ARTICLE 1: - emits - ESA
ARTICLE 1: - emits - ESA ARTICLE 1: - emits - ESA
ESA/REG/001, rev.2 Annex II, rev.1 Page 6 Additional evaluation elements can be set in specific cases (e.g. for the industrial contracts of the Guiana Space Centre), and duly reported in procurement and/or audit documentation. With respect to the above criteria it is recalled that the Convention describes that in doubtful cases the ESA Council shall decide whether an enterprise shall be considered to belong to one of the Member States, or not. For this specific task the Council has empowered the IPC, in accordance with section 7(a) of the IPC Terms of Reference (ESA/C/CLX/Res.1 (final)) This implementing instruction formalises the Agency’s audit methodology, procedure and approval process to establish the nationality of companies. ARTICLE 2: AUDIT METHODOLOGY ARTICLE 2.1: Authority to request a nationality audit The audit on the nationality of a company may be initiated at the request by / initiative of one of the following parties: The Member State having reasonable doubts on the nationality of the company and for which the ESA commitments to the company concerned are computed against its industrial return, The company, in whose opinion ESA is not considering its nationality correctly and which therefore considers that such might have effects on its ability to bid for certain procurements, ESA, when it decides to verify / re-assess the industrial reality as compared to the 4 basic criteria (plus the additional elements) set for the company as a whole and/or for specific work-packages contracted. ARTICLE 2.2: Audit Plan On the basis of the requests made by any of the parties listed in Article 2.1 above, a three-year audit plan will be proposed by the Industrial Cost Audit and Contracts Controlling Division. Such plan will be subsequently presented to and approved by the Head of Procurement Department and the Director of Resources Management and Industrial Matters. Once the annual audit plan has been approved the plan will be presented to the IPC for information. Progress reports on the conduct and outcome of the audits as well as revisions to the audit plan will be presented to the IPC on a regular basis.
ESA/REG/001, rev.2 Annex II,rev.1 Page 7 The audit plan will specify whether the audit concerns a nationality audit on the company as a whole or whether the audit relates to pre-identified work packages and/or cost elements of contract prices. ARTICLE 2.3: Audit Announcement and data to be provided by audited companies Following the inclusion in the approved audit plan, the company will be informed by letter of the intended audit. In this letter the company is requested to provide the relevant ESA auditor with the information and supporting documents required relevant to the scope of the audit. Article 2.4 of this Implementing Instruction contains a non-exhaustive list of documents requested prior to the conduct of the audit. ARTICLE 2.4: Audit steps For each of the criteria set in Article II.3 of annex to the ESA convention and recalled in Article 1 above, the following reviews will be performed by the ESA auditor when conducting a nationality of company audit such with the collaboration of the audited companies: ARTICLE 2.4.1: Location of the registered office The Company’s legal registration documentation will be reviewed as it has been presented to and validated by the respective national authorities. In addition the Company will be requested to provide the annual published company financial statements over the preceding 3 years. ARTICLE 2.4.2: Location of the decision making centres The company will be requested to provide the most recent organisational chart of the company including an overview of the shareholder structure of the mother companies and subsidiaries. With respect to the specific space related activities, the Company will be requested to provide further evidence on the decision making process and on the level of autonomy for the legal entity concerned on matters concerning the business line / company segment dealing with space activities. ARTICLE 2.4.3: Location of research centres The company will be requested to provide an overview of the location of the research centres dealing with space related research activities and in particular on the interaction between the research centre and the location where the actual development and/or production / manufacturing / assembly works takes place.
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<strong>ESA</strong>/REG/001, rev.2<br />
Annex II, rev.1<br />
Page 6<br />
Additional evaluation elements can be set in specific cases (e.g. for the industrial<br />
contracts of the Guiana Space Centre), and duly reported in procurement and/or audit<br />
documentation.<br />
With respect to the above criteria it is recalled that the Convention describes that in<br />
doubtful cases the <strong>ESA</strong> Council shall decide whether an enterprise shall be considered<br />
to belong to one of the Member States, or not. For this specific task the Council has<br />
empowered the IPC, in accordance with section 7(a) of the IPC Terms of Reference<br />
(<strong>ESA</strong>/C/CLX/Res.1 (final))<br />
This implementing instruction formalises the Agency’s audit methodology, procedure<br />
and approval process to establish the nationality of companies.<br />
<strong>ARTICLE</strong> 2: AUDIT METHODOLOGY<br />
<strong>ARTICLE</strong> 2.1: Authority to request a nationality audit<br />
The audit on the nationality of a company may be initiated at the request by / initiative<br />
of one of the following parties:<br />
The Member State having reasonable doubts on the nationality of the company and for<br />
which the <strong>ESA</strong> commitments to the company concerned are computed against its<br />
industrial return,<br />
The company, in whose opinion <strong>ESA</strong> is not considering its nationality correctly and<br />
which therefore considers that such might have effects on its ability to bid for certain<br />
procurements,<br />
<strong>ESA</strong>, when it decides to verify / re-assess the industrial reality as compared to the 4<br />
basic criteria (plus the additional elements) set for the company as a whole and/or for<br />
specific work-packages contracted.<br />
<strong>ARTICLE</strong> 2.2: Audit Plan<br />
On the basis of the requests made by any of the parties listed in Article 2.1 above, a<br />
three-year audit plan will be proposed by the Industrial Cost Audit and Contracts<br />
Controlling Division. Such plan will be subsequently presented to and approved by the<br />
Head of Procurement Department and the Director of Resources Management and<br />
Industrial Matters. Once the annual audit plan has been approved the plan will be<br />
presented to the IPC for information. Progress reports on the conduct and outcome of<br />
the audits as well as revisions to the audit plan will be presented to the IPC on a regular<br />
basis.
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