracts the constructor is given the right to order additional works or changes to the contract works, commonly abbreviated as ÄTA-works. According to the standard-form contracts the contractor has both a right and an obligation to perform ÄTA-works prescribed by the constructor. This principal freedom to amend the contract stands in stark contrast to laws regarding public procurement, where the scope of possible amendments to a contract is limited by the principle of equal treatment and the principle of... (More)
This thesis aims to investigate the relationship between rules regarding the possibility to amend a contract in civil construction law and public procurement rules regarding changes of a contract during its term. In Swedish standard-form contracts the constructor is given the right to order additional works or changes to the contract works, commonly abbreviated as ÄTA-works. According to the standard-form contracts the contractor has both a right and an obligation to perform ÄTA-works prescribed by the constructor. This principal freedom to amend the contract stands in stark contrast to laws regarding public procurement, where the scope of possible amendments to a contract is limited by the principle of equal treatment and the principle of transparency.

Since possibilities of modifying a contract during its term is not expressly regulated in the Swedish law of public procurement (LOU) or the procurement directive the main focus of thesis is case law from the European Court of Justice regarding material changes of a public contract and procurement of additional works using negotiated procedure without prior publication in Chapter 4 § 8 LOU. As well as the new rules concerning modification of contracts during their term in art. 72 of the new directive 2014/24/EU.

The conclusions that can be drawn regarding current law are that an amendment to a works contract can be made if the amendment does not constitute a material change. If the amendment constitutes a material change a new award procedure has to be made. That is, unless the circumstances allow for the use of a negotiated procedure without prior publication.

It is unclear, in relation to case law from the EU-court, under what circumstances ÄTA-works constitutes a material change to the contract. Additional works or changes of high value in relation to the total value of the contract or those that exceed thresholds for public works contracts could however generally be assumed to constitute a material change. Furthermore, ÄTA-works that introduce terms that, had they been included in the original contract, could have allowed the participation of additional candidates or acceptance of another tender should be deemed material. However, further case law is required to better answer this question.

The rules of the new public procurement directive expressively allow for changes that are not material to be made without a new award procedure. The directive seemingly allows for ÄTA-works to be carried out without a new award procedure if the value of the change is below 15% of the contract sum and the thresholds set out in the directive. This is however limited to changes that do not alter the overall nature of the contract. Furthermore, the exemptions provided seemingly allow for a greater possibility of prescribing ÄTA-works even though they are to be considered material.

Some uncertainties remain regarding how to interpret the directive. Chiefly, the circumstances under which ÄTA-works are to be considered material according to article 72(4) and the types of changes that can alter the “overall nature of the contract”. There is therefore a need for case law addressing these questions. (Less)
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author
Alfredsson, Patrik LU
supervisor
organization
course
LAGM01 20152
year
type
H3 - Professional qualifications (4 Years - )
subject
keywords
Förvaltningsrätt, EU-rätt, Förmögenhetsrätt, Offentlig upphandling, Entreprenadrätt, ÄTA-arbete, Väsentlig ändring
language
Swedish
id
8512232
date added to LUP
2016-02-02 09:59:26
date last changed
2016-02-02 09:59:26
@misc{8512232,
  abstract     = {This thesis aims to investigate the relationship between rules regarding the possibility to amend a contract in civil construction law and public procurement rules regarding changes of a contract during its term. In Swedish standard-form contracts the constructor is given the right to order additional works or changes to the contract works, commonly abbreviated as ÄTA-works. According to the standard-form contracts the contractor has both a right and an obligation to perform ÄTA-works prescribed by the constructor. This principal freedom to amend the contract stands in stark contrast to laws regarding public procurement, where the scope of possible amendments to a contract is limited by the principle of equal treatment and the principle of transparency.

Since possibilities of modifying a contract during its term is not expressly regulated in the Swedish law of public procurement (LOU) or the procurement directive the main focus of thesis is case law from the European Court of Justice regarding material changes of a public contract and procurement of additional works using negotiated procedure without prior publication in Chapter 4 § 8 LOU. As well as the new rules concerning modification of contracts during their term in art. 72 of the new directive 2014/24/EU.

The conclusions that can be drawn regarding current law are that an amendment to a works contract can be made if the amendment does not constitute a material change. If the amendment constitutes a material change a new award procedure has to be made. That is, unless the circumstances allow for the use of a negotiated procedure without prior publication.

It is unclear, in relation to case law from the EU-court, under what circumstances ÄTA-works constitutes a material change to the contract. Additional works or changes of high value in relation to the total value of the contract or those that exceed thresholds for public works contracts could however generally be assumed to constitute a material change. Furthermore, ÄTA-works that introduce terms that, had they been included in the original contract, could have allowed the participation of additional candidates or acceptance of another tender should be deemed material. However, further case law is required to better answer this question.

The rules of the new public procurement directive expressively allow for changes that are not material to be made without a new award procedure. The directive seemingly allows for ÄTA-works to be carried out without a new award procedure if the value of the change is below 15% of the contract sum and the thresholds set out in the directive. This is however limited to changes that do not alter the overall nature of the contract. Furthermore, the exemptions provided seemingly allow for a greater possibility of prescribing ÄTA-works even though they are to be considered material. 

Some uncertainties remain regarding how to interpret the directive. Chiefly, the circumstances under which ÄTA-works are to be considered material according to article 72(4) and the types of changes that can alter the “overall nature of the contract”. There is therefore a need for case law addressing these questions.},
  author       = {Alfredsson, Patrik},
  keyword      = {Förvaltningsrätt,EU-rätt,Förmögenhetsrätt,Offentlig upphandling,Entreprenadrätt,ÄTA-arbete,Väsentlig ändring},
  language     = {swe},
  note         = {Student Paper},
  title        = {Att upphandla kakan och ÄTA den också - Entreprenadrättsliga ÄTA-arbetens förhållande till ändringsregler i offentlig upphandling},
  year         = {2015},
}