SIST EN 14969:2007

2003-01.Slovenski inštitut za standardizacijo. Razmnoževanje celote ali delov tega standarda ni dovoljeno.Železniške naprave – Zgornji ustroj – Kvalifikacijski sistem za izbor izvajalca del na zgornjem ustrojuBahnanwendungen - Oberbau - Qualifizierungssystem für GleisbauunternehmenApplications ferroviaires - Voie - Systeme de qualification des entreprises de travaux de voie ferréeRailway applications - Track - Qualification system for railway trackwork contractors93.100Gradnja železnicConstruction of railways03.100.30Vodenje ljudiManagement of human resourcesICS:Ta slovenski standard je istoveten z:EN 14969:2006SIST EN 14969:2007en01-januar-2007SIST EN 14969:2007SLOVENSKI
STANDARD



SIST EN 14969:2007



EUROPEAN STANDARDNORME EUROPÉENNEEUROPÄISCHE NORMEN 14969August 2006ICS 03.120.10; 93.100 English VersionRailway applications - Track - Qualification system for railwaytrackwork contractorsApplications ferroviaires - Voie - Système de qualificationdes entreprises de travaux de voie ferréeBahnanwendungen - Oberbau - Qualifizierungssystem fürGleisbauunternehmenThis European Standard was approved by CEN on 21 July 2006.CEN members are bound to comply with the CEN/CENELEC Internal Regulations which stipulate the conditions for giving this EuropeanStandard the status of a national standard without any alteration. Up-to-date lists and bibliographical references concerning such nationalstandards may be obtained on application to the Central Secretariat or to any CEN member.This European Standard exists in three official versions (English, French, German). A version in any other language made by translationunder the responsibility of a CEN member into its own language and notified to the Central Secretariat has the same status as the officialversions.CEN members are the national standards bodies of Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France,Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania,Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMITÉ EUROPÉEN DE NORMALISATIONEUROPÄISCHES KOMITEE FÜR NORMUNGManagement Centre: rue de Stassart, 36
B-1050 Brussels© 2006 CENAll rights of exploitation in any form and by any means reservedworldwide for CEN national Members.Ref. No. EN 14969:2006: ESIST EN 14969:2007



EN 14969:2006 (E) 2 Contents Page Foreword.4 1 Scope.4 2 Normative references.4 3 Terms and definitions.5 4 Nomenclature of railway trackwork activities.7 5 Qualification bodies.8 5.1 General.8 5.2 General requirements.8 5.3 Documentation and records.8 5.4 Access to documentation and records.8 5.5 Confidentiality.8 5.6 Appeals.8 6 Application, assessment and review procedures.9 6.1 General.9 6.2 Application procedure.9 6.2.1 Language of application.9 6.2.2 Request for application documents.9 6.2.3 Supply of application documents.9 6.2.4 Formal application for qualification.9 6.2.5 Registration of application.9 6.2.6 Completeness of application.9 6.2.7 Submission of inaccurate information.9 6.2.8 Qualification process period.9 6.3 Assessment procedure.10 6.3.1 Assessment of application and decision of the Qualification Body.10 6.3.2 Notification of intended decision.10 6.3.3 Award/rejection of qualification.10 6.3.4 Qualification document validity period.10 6.4 Review procedure.10 6.4.1 General provisions.10 6.4.2 Change of relevant circumstances.11 6.4.3 Infringements relating to qualification.11 6.4.4 Annual review.11 6.4.5 Technical review.11 6.4.6 Review decision.11 6.5 Access to documentation and records.12 7 Evidence of meeting administrative and legal obligations.12 7.1 General.12 7.2 Administrative and legal data.12 7.3 Documentation to be provided by the applicant.12 7.4 Assessment criteria the applicant shall comply with.13 8 Financial criteria for qualification.13 8.1 General.13 8.2 Financial qualification criteria.13 8.3 Financial assessment.14 8.4 Documentation.15 9 Technical criteria for qualification by activity and qualification categories.15 SIST EN 14969:2007



EN 14969:2006 (E) 3 9.1 General.15 9.2 Qualification by activity relative to the size of contracts executed.15 9.3 Classification by technical capability.16 9.3.1 Qualification of personnel.16 9.3.2 Management and operation of equipment.18 9.3.3 Quality, safety and environment.20 9.4 Documentation.20 Annex A . (informative)
List of Infrastructure Managers.21 Annex B (normative)
Qualification document.23 Annex C (normative)
Appeal form.24 Annex D (normative)
Notification of appeal decision.26 Annex E (normative)
Application for qualification.27 E.1 General data.27 E.2 Documentation concerning legal standing.29 E.3 Documents concerning financial criteria.31 E.4 Complete list of specialized personnel employed by the applicant.32 E.5 Complete list of heavy equipment owned by the applicant.33 E.6 Documentation concerning technical criteria: references for trackworks.34 E.6.1 Project.34 E.6.2 Contract volume.34 E.6.3 Period of performance of the trackwork.34 E.6.4 Handing over of works.35 E.6.5 General description of the trackwork carried out.35 E.6.6 Boundary conditions of the railway traffic.35 E.6.7 Contract content and own activities.35 E.6.8 Personnel employed on the works.36 E.6.9 Heavy equipment.37 E.6.10 Quality
Assurance (QA).38 E.6.11 Reference certificate from the Client.38 Annex F (normative)
Notification of intended decision.39 Annex G (normative)
Notification of decision.40 Annex H (informative)
Procedure for the establishment of the Quality Index of Qualified Contractors.41 H.1 Scope.41 H.2 Documentation.41 H.3 Evaluation of the services.41 H.4 Quality index (Iq) of the Contractor.42 H.5 Evaluation form.43 H.5.1 Contract identification.43 H.5.2 Review form.43 Annex I (normative)
Notification of change of contractor characteristics.45 Bibliography.47
SIST EN 14969:2007



EN 14969:2006 (E) 4 Foreword This document (EN 14969:2006) has been prepared by Technical Committee CEN/TC 256 “Railway applications”, the secretariat of which is held by DIN. This European Standard shall be given the status of a national standard, either by publication of an identical text or by endorsement, at the latest by February 2007, and conflicting national standards shall be withdrawn at the latest by February 2007. According to the CEN/CENELEC Internal Regulations, the national standards organizations of the following countries are bound to implement this European Standard: Austria, Belgium, Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Iceland, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden, Switzerland and the United Kingdom. 1 Scope
This European Standard specifies the definitions, procedures, criteria and their assessment as well as the respective documentation related to a qualification system of trackwork contractors, which relates to the Directive 2004/17/EC1)
. This qualification system identifies trackwork contractors that can be invited for tendering trackwork contracts. Evaluation of the contractors applying for parts of the contract, which are not trackwork, is not covered by this standard. This European Standard may also be used for a qualification system of trackwork contractors applying for contracts with a value below the minimum limit as defined in the Directive 2004/17/EC.
2 Normative references
The following referenced documents are indispensable for the application of this document. For dated references, only the edition cited applies. For undated references, the latest edition of the referenced document (including any amendments) applies. EN 13231 (series), Railway applications – Track – Acceptance of works
prEN 13803 (series), Railway applications – Track alignment design parameters – Track gauges 1435 mm and wider EN 13848-1, Railway applications – Track – Track geometry quality – Part 1: Characterization of track geometry EN 13848-2, Railway applications – Track –Track geometry quality – Part 2: Measuring devices – Track recording vehicles EN 13848-5, Railway applications – Track –Track geometry quality – Part 5: Geometric quality assessment
1) DIRECTIVE 2004/17/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 31 March 2004 coordinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors SIST EN 14969:2007



EN 14969:2006 (E) 5
prEN 14587 (series), Railway applications – Track – Flash butt welding of rails EN 14730 (series),
Railway applications – Track – Aluminothermic welding of rails
3 Terms and definitions For the purposes of this document, the following terms and definitions apply: 3.1 qualification system system having rules of procedure and management for evaluating applicants according to the criteria set out in this European Standard 3.2 railway infrastructure all installations required for the running of railway vehicles (e.g. tracks, crossings, catenaries, signals etc.). 3.3 infrastructure manager any public body or undertaking responsible in particular for establishing and maintaining railway infrastructure, as well as for operating the control and safety systems
NOTE An incomplete list of Infrastructure Managers is given in Annex A for information. 3.4 railway trackwork contractor any company or association of companies legally recognized as a company which has a determined activity as defined in this European Standard NOTE Establishments of the Infrastructure Manager owner are not trackwork contractors within the meaning of this standard. 3.5 maintenance includes:
- plain line tamping
-
switch and crossing tamping
- ballast cleaning 3.6 track laying/renewal includes: - laying or renewal of ballasted track
- laying or renewal of ballasted switch and crossing
- plain track tamping
- switch and crossing tamping
- ballast cleaning 3.7 rail welding in-track flash butt welding or aluminothermic welding
3.8 rail grinding and milling rail grinding and milling on plain line and/or switches and crossings is understood as: - continuous rail planing SIST EN 14969:2007



EN 14969:2006 (E) 6 - continuous rail reprofiling
3.9 high speed lines lines which fall under the Technical Specifications for Interoperability (T.S.I.) relating to the Infrastructure Subsystem of the Trans-European High-Speed Rail System
3.10 conventional lines all lines other than high speed lines 3.11 applicant contractor capable of executing trackwork contracts by whatever means, seeking to obtain/retain a qualification document from a Qualification Body 3.12 validity period of qualification document period within which the qualification document is valid
3.13 total assets total of the balance sheet 3.14 net capital sum of paid capital, retained earnings and net income of the year
3.15 gross performance results of activities of an organization or investment over a given period of time (before anything is deducted)
3.16 tangible fixed assets a long-term, tangible asset held for business use and not expected to be converted to cash in the current or next fiscal year, such as real estate or plant 3.17 annual net income or net profit: gross sales minus taxes, interest, depreciation and other expenses
3.18 cash flow cash receipts minus cash payments over a given period of time, or equivalently, net profit plus amounts charged off for depreciation, depletion and amortization
3.19 legal representative person nominated by the contractor to act officially on his behalf
3.20 qualification procedure based on a set of rules leading to the formal assessment of an applicant by a Qualification Body against set obligations, including administrative, legal, financial, safety, quality, environmental and technical aspects SIST EN 14969:2007



EN 14969:2006 (E) 7 3.21 Qualification Body private or public body being part of either an Infrastructure Manager's organization or an independent organization recognized by the Infrastructure Managers, an association of Infrastructure Managers or national railway authority in the same or different countries, structured in accordance with the Directive 2004/17/EC 3.22 railway authority either the railway regulator or the owner of a railway infrastructure or the custodian with delegated responsibility for railway infrastructure 3.23 application documents necessary documents completed by the applicant that give all the necessary evidence for the qualification process 3.24 qualification document document provided by the Qualification Body once the qualification is completed (see Annex B)
3.25 qualification committee committee within the Qualification Body which is responsible for establishing qualification
3.26 qualification process period period within which the Qualification Body examines and decides upon an application for qualification and notifies the applicant of the result 3.27 qualification register register in which the Qualification Body records applications for qualification and qualification documents issued
3.28 qualified contractor contractor qualified according to this European Standard 4 Nomenclature of railway trackwork activities An applicant shall submit his qualification request for one or more of the trackwork activities listed in Table 1. NOTE This qualification by activities allows, if needed, different criteria at national level to make the difference between trackwork contractors for work on conventional and high-speed lines.
SIST EN 14969:2007



EN 14969:2006 (E) 8 Table 1 — Nomenclature of railway trackwork activities
Railway trackwork activities Trackwork on conventional lines Trackwork on high-speed lines Maintenance 1.1 1.2 Track laying or renewal
2.1 2.2 In-track welding
3.1 3.2 Continuous rail planing (grinding and miling)
4.1 4.2 Continuous rail reprofiling (grinding and miling)
5.1 5.2
5 Qualification bodies 5.1 General The Qualification Body shall satisfy the requirements of a qualification system related to Directive 2004/17/EC in order to be recognized as competent and reliable in the operation of a qualification system for trackwork contractors. 5.2 General requirements Every Qualification Body shall grant equal access to all suitable applicants. The procedures under which the Qualification Body operates shall be administered in a transparent and non-discriminatory manner.
5.3 Documentation and records The Qualification Body shall maintain a system for the control of all documentation relating to the qualification.
All records shall be safely stored for a minimum of one year after the qualification expires, held secure and in confidence to the applicant, unless otherwise required by national legislation.
5.4 Access to documentation and records The Qualification Body shall, upon request, grant every applicant or qualified contractor access to all the documentation and records pertaining to his application and qualification.
5.5 Confidentiality The Qualification Body shall make adequate arrangements to ensure confidentiality of the information obtained in the course of its qualification activities at all levels of its organization, unless otherwise required by national legislation. Commercial use by the Qualification Body of documents or related information provided by applicants or qualified contractors is strictly forbidden.
Where there is a requirement for information to be disclosed to a third party, the applicant or the qualified contractor shall agree to this disclosure as permitted by local legislation. Failure to do so may result in loss of qualification. 5.6 Appeals Appropriate procedures for appeals against decisions of the Qualification Body (including inactivity or refusal to start or to continue the qualification) shall be established according to Annexes C and D. SIST EN 14969:2007



EN 14969:2006 (E) 9 6 Application, assessment and review procedures 6.1 General Clause 6 specifies the application, assessment and review procedures that it is necessary to follow for the qualification of trackwork contractors. These procedures shall be operated by each Qualification Body. 6.2 Application procedure 6.2.1 Language of application The application shall be made in the language of the country of the Qualification Body. 6.2.2 Request for application documents The applicant shall ask the Qualification Body in writing (including fax, mail or e-mail), and request the documents which are necessary to apply for qualification.
6.2.3 Supply of application documents Upon request, the Qualification Body shall send the application form to the applicant within 10 working days (see Annex E) together with the guidance notes which apply to the qualification procedure.
6.2.4 Formal application for qualification The application (see Annex E) shall be signed by a person duly authorized to commit the applicant. 6.2.5 Registration of application Upon receipt of the application, the Qualification Body shall immediately record the application in the qualification register. 6.2.6 Completeness of application Upon receipt of the application, the Qualification Body shall check its completeness. If the application is incomplete, the Qualification Body shall, within 30 working days from receipt of the application, ask for the missing information/documentation required for qualification.
The Qualification Body can specify an adequate time limit for completion of the application. The time limit shall be more than 30 working days starting from the applicant’s receipt of the Qualification Body’s request. An extension can be granted to the applicant upon request.
If the applicant does not fulfil the request to complete the application within due time, the application is no longer valid and shall be cancelled in the qualification register. A new application can be submitted.
6.2.7 Submission of inaccurate information The applicant shall produce valid and accurate information. 6.2.8 Qualification process period The qualification process period starts as soon as the Qualification Body has received a complete application. The qualification process period shall not exceed six months. SIST EN 14969:2007



EN 14969:2006 (E) 10 6.3 Assessment procedure 6.3.1 Assessment of application and decision of the Qualification Body The Qualification Body shall examine the conformity of the application to the criteria set out in Clauses 7 to 9 of this European Standard.
The examination shall result in a decision by the Qualification Body.
When the assessment of the individual qualification criteria described in Clause 9 results in a potentially different class of qualification, the qualification awarded shall be based on the lowest class on attainment of the individual criteria. 6.3.2 Notification of intended decision On the basis of the decision indicated in 6.3.1, the qualification committee shall consider the application within 30 working days. The applicant shall be informed in advance about the decision the qualification committee intends to take (see Annex F). The applicant shall have the opportunity of giving his comments, within 10 working days of receipt of the notification, before the final decision is taken.
6.3.3 Award/rejection of qualification If the application is approved, the Qualification Body shall record the qualification in the qualification register without delay. If the application is rejected, the Qualification Body shall notify (see Annex G) the applicant in writing of the decision within 5 working days. The respective notification shall give the reasons for the decision and inform the applicant about the appeal procedure. A new application can be submitted. 6.3.4 Qualification document validity period The qualification document is valid for five years. 6.4 Review procedure 6.4.1 General provisions The qualification document, once issued, shall be subject to an annual review of the updated documentation for administrative criteria and legal and financial obligations.
The technical competence can be reviewed at any time on the initiative of the Qualification Body who issued the qualification document or upon request of either the qualified contractor or an Infrastructure Manager. A report from this Infrastructure Manager will be needed to support the request to the Qualification Body. Quality index records (see Annex H) can be used as a way of evaluating the performance of the contractors or any other supplier assessment procedure may be used. The qualification shall be reviewed before expiry of the qualification document validity upon request of the contractor. In ac
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