1、 Reference number ISO 10845-5:2011(E) ISO 2011INTERNATIONAL STANDARD ISO 10845-5 First edition 2011-01-15 Construction procurement Part 5: Participation of targeted enterprises in contracts Marchs de construction Partie 5: Participation des entreprises cibles aux contrats ISO 10845-5:2011(E) PDF dis
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5、TECTED DOCUMENT ISO 2011 All rights reserved. Unless otherwise specified, no part of this publication may be reproduced or utilized in any form or by any means, electronic or mechanical, including photocopying and microfilm, without permission in writing from either ISO at the address below or ISOs
6、member body in the country of the requester. ISO copyright office Case postale 56 CH-1211 Geneva 20 Tel. + 41 22 749 01 11 Fax + 41 22 749 09 47 E-mail copyrightiso.org Web www.iso.org Published in Switzerland ii ISO 2011 All rights reservedISO 10845-5:2011(E) ISO 2011 All rights reserved iiiContent
7、s Page Foreword iv Introduction.v 1 Scope1 2 Terms and definitions .1 3 Requirements.4 3.1 Contract participation goal.4 3.2 Achieving the contract participation goal.4 3.2.1 General .4 3.2.2 Verification of the status of targeted enterprises 4 3.2.3 Joint ventures 5 3.3 Contract participation goal
8、credits6 3.3.1 Granting of credits 6 3.3.2 Denial of credits.6 4 Compliance with requirements 7 4.1 General .7 4.2 Substitutions7 4.3 Bona fides of targeted enterprises8 5 Records 8 5.1 Submission of documentation.8 5.2 Monthly submission of supporting documentation 8 5.3 Certification of credits 8
9、5.4 Actions required upon completion of a targeted enterprisess contract with the contractor.9 6 Sanctions .9 Annex A (informative) Commentary10 Annex B (informative) Preparation of targeting data associated with this part of ISO 10845 for inclusion in the scope of work.19 Annex C (normative) Contra
10、ct participation goal implementation plan (targeting strategy A)22 Annex D (normative) Letter of undertaking from a targeted enterprise to act as a subcontractor, supplier, manufacturer or service provider27 Annex E (normative) Joint venture disclosure form .28 Annex F (informative) Examples of how
11、contractors can fulfil their contract participation goal obligations .36 Annex G (informative) Tendered contract participation goal (targeting strategy A) .38 Annex H (informative) Sample tender evaluation schedule where use is made of this part of ISO 10845 .42 Annex I (informative) Contract schedu
12、le for targeted enterprises 44 Bibliography48 ISO 10845-5:2011(E) iv ISO 2011 All rights reservedForeword ISO (the International Organization for Standardization) is a worldwide federation of national standards bodies (ISO member bodies). The work of preparing International Standards is normally car
13、ried out through ISO technical committees. Each member body interested in a subject for which a technical committee has been established has the right to be represented on that committee. International organizations, governmental and non-governmental, in liaison with ISO, also take part in the work.
14、 ISO collaborates closely with the International Electrotechnical Commission (IEC) on all matters of electrotechnical standardization. International Standards are drafted in accordance with the rules given in the ISO/IEC Directives, Part 2. The main task of technical committees is to prepare Interna
15、tional Standards. Draft International Standards adopted by the technical committees are circulated to the member bodies for voting. Publication as an International Standard requires approval by at least 75 % of the member bodies casting a vote. Attention is drawn to the possibility that some of the
16、elements of this document may be the subject of patent rights. ISO shall not be held responsible for identifying any or all such patent rights. ISO 10845-5 was prepared by Technical Committee ISO/TC 59, Buildings and civil engineering works. ISO 10845 consists of the following parts, under the gener
17、al title Construction procurement: Part 1: Processes, methods and procedures Part 2: Formatting and compilation of procurement documentation Part 3: Standard conditions of tender Part 4: Standard conditions for the calling for expressions of interest Part 5: Participation of targeted enterprises in
18、contracts Part 6: Participation of targeted partners in joint ventures in contracts Part 7: Participation of local enterprises and labour in contracts Part 8: Participation of targeted labour in contracts ISO 10845-5:2011(E) ISO 2011 All rights reserved vIntroduction Procurement is the process which
19、 creates, manages and fulfils contracts. Procurement can, as such, be described as a succession of logically related actions occurring or performed in a definite manner and which culminate in the completion of a major deliverable or the attainment of a milestone. Processes, in turn, are underpinned
20、by methods (i.e. a documented, systematically-ordered collection of rules or approaches) and procedures (i.e. the formal steps to be taken in the performance of a specific task), which are informed and shaped by the policy of an organization. Methods and procedures can, likewise, be documented and l
21、inked to processes. It is becoming increasingly more important to consider procurement-related deliverables other than those relating to the primary purpose of the procurement itself, particularly those relating to poverty reduction, job creation, local economic development and local industry develo
22、pment. Key performance indicators relating to the engagement of enterprises, joint venture partners, local resources and local labour in contracts are needed to set targets in contracts or to measure procurement outcomes. Processes, procedures and methods are required to quantify, measure and verify
23、 a contractors performance in relation to such indicators in an auditable manner. INTERNATIONAL STANDARD ISO 10845-5:2011(E) ISO 2011 All rights reserved 1Construction procurement Part 5: Participation of targeted enterprises in contracts 1 Scope This part of ISO 10845 establishes a key performance
24、indicator, in the form of a contract participation goal (CPG), relating to the engagement of targeted enterprises on a contract for the provision of goods, services or engineering and construction works. A CPG may be used to measure the outcomes of a contract in relation to the engagement of targete
25、d enterprises or to establish a target level of performance for the contractor to achieve or exceed in the performance of a contract. This part of ISO 10845 sets out the methods by which the key performance indicator is measured, quantified and verified in the performance of the contract with respec
26、t to two different targeting strategies: targeting strategy A and targeting strategy B (defined in Clause 2). NOTE Annex A contains a commentary on the clauses in this part of ISO 10845. Annex B provides guidance on how to develop the targeting data for a procurement document using this part of ISO
27、10845. 2 Terms and definitions For the purposes of this document, the following terms and definitions apply. 2.1 allowance amount provided for in the contract by the employer relating to one or more of the following: a) the performance by the contractor of work or services that are foreseen but cann
28、ot be accurately specified at the time that the contract was entered into; b) work or services to be performed, or goods provided, by a subcontractor who is either nominated by the employer or is selected by the employer in consultation with the contractor after the award of the contract; c) provisi
29、on for price adjustment for inflation; or d) other budgetary provisions intended to cover employer risks. 2.2 commercially useful function performance of real and actual work, or the provision of services, in the discharge of any contractual obligation which includes, but is not limited to, the perf
30、ormance of a distinct element of work which the enterprise has the skills and expertise to undertake and the responsibility for management and supervision ISO 10845-5:2011(E) 2 ISO 2011 All rights reserved2.3 contract amount financial value of the contract a) at the time of the award of the contract
31、, exclusive of all allowances and any value added tax or sales tax which the law requires the employer to pay to the contractor (targeting strategy A); or b) upon completion of all contractual obligations, exclusive of any value added tax or sales tax which the law requires the employer to pay to th
32、e contractor (targeting strategy B) 2.4 contract participation goal CPG value of goods, services and works for which the contractor contracts targeted enterprises exclusive of any value added tax or sales tax which the law requires the employer to pay to the contractor, expressed as a percentage of
33、the contract amount associated with the targeting strategy that is identified in the targeting data 2.5 contractor person or organization that contracts to provide the goods, services or engineering and construction works covered by the contract 2.6 control possession and exercise of legal authority
34、 and power to manage the assets, goodwill and daily operations of an enterprise, and the active and continuous exercise of appropriate managerial and financial authority and power in determining the policies and directing the operations of the said enterprise 2.7 employer person or organization ente
35、ring into the contract with the contractor for the provision of goods, services, or engineering and construction works 2.8 employers representative person authorized to represent the employer and named as such in the contract data or targeting data 2.9 joint venture grouping of two or more contracto
36、rs acting as one legal entity, where each is liable for the actions of the other ISO 6707-2:1993, definition 3.4.22 2.10 manufacturer sole trader, partnership or legal entity that operates or maintains a factory or establishment that produces on its premises, goods required in terms of the contract
37、2.11 main contractor contractor who subcontracts part of his contract ISO 6707-2:1993, definition 3.8.13 2.12 ownership legal right of possession, including the right of disposition, and sharing in all the risks and profits commensurate with the degree of ownership interest or shareholding, as demon
38、strated by an examination of the substance, rather than the form, of ownership arrangements ISO 10845-5:2011(E) ISO 2011 All rights reserved 32.13 participation parameter fraction of the contract or subcontract which may be used to represent the value of the contribution and value of the commerciall
39、y useful function performed by targeted partners in a joint venture 2.14 supplier sole trader, partnership or legal entity that owns, operates or maintains a store, warehouse or other establishment in which goods are bought, kept in stock and regularly sold to wholesalers, retailers or the public (o
40、r all three) in the usual course of business 2.15 targeted enterprise sole trader, partnership or legal entity which is engaged in the performance of the contract and defined as the target group in the targeting data 2.16 targeted enterprise declaration affidavit affidavit, of the format provided fo
41、r in the procurement documents, which confirms the bona fides of a targeted enterprise 2.17 targeted partner targeted enterprise functioning as a partner in a joint venture 2.18 targeting data data, provisions and variations that make this part of ISO 10845 applicable to a particular contract (see A
42、nnex B) 2.19 targeting strategy an approach which is pursued to make a contract participation goal an obligation of contract 2.19.1 targeting strategy A targeting strategy which a) involves the granting of tender evaluation points by the employer in the evaluation of tender offers in return for the
43、tendering of a contract participation goal or an undertaking to attain a specified contract participation goal at the time that tenders are evaluated, or b) requires a contractor to achieve a minimum specified goal in the performance of a contract, or c) involves both (a) and (b) 2.19.2 targeting st
44、rategy B targeting strategy which a) involves the payment of a financial incentive to a contractor for the attainment of a specified contract participation goal, or b) requires the contractor to record and report on the quantum of work generated for targeted labour NOTE Targeting strategy A bases th
45、e contract participation goal on the tendered amount minus allowances, i.e. on the expenditure which the contractor can commit to at tender stage. This strategy allows the employer to adjust the contract participation goal to take account of any failure to achieve such goal in the performance of the
46、 contract due to factors which are beyond the contractors control or are unforeseen at tender stage. Targeting strategy B measures the contract participation goal based on the final contract value. Targeting strategy A accordingly measures the performance ISO 10845-5:2011(E) 4 ISO 2011 All rights re
47、servedof contractors in the engagement of targeted labour in relation to that which can be committed to at tender stage, whereas targeting strategy B does so in relation to that which is finally achieved. 3 Requirements 3.1 Contract participation goal The contractor shall engage targeted enterprises
48、 directly or indirectly in the performance of the contract to the extent that the total monetary value of such engagements, exclusive of any value added tax or sales tax required by law, is sufficient to achieve the contract participation goal for the targeting strategy specified in the targeting da
49、ta. The contractor shall, in the case of targeting strategy A, submit to the employers representative details of his plan to achieve the contract participation goal, on the contract participation goal implementation plan form contained in Annex C, within five working days of being instructed to do so. If no such instructions are given, these plans shall be submitted before the submission of the first claim for payment. NOTE The information contained in the contract participation goal implementation plan facilitates, in the
