CEN TR 13833-2003 Qualification of construction enterprises《建筑施工企业资质管理的原则》.pdf

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1、PUBLISHED DOCUMENTPD CEN/TR 13833:2003Qualification of construction enterprisesICS 03.120.01, 91.010.01g49g50g3g38g50g51g60g44g49g42g3g58g44g55g43g50g56g55g3g37g54g44g3g51g40g53g48g44g54g54g44g50g49g3g40g59g38g40g51g55g3g36g54g3g51g40g53g48g44g55g55g40g39g3g37g60g3g38g50g51g60g53g44g42g43g55g3g47g36

2、g58PD CEN/TR 13833:2003This Published Document was published under the authority of the Standards Policy and Strategy Committee on 12 December 2005 BSI 12 December 2005ISBN 0 580 46738 4National forewordThis Published Document is the official English language version of CEN/TR 13833:2003.The UK part

3、icipation in its preparation was entrusted to Technical Committee B/551, Qualification of construction enterprises, which has the responsibility to: A list of organizations represented on this committee can be obtained on request to its secretary.Cross-referencesThe British Standards which implement

4、 international or European publications referred to in this document may be found in the BSI Catalogue under the section entitled “International Standards Correspondence Index”, or by using the “Search” facility of the BSI Electronic Catalogue or of British Standards Online.This publication does not

5、 purport to include all the necessary provisions of a contract. Users are responsible for its correct application. Compliance with a Published Document does not of itself confer immunity from legal obligations. aid enquirers to understand the text; present to the responsible international/European c

6、ommittee any enquiries on the interpretation, or proposals for change, and keep UK interests informed; monitor related international and European developments and promulgate them in the UK.Summary of pagesThis document comprises a front cover, an inside front cover, the CEN/TR title page, pages 2 to

7、 555 and a back cover.The BSI copyright notice displayed in this document indicates when the document was last issued.Amendments issued since publicationAmd. No. Date CommentsTECHNICAL REPORTRAPPORT TECHNIQUETECHNISCHER BERICHTCEN/TR 13833December 2003ICS 03.120.01, 91.010.01English versionQualifica

8、tion of construction enterprisesQualification des entreprises de construction Qualifizierung von BauunternehnenThis Technical Report was approved by CEN on 2 October 2003. It has been drawn up by the Technical Committee CEN/TC 330.CEN members are the national standards bodies of Austria, Belgium, Cz

9、ech Republic, Denmark, Finland, France, Germany, Greece,Hungary, Iceland, Ireland, Italy, Luxembourg, Malta, Netherlands, Norway, Portugal, Slovakia, Spain, Sweden, Switzerland and UnitedKingdom.EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMIT EUROPEN DE NORMALISATIONEUROPISCHES KOMITEE FR NORMUNGManagem

10、ent Centre: rue de Stassart, 36 B-1050 Brussels 2003 CEN All rights of exploitation in any form and by any means reservedworldwide for CEN national Members.Ref. No. CEN/TR 13833:2003 E2ContentsForeword4CHAPTER 1 - CEN Enquiry document (January 2000)5English version .6French version 58German version.

11、112CHAPTER 2 - National comments on the CEN Enquiry document (July 2000) .166Austria168Belgium 173Czech Republic .196Denmark.198Finland .201France 205Germany.308Greece 321Ireland 341Italy .348Netherlands .352Norway .360Portugal364Spain 371Sweden.391Switzerland 420United Kingdom 425CHAPTER 3 - Altern

12、ate “profile“ solution (June 2002)464CHAPTER 4 - National comments on the alternate “profile“ solution (July 2002) 520Austria521Belgium 523CEN/TR 13833:20033France 525Germany.531Greece533Iceland538Netherlands .540Portugal543Spain 547Sweden 550Switzerland 552CEN/TR 13833:20034ForewordThis document (C

13、EN/TR 13833:2003) has been prepared by Technical Committee CEN/TC 330 “Qualification ofconstruction enterprises”, the secretariat of which is held by AFNOR.This document produced by CEN/TC 330 is the conclusion of seven years of intensive work summarized asfollows:05/1995: Mandate M/084 of the Europ

14、ean Commission “Standardization Mandate to CEN and CENELEC forthe Development of European Standards for the Qualification of Construction Enterprises“;01/1996-09/1999: CEN working document drafting; result: CEN Enquiry document (January 2000, seeChapter 1);01/2000-07/2000: CEN 6 months Enquiry; resu

15、lt: 47% in favour, 53% against, national comments (800, seeChapter 2);08/2000-09/2001: CEN Enquiry comments resolution (15 Editing Committee meetings); results: detailedcomments resolution, principle of an alternate solution (the “profile solution“);10/2001-09/2002: drafting of this alternate soluti

16、on; result: revised project (dated June 2002, see Chapter 3),national comments on this revised project (see Chapter 4), still insufficient consensus.In September 2002, CEN/TC 330 decided to finalize its work by publishing as CEN Technical Report a documentcomposed of the CEN Enquiry document (of Jan

17、uary 2000), the revised project implementing the alternatecompromise solution (of June 2002), and the national comments on each of these two drafts. (This decision wasthen validated by the CEN Technical Board in January 2003.)It can be noted that several parts reached a sufficient level of consensus

18、: the requirements for the qualificationbodies, the application, assessment, review and appeal procedures, and the administrative and legal requirementsfor qualification.The decision to publish a CEN/TR was taken in order to allow access to an important standardization work.According to the CEN/CENE

19、LEC Internal Regulations, the national standards organizations of the followingcountries are bound to announce this Technical Report: Austria, Belgium, Czech Republic, Denmark, Finland,France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Luxembourg, Malta, Netherlands, Norway, Portugal,Slovaki

20、a, Spain, Sweden, Switzerland and the United Kingdom.CEN/TR 13833:20035CHAPTER 1CEN Enquiry document(January 2000)CEN/TR 13833:2003Document type : European StandardDocument subtype : Document stage : CEN EnquiryDocument language : ECEN/TC 330Date : 2000-01prEN 13833CEN/TC 330Secretariat : AFNORQuali

21、fication of construction enterprisesQualifizierung von BauunternehmenQualification des entreprises de constructionICS :Descriptors :CEN/TR 13833:20037ContentsForeword61 Scope 72 Normative references 73 Terms and definitions74 Nomenclature of activities 95 Criteria for qualification bodies166 Applica

22、tion and assessment procedures197 Administrative and legal criteria for qualification228 Financial criteria for qualification 269 Technical qualification by section(s) and related classifications 27Annex A (normative) Application for qualification .28Annex B (normative) Qualification certificate .33

23、Annex C (normative) Notification of change of relevant circumstances .35Annex D (normative) Application for upgrading of the qualification36Annex E (normative) Notification of intended decision .37Annex F (normative) Notification of decision38Annex G (normative) Appeal form39Annex H (normative) Noti

24、fication of appeal decision.40Annex I (normative) Professional or trade registers 41Annex J (normative) Insolvency proceedings.42Annex K (normative) Social security organizations .43Annex L (normative) Tax administrations .44Annex M (normative) Criteria for personnel competence Structure of competen

25、ce levels45Annex N (normative) Standard form for project references .46Annex O (normative) Formal statement of the average annual manpower and technical staff.47Annex P (status to be decided) Definitions of main sections.48Attachements (informative) .51CEN/TR 13833:20038ForewordThis document has bee

26、n prepared by CEN/CENELEC/TC 330 “Qualification of construction enterprises”.This document is currently submitted to the CEN Enquiry.This document has been prepared under a mandate M/084 given to CEN by the European Commission and theEuropean Free Trade Association.Clauses 4 and 9 have been prepared

27、 according to the drafts submitted by Working Group 1 of CEN/TC 330“Technical aspects“ (Secretariat BSI).Clauses 5 and 6 have been prepared according to the drafts submitted by Working Group 3 of CEN/TC 330“Application and assessment procedures“ (Secretariat UNI).Clauses 7 and 8 have been prepared a

28、ccording to the drafts submitted by Working Group 2 of CEN/TC 330“Administrative, legal and financial aspects“ (Secretariat DIN).An Editing Committee has been responsible for the coherence and correct presentation of the drafts submitted bythe three Working Groups of CEN/TC 330. The Editing Committe

29、es work included the gathering of the drafts into asingle document.These drafts were initially registered as individual work items ; they were later merged into a single work item. Theirtitles were :WI 330-001, Qualification of construction enterprises Definitions, qualification criteria, procedures

30、 ofqualification Part 1 : Terminology and nomenclature of activities (clauses 3 and 4).WI 330-002, Qualification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 2 : Technical criteria and proven experience for qualification (clause 9).WI 330-003, Qual

31、ification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 3 : Administrative and legal criteria for qualification (clause 7).WI 330-004, Qualification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 4 :

32、 Financial criteria for qualification (clause 8).WI 330-005, Qualification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 5 : Classification according to technical criteria (clause 9).WI 330-006, Qualification of construction enterprises Definitions,

33、 qualification criteria, procedures ofqualification Part 6 : Classification according to financial criteria (clause 8).WI 330-007, Qualification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 7 : Application and assessment procedures (clause 6).WI 33

34、0-008, Qualification of construction enterprises Definitions, qualification criteria, procedures ofqualification Part 8 : General criteria for qualification bodies and procedure for recording and providinginformation (clause 5).This draft European Standard will be subject to further negotiations wit

35、h CENELEC for the final publication of acommon CEN/CENELEC standard for the qualification of construction enterprises.CEN/TR 13833:200391 ScopeThis European Standard specifies the definitions, procedures, criteria and their assessment as well as therespective documentation related to a system of qua

36、lification of construction enterprises.2 Normative referencesThis European Standard incorporates by dated or undated reference, provisions from other publications. Thesenormative references are cited at the appropriate places in the text and the publications are listed hereafter. Fordated references

37、, subsequent amendments to or revisions of any of these publications apply to this EuropeanStandard only when incorporated in it by amendment or revision. For undated references the latest edition of thepublication referred to applies (including amendments).Commission of the European Communities : C

38、ommon Procurement Vocabulary (CPV).3 Terms and definitionsFor the purposes of this European Standard, the following terms and definitions apply.3.1annual accountsdocuments reflecting the financial standing of an applicant at the end of the financial year. According toEuropean/national legislation, t

39、he annual accounts usually comprise the balance sheet, the profit and loss accountand the notes on the accounts3.2appeal committeea committee which is responsible for the consideration of appeals against the decisions taken by the qualificationbody, including delay, inactivity or refusal to start or

40、 continue the qualification process3.3applicantphysical person(s)/legal entity(ies), however organized, being capable of performing construction works contractsby whatever means, seeking to obtain/retain a qualification certificate from a qualification body3.4certificate validity periodthe period wi

41、thin which the qualification certificate is valid3.5competent bodya private or public body recognizing the competence and reliability of a qualification body3.6current assetscurrent assets are those assets which are intended for short-term use. They include stocks, debtors, investmentsand cash at ba

42、nk and in hand3.7current liabilitiescurrent liabilities (short-term liabilities) are the financial obligations of the applicant which become due and payablewithin one yearCEN/TR 13833:2003103.8general contractora construction enterprise which is contractually responsible to deliver a comprehensive w

43、ork. It provides a singlepoint of contact to the client, notwithstanding the contractual relationships, which may be required with otherproviders of goods and servicesGeneral contractors may have all the skills in their organization to carry out the whole of the works themselves, butnormally they wi

44、ll call on specialist contractors to carry out at least some of the works. In this context a generalcontractor manages and co-ordinates the activities of one or more specialist contractors whilst having the ability tocarry out some parts of the work.3.9indirectly employedpersonnel under the supervis

45、ion of an applicant who may be direct employees of sub-contractors or laboursuppliers or self employed3.10legal representativephysical person who, according to national legislation, represents the applicant3.11net capitalnet capital (equity) comprises all the financial means put into the applicant b

46、y its owners, including undistributedprofits. It is the amount of capital not obtained from third partiesConcerning applicants with limited financial liability, the net capital comprises the “subscribed capital“, the “sharepremium account“, “reserves“ and the “profit or loss“.3.12notified bodya qual

47、ification body which a national government has notified to the European Commission3.13qualificationprocedure based on a set of rules leading to the formal assessment of an applicant by a qualification body againstset criteria, including administrative, legal, financial, human resources and technical

48、 skills3.14qualification bodya private or public body recognized as being competent and reliable to undertake the qualification3.15qualification certificateevidence of qualification provided by the qualification body3.16qualification committeea committee within the qualification body which is respon

49、sible for the performance of qualification3.17qualification periodthe period within which the qualification body examines and decides upon an application for qualification andnotifies the applicant3.18qualification registera register in which the qualification body records applications for qualification and issued qualification certificatesCEN/TR 13833:2003113.19qualification systema system having rules of procedure and management for evaluating applicants according to the criteria set out inthis European Standard3.20qualified enterprisea constructi