EN 14969:2006

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
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

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
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

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

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

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.
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

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

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 accordance with qualification application and assessment procedures, the Qualification Body shall review the qualification document and shall decide either:
a) to maintain the qualification document; b) to upgrade the class of qualification; c) to downgrade the class of qualification; SIST EN 14969:2007

6.4.3 Infringements relating to qualification An application shall be rejected or a qualification document cancelled if it can be proved that an applicant/qualified contractor is guilty of one of the following infringements:
a)
fraudulent behaviour during the qualification; b) false information or documentation concerning fulfilment of the qualification criteria; c) falsification of the qualification document. A new application can be made by the contractor after one year. 6.4.4 Annual review After review, the qualification document can be maintained or cancelled if financial criteria, administrative and legal obligations are not met. 6.4.5 Technical review For the purposes of the technical review, the qualified contractor shall provide recent reference forms according to Annex E.6 for the works completed, as well as the corresponding letters of acceptance or declarations of completion, or attestations of satisfactory execution.
When this review is requested by an Infrastructure Manager, the reference forms shall relate to projects or parts of projects different from the ones used for qualification.
After this review, the qualification document can be maintained or upgraded if activities of the applicant have increased according to Table 1 and/or Table 3, or downgraded, if the activities of the applicant have decreased or been cancelled. In the case of cancellation, it is permanently pronounced. After a minimum of 6 months, the contractor shall be allowed to apply for a new qualification. 6.4.6 Review decision On the basis of the decision referred to in 6.4.1, the qualification committee shall investigate the conclusions of the review procedure within 30 working days. The contractor shall be informed in advance about the decision the qualification committee intends to take (see Annex F). The contractor shall have the opportunity of giving his comments before the decision is taken, within 10 working days, upon receipt of the notification. SIST EN 14969:2007

6.5 Access to documentation and records Upon request, every applicant or qualified contractor shall have access to all the documentation and records pertaining only to its application or qualification.
Upon request, the Qualification Body shall provide the applicant or qualified contractor with a copy of their respective documentation and records. The related costs shall be reimbursed.
7 Evidence of meeting administrative and legal obligations 7.1 General Clause 7 specifies the administrative and legal obligations required to be demonstrated for the purpose of qualification. It also specifies the documentation to be provided by the applicant.
7.2 Administrative and legal data The applicant shall provide the following data to the Qualification Body: a) name of the Company, registered address and, if different, the address for administrative correspondence, telephone and fax number(s) and e-mail address of the head office, VAT registration or national fiscal number, according to the legal obligations of the country(ies) in which the applicant is registered; b)
legal status of the applicant and year it was founded; c)
registration number according to national law; d)
proof that Social Security requirements are being met; e)
proof that tax scheme requirements are being met; f)
information concerning the legal representative(s): ¾
full name; ¾
business address, telephone and fax numbers, e-mail address; ¾
position in the company. 7.3 Documentation to be provided by the applicant 7.3.1 Company letterhead according to the legal obligations of the country in which the applicant is registered.
7.3.2 A certified copy of the company registration issued by relevant authority. 7.3.3 A document issued by the competent national authority stating the applicant status and stating that the applicant has not suspended his business activities, that he is not the subject of national insolvency proceedings and that he is not bankrupt or in a similar situation arising from national insolvency proceedings.
If the country in which the applicant is registered does not issue this document, it shall be replaced by a declaration on oath or, in countries where there is no provision for a declaration on oath, by a solemn declaration made by the representative(s) of the applicant concerned, before a judicial or administrative authority, a notary or a professional or trade body.
If the country in which the applicant is registered does not issue this document, it shall be replaced by a declaration on oath or, in countries where there is no provision for a declaration on oath, by a solemn declaration made by the representative(s) of the applicant concerned, before a judicial or administrative authority, a notary or a professional or trade body.
7.3.5 A document of compliance with the payment of taxes, given by the competent authority of the country in which the applicant is registered. If the country in which the applicant is registered does not issue this document, it shall be replaced by a declaration on oath or, in countries where there is no provision for a declaration on oath, by a solemn declaration made by the representative(s) of the applicant concerned, before a judicial or administrative authority, a notary or a professional or trade body.
7.3.6 A declaration by the applicant that he has not been convicted of criminal or fiscal offences for the last five years. 7.4 Assessment criteria the applicant shall comply with a) he has not suspended his business activities. He is not the subject of national insolvency proceedings. He is not bankrupt or in a similar situation arising from national insolvency proceedings; b)
he is enrolled in the companies register according to the legal provisions of the country in which he is registered; c)
he has fulfilled its obligations relating to the payment of social security contributions according to the legal provisions of the country in which he is registered;
d)
he has fulfilled its obligations relating to the payment of taxes according to the legal provisions of the country in which he is registered;
e)
he has not been convicted of criminal or fiscal offences for the last five years, by a judgement which has the force of a final decision without any possibility of appeal.
8 Financial criteria for qualification 8.1 General Clause 8 specifies the financial criteria against which the applicant is assessed for the purposes of qualification as well as the respective documentation to be supplied by the applicant.
8.2 Financial qualification criteria For the purposes of qualification, the applicant shall submit information on his financial standing in the last 3 business years concerning: ¾
gross performance as disclosed in profit-and-loss account (GP); ¾
total assets (TA); ¾
net capital (NC); SIST EN 14969:2007

tangible fixed assets (TFA); ¾
annual net income (ANI); ¾
cash flow (CF) and the characteristics derived from this: ¾
capital strength (CS) calculated according to the following Table 2; ¾
fixed-asset intensity [in %]: TFA over TC as well as: ¾
his turnover excluding taxes and excluding supplies (including stakes in joint ventures), for trackwork per category of activity for the last five business years. Table 2 — Calculation of capital strength (CS) Net capital ratio
(NCR)
Return on investment (RI) Cash flow over gross performance (CFG) Cash flow over net capital (CFC) Points NCR = 100 x NC/TA RI = 100 x ANI/NC CFG = 100 x LD / RB CFC = 100 x LD / FP
0 0,5 1 1,5 2 NCR
0 0 < NCR
5 5 < NCR
10 10 < NCR 20 20 < NCR
30 NCR > 30 RI
0 0 < RI
1.5 1.5 < RI
2.5 2.5 < RI
4 4 < RI
5 RI > 5 CFG
0 0 < CFG
2,5 2,5 < CFG
4,5 4,5 < CFG
6 6 < CFG
8,5 CFG > 8,5 CFC
0 0 < CFC
4 4 < CFC
6 6 < CFC
8 8 < CFC
11,5 CFC > 11,5 2,5 Points (NCR) =a
Points (RI) = a Points (CFG) = a Points (CFC) = a
CS =b a Read the points in column 5 b CS = Points (NCR) + Points (RI) + Points (CFG) + Points (CFC)
8.3 Financial assessment 8.3.1 In order to be qualified, the applicant shall have in each of the last 3 business years either: ¾
a capital strength of more than 4 points, or ¾
a capital strength of more than 2 points and a fixed-asset intensity of more than 10 %. Otherwise, the application for qualification shall be refused. 8.3.2 If a physical person(s)/legal entity has unconditional legal liability for the financial obligations of the applicant, their external financial resources can be taken into consideration to meet the requirements of 8.3.1. The financial resources shall actually be available for the purposes of qualification and shall remain available for the qualification document validity period. SIST EN 14969:2007

8.4 Documentation For the purposes of qualification, the applicant shall make the calculation according to Table 2 and prove his financial standing for the last three business years by submitting a financial statement of an authorized independent accountant showing the data in 8.2. 9 Technical criteria for qualification by activity and qualification categories 9.1 General Clause 9 specifies the qualification by trackwork activity and the related classifications of an applicant by technical capability and size of contracts executed. It specifies the criteria of technical capability, productivity and organization and control of the quality required of the applicant for the qualification. It also specifies the respective documentation to be supplied by the applicant.
For the purposes of qualification,
contracts or parts of contract executed will be taken into consideration only if the amount of trackwork entrusted to subcontractors is under 30 % of the trackwork contract (value excluding supplies). 9.2 Qualification by activity relative to the size of contracts executed The applicant shall provide evidence of satisfactorily-executed trackwork contracts per trackwork activity to be classified by size according to Tables 3 and evidence of a suitable organizational structure for planning and executing trackwork. This shall be submitted using Annex E.6 and shall cover:
¾
a single contract executed during the previous five years having a value (excluding supplies) equal to or greater than the value shown in Tables 3 for the class for which application is made,
and ¾
contracts executed during the previous five years totalling a value excluding supplies equal to or greater than the value shown in the Tables 3 for the class for which application is made,
and ¾
the technical capability according to 9.3. Values of contracts executed previously or ongoing are understood as amounts of trackwork, excluding supplies and will only be taken into consideration if the amount of trackwork entrusted to subcontractors is under 30 % of the trackwork contract value, excluding supplies.
The amounts of contracts executed by a group shall be calculated proportionally to the participation of the applicant in the group.
Using these criteria, the applicant shall be classified according to Table 3a for activities 1.1, 1.2, 2.1 and 2.2.
Table 3a — Classification by size (activities 1.1, 1.2, 2.1 and 2.2) Class Value of a single contract performed during the previous five years (excl. supplies) (× 1000 )
Total value of trackwork contracts of the previous five years (excl. supplies) (× 1000 )
50 000 B
7 500
30 000 C
3 000
20 000 D
1 000
7 500
Using the same criteria as above, the applicant is classified according to Table 3b for activities 3.1, 3.2, 4.1 and 4.2. Table 3b — Classification by size (activities 3.1, 3.2, 4.1 and 4.2) Class Value of a single contract performed during the previous five years (excl. supplies) (× 1000 )
Total value of trackwork contracts of the previous five years (excl. supplies) (× 1000 )
A
1 000
5 000 B
3 000 C
2 000 D
Using the same criteria as above, the applicant is classified according to Table 3c for activities 5.1, and 5.2. Table 3c— Classification by size (activities 5.1 and 5.2) Class Value of a single contract performed during the previous five years (excl. supplies) (× 1000 )
Total value of trackwork contracts of the previous five years (excl. supplies) (× 1000 )
A
10 000 B
6 000 C
4 000 D
200 1 500
9.3 Classification by technical capability 9.3.1 Qualification of personnel 9.3.1.1 Health and Safety The applicant shall employ personnel who have received training, concerning health and safety of personnel on trackwork sites including: a) practice of site protection measures; b) access conditions to infrastructure premises; SIST EN 14969:2007

9.3.1.2 Technical competence of personnel To satisfy the Qualification Body, the applicant shall fulfil the following requirements:
have adequate personnel with technical knowledge of the work procedures and objectives to be attained in the field of trackwork; ¾ provide documented evidence of the competence of the qualified personnel. This competence certificate can be the subject of an internal procedure of the contractor, a national regulation, a requirement of a standard or of an Infrastructure Manager. This competence certificate can be issued, depending on the case, by authorized national organizations, Infrastructure Managers, or by the applicant. For all these various possibilities, the Infrastructure Manager(s) of the country of application shall be the competent bod
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