EN 14969-2006 en Railway applications Track Qualification system for railway trackwork contractors《轨道交通 轨道 铁路轨道合同质量系统》.pdf

1、BRITISH STANDARDBS EN 14969:2006Railway applications Track Qualification system for railway trackwork contractorsThe European Standard EN 14969:2006 has the status of a British StandardICS 03.120.10; 93.100g49g50g3g38g50g51g60g44g49g42g3g58g44g55g43g50g56g55g3g37g54g44g3g51g40g53g48g44g54g54g44g50g4

2、9g3g40g59g38g40g51g55g3g36g54g3g51g40g53g48g44g55g55g40g39g3g37g60g3g38g50g51g60g53g44g42g43g55g3g47g36g58BS EN 14969:2006This British Standard was published under the authority of the Standards Policy and Strategy Committee on 29 September 2006 BSI 2006ISBN 0 580 48986 8National forewordThis Britis

3、h Standard was published by BSI. It is the UK implementation of EN 14969:2006.The UK participation in its preparation was entrusted to Technical Committee RAE/2, Railway track components.A list of organizations represented on RAE/2 can be obtained on request to its secretary.This publication does no

4、t purport to include all the necessary provisions of a contract. Users are responsible for its correct application.Compliance with a British Standard cannot confer immunity from legal obligations. Amendments issued since publicationAmd. No. Date CommentsEUROPEAN STANDARDNORME EUROPENNEEUROPISCHE NOR

5、MEN 14969August 2006ICS 03.120.10; 93.100English VersionRailway applications - Track - Qualification system for railwaytrackwork contractorsApplications ferroviaires - Voie - Systme de qualificationdes entreprises de travaux de voie ferreBahnanwendungen - Oberbau - Qualifizierungssystem frGleisbauun

6、ternehmenThis 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

7、 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

8、 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

9、, Luxembourg, Malta, Netherlands, Norway, Poland, Portugal, Romania,Slovakia, Slovenia, Spain, Sweden, Switzerland and United Kingdom.EUROPEAN COMMITTEE FOR STANDARDIZATIONCOMIT EUROPEN DE NORMALISATIONEUROPISCHES KOMITEE FR NORMUNGManagement Centre: rue de Stassart, 36 B-1050 Brussels 2006 CEN All

10、rights of exploitation in any form and by any means reservedworldwide for CEN national Members.Ref. No. EN 14969:2006: EEN 14969:2006 (E) 2 Contents Page Foreword4 1 Scope 4 2 Normative references 4 3 Terms and definitions .5 4 Nomenclature of railway trackwork activities.7 5 Qualification bodies 8

11、5.1 General8 5.2 General requirements8 5.3 Documentation and records .8 5.4 Access to documentation and records .8 5.5 Confidentiality8 5.6 Appeals .8 6 Application, assessment and review procedures 9 6.1 General9 6.2 Application procedure.9 6.2.1 Language of application .9 6.2.2 Request for applica

12、tion 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 application9 6.2.7 Submission of inaccurate information 9 6.2.8 Qualification process period 9 6.3 Assessment procedure .10 6.3.1 Assessmen

13、t 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 procedure10 6.4.1 General provisions 10 6.4.2 Change of relevant circumstances 11 6.4.3 Infring

14、ements relating to qualification 11 6.4.4 Annual review.11 6.4.5 Technical review 11 6.4.6 Review decision.12 6.5 Access to documentation and records .12 7 Evidence of meeting administrative and legal obligations .12 7.1 General12 7.2 Administrative and legal data.12 7.3 Documentation to be provided

15、 by the applicant 12 7.4 Assessment criteria the applicant shall comply with 13 8 Financial criteria for qualification 13 8.1 General13 8.2 Financial qualification criteria 13 8.3 Financial assessment14 8.4 Documentation.15 9 Technical criteria for qualification by activity and qualification categor

16、ies .15 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 capability17 9.3.1 Qualification of personnel 17 9.3.2 Management and operation of equipment19 9.3.3 Quality, safety and environment21 9.4 Document

17、ation 21 Annex A . (informative) List of Infrastructure Managers.22 Annex B (normative) Qualification document24 Annex C (normative) Appeal form.25 Annex D (normative) Notification of appeal decision .27 Annex E (normative) Application for qualification 28 E.1 General data.28 E.2 Documentation conce

18、rning legal standing.30 E.3 Documents concerning financial criteria32 E.4 Complete list of specialized personnel employed by the applicant 33 E.5 Complete list of heavy equipment owned by the applicant34 E.6 Documentation concerning technical criteria: references for trackworks35 E.6.1 Project.35 E.

19、6.2 Contract volume 35 E.6.3 Period of performance of the trackwork .35 E.6.4 Handing over of works36 E.6.5 General description of the trackwork carried out 36 E.6.6 Boundary conditions of the railway traffic .36 E.6.7 Contract content and own activities36 E.6.8 Personnel employed on the works 37 E.

20、6.9 Heavy equipment.38 E.6.10 Quality Assurance (QA) .39 E.6.11 Reference certificate from the Client.39 Annex F (normative) Notification of intended decision 40 Annex G (normative) Notification of decision41 Annex H (informative) Procedure for the establishment of the Quality Index of Qualified Con

21、tractors 42 H.1 Scope42 H.2 Documentation 42 H.3 Evaluation of the services 42 H.4 Quality index (Iq) of the Contractor .43 H.5 Evaluation form .44 H.5.1 Contract identification 44 H.5.2 Review form .44 Annex I (normative) Notification of change of contractor characteristics .46 Bibliography48 EN 14

22、969:2006 (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 endorse

23、ment, 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, Belgi

24、um, 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 Standar

25、d 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

26、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

27、 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

28、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

29、 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 coo

30、rdinating the procurement procedures of entities operating in the water, energy, transport and postal services sectors 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

31、 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 r

32、equired 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

33、 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 Man

34、ager 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

35、 - 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 EN 14969:2006 (

36、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 c

37、ontractor 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 n

38、et 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 ex

39、pected 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

40、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 agai

41、nst set obligations, including administrative, legal, financial, safety, quality, environmental and technical aspects EN 14969:2006 (E) 7 3.21 Qualification Body private or public body being part of either an Infrastructure Managers organization or an independent organization recognized by the Infra

42、structure 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 de

43、legated 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 (

44、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

45、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 sha

46、ll 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. EN 1496

47、9:2006 (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 r

48、ail 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 trackwor

49、k 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, unles