RESEARCH DESIGNS STANDARDS ORGANIZATION

RESEARCH DESIGNS & STANDARDS ORGANIZATION Manak Nagar, Lucknow - 22601 1

lS09001:2008

WORK INSTRUCTIONS FOR VENDOR DEVELOPMENT OF DEVELOPMENTAL ITEMS

1.0 Amendment History:

Omument Title: Work instructiol~s for Vendor dcvclopmcnt of dcvelopnlental Itcm

Docurnenl No: SI-WI-7.1-3 I Venlorl No: I. I

I S. No. I Amendment 1 Version I Reasons for Amendment 1

DvleEfi~cctiuo : 01 9.201 1

First issue under the upgradcd standard for ISO9001:2008. Approved by Sr EDlSignnl at NP-14 of file no. STSlGIlSO- 1)ocutnentslVol-1V. i)CI.No: 4.1.11.3.3&4.1.11.3.4hasbeen rnodifiedaspcrissucof Ver. 2.1 ofISO docu~ncnt No: QC-D-7.1-5, (Vendor applicatio~~ for registration) ii) CI. No : 4.1.13 has been tnodified as per issue of Vel. 2.1 ofISO docume~lt No: QO-D-71-6, (Ve~tdor application processiiig) Approvcd by Sr EDiSigml at NP- of file No. STSIGIISO- Iloc~tlnm~tsNol-V.

PURPOSE: This document co~ltnins work imt~uctions for vendor approvallvendor registration (multi- sourcing) of signalling developmenlal items being dealt I>? Signal Directorate.

lS09001-2008

SCOPE OF APPLICATION:

This Work Instluction is al>plplicahlc F ~ I - registration of all new films by RDSO fol- signalling developmental indigenous items on type approval basis and imported itenx on cross acceptance basis. Th~s Work Instructic~n also includes I-enewall~~l>-vadation of applaved firms anti down- gradationldeldion of names of films fro111 approved list.. It also deliberares on al>proval/renexvai procedure for recoi~in~cnded vendors foi- cecerlaill sig~ialillg items not covered under approved lisl. l l e e Work I~~structions is prel~iued in line with cross acceptance approval procedure policy of Railway Board and apex level OMS documents, however latest guidelines (as applicable time to timc, if any) issucd by Railway Board & I S 0 cell on websile (10.10D.3.30/ISOCell) shall be lollowed.

Dacurnent Xlle: Work Instructions for Vendor dcvclopment ofd~vclo~menlal Itc~n 1 Oacurnent No: SI-W1~7 1 ~ 3

Definition :

VcrsronNo: 1.1 I DateERcslivc: 019.201 1

Routine test(s) In house test(s) conducted by the firm. These are generally specified in the relevant specification as Routine Tests.

Acceptancetest(s) Test(s) conducted by inspecting officer on the sample submitted for assessing the acceptability of the material. These are generally specified in the relevant specification as Acceptance Tests.

Type test@) Test@) conducted on a sample to verify conformity to the given specification and design. These are generally specified in the relevant specification as Type Tests.

Approved list Approved list covers the names of all the firms approved by the RDSO for manufacture and supply of electricallelectronic equipments used in signalling installations. The names are listed as part I and as part II.

Vendor is a firm, which supplies item(s) to Indian Railways.

PROCEDUREIDETAILS: The details are given below:

FRESH REGISTRATION:

For vendor approval (vendor registration), the Directorate shall follow the following procedure:

Capacity-cum-capability assessment of any firm is undertaken when-

a) Any new firm approaches Signal Directorate of RDSO for inclusion of its name in the approved list for any developmental item.

b) Railway Board directs RDSO to undertake such assessment in respect of any unapproved firm, which may havequoted against a tender floated by Railway Board.

c) Any Zonal Railway or CORE requests RDSO to undertake such assessment and product of the firm is found otherwise acceptable.

(Y 1 I w I 1'1uparkfT3y: 11'JSign;lVISO 1 Chcckcd By : IllIlSignol-111 I Issued Hy: Di~~ctor/Sigual-111

Vendors seeking registration for any of the items dealt by Signal Dte. shall register online on the RDSO website. All relevant documents like Vendor approval guidelines & application form, latest version of all the relevant specifications, STRs and drawings shall be provide on the website by the concerned Dte of RDSO. The requjsite charges as specified directive in para no. 4.1.27 of this document (this is applicable even where vendors are in possession of developmental/educational orders from Railway Boardl Zonal Railways) and shall be collected through the means as specified on the website.

1S09001:2008

Acknowledgement on submission of application form online:

Document No: SI-WL-71-3 I Version No: 1.1 IlaleEliectivo: 01.9.2011

The vendor shall be given an acknowledgement of receipt of the apph'cation. On submission of application form online, application is saved and a temporary ID no is generated by software for reference of Vendor for any correspondence with RDSO after submission at this stage.

Docurnenl Title: Work 111~tructions for Vendor development of developmental Itclll

Verification of RTGS payment and registation of application of Vendor :

Applications received online shall be initially verified by the official nominated by Directorate 2

Head for verification of RTGS wavment made by vendor. The nominated officlal (RTGS) shall 3

log on to the webs~te on daffy bails tnroLgh prdtected password ssued to hlnl by D~rectorate Head On the websrtr the details of rhe Vendor's name and the RTGS UTR no are ver f ed

k. for receipt of the pa;ment by RDSO by sending a note to Finance Dte. On receipt of 8 confirmation, from Finance Directorate, nominated officer (RTGS) will accept and register the 2 - application form of Vendor. The off~cial is responsible to ensure his password is properly e c protected to avoid any misuse. 8

3. 8

Nomination of scrutinising official of on line application:

The nominated oficer (RTGS) has to select the scrut~nislng offIcial for processing the fresh -, - .?

registration case as per instructions mentioned in SI-Dh4-4.2.2-1 (Directorate Manual for 8 Signal Directorate). The list of the officials in the Directorate who are likely to be nominated S for fresh registration shall be periodically updated through software. On nomination of the e official for scrutiny in the website, the case flle is available online for scrutinising off~dal

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nominated for scrutiny through a protected password. + 1 - - All the scrutinising officials who are nominated for scrutiny of the fresh registration B

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case shall log on to the website every working day and check, whether any fresh 2 a

registration case allotted to them for scrutiny through their protected password. x 8 : 2

Making hard copy o f fresh registration case: a - On allotment of any fresh registration case, scrutinising official shall print the ?

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application form received along with all the documents attached and make a hard .- a

copy of file before processing fresh registration case. r S

Vendor should possess valid I S 0 9001 certificate for his works address, covering c T

the items for which he seeks registration with RDSO. For permanent way items this r is a 'preferable' requirement; for all other items it is a mandatory requirement. Items

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which are being developed exclusively for Railway purposes may be outside the , - - r scope of ISO:9001 certification during the developmental stage. However, the - >.

vendor should be certified to ISO: 9001and the concerned item included in the c 3

scope of this certification before vendor approval is granted. Further, it shall be - - P

ensured that the certifying body which issues the ISO: 9001 certificate is accredited c 8

by an accreditation body that is a part of the International Accreditation Forum (IAF) n

under the Multilateral Recognition Arrangement (MLA). The list of all such o accreditation bodies is available at the IAF website at: http://www.iaf.nu.

Any doubts regarding the veracity of certifying body or accreditation body shall be referred to IS0 Cell.

4.1.9 The vendor should possess valid digital signature and submit the following details:

IS09001:2W8

i) Name of the Certifying Authority. ii) ID of the holder of Digital Certificate iii) Date of issue of Digital Certificate iv) Validity of Digital Certificate

oocurnent ~ n k : Work I~~structinis fur Vcndor devclopmenl of develop~ncntal Item

Version No: 1.1 Dmurnent No: S1WI-7.1-3

It is mandatory for all the vendors to obtain digital signature certificate and get registered with IREPS at www.ire~s.aov.in.

&to EITcclive : 01.9.201 1

4.1.10 Only in case of Railway WorkshopsIProductior~ Units, permission may be given straightway for manufacturing the prototype sample without any Capacity-cumcapability assessment butthey must fulfil the technical requirements as per STR.

4.1.11 Mandatory Declarations by Vendors

4 1.11 1 Undertaking of infringement of IPR.

All the specifications issued by RDSO shall include a requirement of undertaking to o be signed by Vendors on "INFRINGEMENT OF PATENT RIGHTS". The undertaking z - - can be as under' g

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Indian Railways shall not be responsible for infringement of patent rights arising due to similarity in design, manufacturing process, use of similar components in the design & development of this item and any other factor not ment~oned hereln which may cause such a dispute. The entire respons~bility to settle any such disputes1 matters lies with the mnufacturerl supplier. Details1 des~gnsl documents glven by them are not infringing any IPR and they are responsible in absolute and full measure instead of Railways for any such violations. Data, specifications and other IP as generated out of interaction with railways shall not be unilaterally used without the consent of RDSO and right of Railways1 RDSO on such IP is acceptable to them.

4.1 . I1 -2 Declaration of confidentiality of submitted documents by vendors

While submitting a new proposalldesign, vendors must classify their documents 4 - 8

confidentiality declaration, such as This document and its contents are the property 4

of MIS XYZ (Name of the vendor) or its subsidiaries. This document contains . ~- 2

confidential proprietary information. The reproduction, distribution, utilization or the a s communication of this document or any part thereof, without express authorization is 2 strictly prohibited. Offenders will be held liable for the payment of damages. Indian =

n RailwayslRDSO is granted right to use, copy and distribute this document for the - use of inspection, operation, maintenance and repair etc. ", ." -

4.1 .11.3 Data for classifying AlliedlSister Concerns

In order to enable the Railway administration to ascertain whether a firm I company x - - e is an allied I sister concern of any otherfirmlcompany, The firmlcompany applying - for registration shall furnish the following information duly certified by a Chartered s

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Accountant along with registration form- 9

4.1 .I 1.3.1 Addresses Address of office and manufacturing works.

1S09001:2008

4.1 .I 1.3.2 For Proprietorships Name of any other firm, already registered for the same item with RDSO, owned by him.

Omurnen1 No: SI-Wl-7.1-3 I Vcrsion No: I I Dalc 1;ectivo: 019201 1

4.1.1 1.3.3 For Partnership f irms Name of the partners in case of a partnership firm. Name of those partners, who are also partners in any of the firm already registered for the same item with RDSO along with the relationship and profit sharing ratio.

oocurnenl Tale: Work Inslructiorrs for Vendor dcvclopmnlt of dcvclopmental Itc~n

4.1 .I 1.3.4 For companies

Names of all the directors. Name of those diectors, who are also Directors in any of the companies already registered for the same item with RDSO along with the relationship and share holding. The close relatives will include father, motherlstep-mother, husband, wife, brotherlstep- 2 brother, sister/stepsister, sonlstep-son, daughter / step-daughter, son's wife, daughter's il husband, brother's wife and sister's husband. ,2

a

>, c.

4.1 .I 1.3.5 Undertaking t o be submitted b y the applicant 8 2 - e

An undertaking shall also be taken from the applicants that they shall disclose to 2 RDSO, any changes in the status, as reported here, whenever it occurs.

3 H C L,

This undertaking shall hold good while the application is under scrutiny or while the - - firm is listed on the RDSO vendor list. h o

4.1 . I2 Ensuring safekeeping of documents with IPR's $ e

After receipt of complete application forms for vendor registration, concerned 2 .c

Y personnel of the directorate shall marklstamp these documents as "Confidential .- - Document, Access Restricted"( for internal circulation in RDSO) or "Confidential

a Document, Access Restricted , Issued for Official Use" ( i n case the same isrequired Y for field units for inspectionlmaintenancelrepair/operation) . 3

Hard copies of these documents can be kept in separate confidential files by the 3 respective DirectorIJoint Director. Later on if directorate feels it necessary, these

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documents can be scanned and their softcopies can be kept under the safe custody a of concerned DirectorIJoint Director with password protection. i

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4.1.13 Screening for sisterlallied concern z 2

The application shall be screened for identification of allied I sister concerned as c - "

follows: 5 4.1.13.1 For Proprietary Firms , c

In case of Proprietary firms, .the firms qualifying the following criteria shall be + categorized as sister concerns - ,.

all the firms owned by the same person shall be considered as allied 1 sister B B -

concerns. - e - 4.1.13.2 For Partnership Firms %

In case of partnership firms, the firms qualifying the following criteria shall be " +, 0.

categorized as sister 8 concerns:

All firms having the same set of partners. A /

0 I 1 ( Printed: Pmparcd B y ~ i p a V I S O I Checked By : DDISignal-111 I Issucd By: Dircclor/Sig1~al-1I1 I of 43

In case, any one or more partners, who has a profit sharing ratio of 20% or more in the applicant firm as well as has any of the firms already registered for the same item with RDSO, both the firms shall be considered as sister concerns.

lS09001:2008

4.1.13.3 ForCompanies In case of companies established under the Companies' Act, the firms qualifying the following criteria shall be categorized as sister concerns:

All companies having - "majority" of ~irectors common ..Any one or more Directors, or any of hislher close relatives (father, motherlstep- mother, husband, wife, brotherlstep-brother, sisterlstep-sister, sonlstep-son. faughter I step-daughter, son's wife, daughter's husband, brother's wife and sister's husband), has 113rd or more share hoiding in the applicant company as well as in any of the companies already registered for the same item with RDSO, both the companies shall be considered as sister concern

Common share holder having 113rd shares.

4.1.13.4 Other Conditions In addition to this, the firmslcompanies operating from same ofice or having same manufacturing works shall be treated as alliedlsister concern.

. Having identified, from the information submitted by the firmlcompany, that the applicant firmlcompany is an alliedlsister concern of other firm(s)lcompany(s) already registered for the same item with RDSO, a mention to this effect shall be made during scrutiny and subsequently in the Vendor Directory against the names of all such firmslcompanies so that the tendering authorities and tender comnittees may take a note of the same for necessary action.

4.1.14 Vendor Application for registration (QS-F-7.1-1) and other documents (in duplicate) shall be preliminary scrutinized by Signal DirectoratelRDSOI LKO for adequacy in respect of the information sought. Any information considered unsatisfactory should be pinpointed.

- Instructions contained in ext-ref-I should also be considered. Ei

Oacument Tnle: Work h~slruetions for Vendor dcvelopme~it of developmenlal Ilem

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Any clarification to be sought from the firm should be pinpointed at this juncture and 2 0.

communicated to the firm in writing. "

Dale Enktlve : 01 9201 1 Document No: SI-XVI-7 1-3

.z a A technical screening (QS-C7.1-I Check list for evaluation of application of fresh vendor . 2 registration) should also be done at this stage to establish whether on the basis of " 0

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information supplied regarding infrastructure & manufacturing practices, QAP etc., firm can be considered for a visit for assessment of its capability. The vendors may B outsource the manufacturing activities to an IS0 9001: 2008 certified company after 6

2 due approval from Directorate Head. o a

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p 4.1.15 If the firm's application is accepted for further processing after scrutiny, the firm shall . >

be intimated about the status. one set of QS-F-7.1-1 (Vendor Application for A 5 registration) shall be sent by Signal Directorate/RDSO/LKO to Concerned - % ,~ Dir/JD/QAIS&T for detailed scnrtiny of documents, STR verification and capability 6

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assessment. In case of fresh registration of vendors, visit of manufacturing works by - - an officer is mandatory. Assessment of overseas supplier may be outsourced to e

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reputed private inspection agencies. (EDIQA Mech shall prepare a panel of > b

approved agencies and model terms of reference for such outsourced process). If &

6 on the other hand, firm's application has been rejected for further processing, firm

Version No: I . I

will be intimated accordingly. While communicating the rejection, the firm shall be informed about the deficiencies.

4.1.16 Applications found incomplete shall be returnedlnot accepted. If on the other hand, firm's application has been rejected for further processing,' firm will be intimated accordingly. While communicating the rejection, the firm shall be informed about the deficiencies. Once the rejection of application is communicated, the case can be reviewed for consideration of approval with the permission of Directorate Head, if the firm reports complete compliance within six months fromthe date of making communication for rejection. If the firm fails to report complete compliance within the above-mentioned peliod, it shall be asked to apply afresh to RDSO.

4.1.17 As an outcome of above capability assessment, the deficiencies if any, will be advised to the firm for rectification. If the firm does not rectify the deficiencies within a period of 6 months or does not initiate action for procurement of long lead items like plant, machinery and test equipments from the date of issue of letter by DirIJDIQAIS&T to this effect, DirIJDIQAIS&T will recommend the closure of case to Sr. EDlED and the case will be closed. The firm shall have to apply afresh. g

4.1.18 the firm rectifies the deficiencies and approaches Signal Directorate within r .- Z

stipulated time, the Dir/JD/QA/S&T shall again visit the firm to verify the correctness s

of the information supplied by the firm. t 8

4.1.19 ARer the DirlJDIQA/S&T is satisfied regarding capacity and capability of the firm to 2 2

undertake the manufacturing of the proposed Signalling developmental item, he g shall forward the case to Directorate Head, Signal DirectorateIRDSOlLucknow with a 8 his recommendation on the standard format (QS-F-7.1-11 Format for assessment of 8 Vendor for fresh registration). The capability assessment report for overseas -, T; - supplier shall be prepared by the hired inspection agency. o

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DotcEBeclivc: 01.9.2011 IS09001:2008

e 4.1.20 At the time of capacity and capability assessment, DirectorlJt. Director/QA/S&T shall e

also assess the total annual production capacity of the firm and same shall be - communicated to RDSOILucknow along with capacity and capability assessment .o

$ report. " .-

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oocurnent Tnle: Work Instructio~~s for Vcndor developn~ent of develop~nental Itcm

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4.1.21 At Signal Directorate, Lucknow, the concerned ~irectorl~oint Director will further .- z a scrutinize the case as per QS-C-7.1-1 (Checklist for vendor evaluation). In case he u

finds any deficiency or any speaal requirement during scrutiny, then he will advise ! the Dir/JDlQAIS&T and firm to rectify the same in given time period. In case he is 2 > satisfied, then he will take the approval of Directorate Head for granting permission u

for manufacture of prototype test sample by the firm. If necessary, he will seek 0 -1 6

clarification from firm orland Dir/JD/QA/S&T as required. .- D

s

Document No: SI-WL-71-3

4.1.22 DirlJD at Signal Directora!e/RDSO/Lucknow, will then advise the firm to submit the 2 prototype test sample within three months or earlier from the date of issue of such

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B letter, for type testing. If it is not possible to submit the prototype sample within 3

6 y months, permission shall be obtained from Directorate Head to extend this period. ,

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The firm will also be advised to inform its manufacturing schedule to DirIJDIQAIS&T 2 k

and Signal DirectoratelRDSOlLucknow to facilitate stage inspection. >. - s

Vcnion No: I 1

B 4.1.23 If the vendor does not submit the sample within the timeframe a show cause notice - e -

shall be issued to the firm and if satisfado~y reply not received within 30 days, the s case may be closed with the approval of Directorate Head. ,, a n

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4.1.24 On manufacture of the test sample, the firm will conduct routine tests with proper records and advise the DirlJDIQNS&T and Signal Direct~ratelRDSOILucknow for

conducting acceptance test at firm's premises or at any other approved test house1 laboratoty (firm will enclose a copy of routine test results).

4.1.25 When the sample is ready for acceptance test, DirIJDIQAIS&T shall inform his planned testing schedules to Signal DirectoratelRDSOILKO along with duplicate copy of routine test report, test note and other documents one week in advance so that if requested by JDIDir/WS&T a representative of Signal DirectoratelRDSORKO can be sent (for technical assistance). The acceptance test

DatcBffechve . 01 9.201 1 1S09001:2008 Oacurnenl No: SI-W1-7.1 J

shall be conducted either jointly (by a Signal DirectoratelRDSOILKO representative and a Dir/JD/QA/S&T representative) or by a DirIJDIQAISBT representative alone.

oocurnent Tlle: Work Inslruclions for Vendor developnimt of dcvelopmenlal Itern Vorrion No: 1 . 1

After successfully. passing the Acceptance tests, the sample will be sent to Signal Directorate/RDSOlLucknow for type tests. The samples may also be got type tested from any other agency or at the firm's premises at the discretion of Directorate Head of Signal DirectoratelRDSOl Lucknow.

4.1.26 Test charges shall be applicable as per para no. 4.1.27. The nominated officer for capability assessment, after verifying STR and other items satisfactorily, should pick up test samples ( or prototype, where applicable) Where testing at RDSO is required, the samples should be accompanied by Demand Draft in favour of Executive Director (Finance), RDSO, Lucknow, towards payment of testing charges by the firm.

4.1.27 Payment Details for vendor registration:

In addition to instructions of document no. QO-D-7.1-14 (Vendor registration schedule of charges), following table is the lists of charges for different activities for the process of vendor scrutiny /approval /renewal etc.

I SI. No. I Description of 1 Amount I When to be I Remarks 1 Vendor registration

charges for testing of samples at RDSO during the process of approval of vendors for RDSO vendor list.

Rs. 150001-

As applicable by respective directorate.

levied 1

should given item shall

before sample testing charges.

samples. shall be refunded to the first three approved vendors on inclusion into

At the time of submission of the vendor registration forms by the applicant.

A lump sum shall be levied as vendor registration fees. This shall cover registration, STR's and assessment charges.

- I for aDDroved I samples. case of failure In I

3 I the vendor list. 1 All approved vendors are

exempted from paying testing charges for tests at RDSO in case of renewal of registration.

Sample testing charges fortestinp of samples

All testing shall be done free of cost for first

vendors in case of renewal of registration.

Not to be levied

in test see instruction under s.no. 4 of this table.

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Sample testing I As applicable The amount

(% I %&' 1 ,P 1 Prinled: I'lclmrcdlly: JIYSi@laWISO I Chccked 13y : DI1'Signal-111 1 lssr!cd By: DirectorlSignal-111 1 of 41

in case of failure of

! r io s & 8 B - - g 6 x 8 < V

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prepare a list of enlisted 6 e inspection agencies for : such assessment. u

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$ - .-

k ? m. 9 - 1

4.1.28 If during scrutiny by nominated offidal, the information is not adequate andlor the 2 test results are not conforming to the specifications, the vendor shall be informed

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accordingly. If some more information is required, the same may be collected and rl o

case processed further. %

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DalcEffeciivc : 01.9201 1

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4.1.29 If any malpractice or unethical practice by firm is noticed, case may be closed at any 3 stage with the approval of Directorate Head. In case of firm is under cross approval, c

their performance bank guarantee shall be encashed by RDSO. T,

$ .-

oocurnent rue: Work Instruclioi~s for Vendor dcveloplner1t of developmental Item Version No: 1.1 IS09001:2008

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4.1.30 In case the information is in line with the requirements and test results are c 5 satisfactory, the case shall be put up to Directorate Head along with the scrutiny 5

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sheet for his approval (QS-C-7.1-2 Check list for InitiallMaintenance Type Approval). -- 6 m - -

Omurnen1 No: SI-WI.71-3

e 4.1.31 Fresh registration shall normally be given for a maximum period of 2 years, ending 8 on the last day of the 24'h month. Fresh registration shall be given in Part-ll only "

2 after ensuring: Q

ii

e Minimum Infrastructure and adherence to QAP

I I'rnpnlxd ~ ~ I l ; l V I S O I Checker

Satisfactory test of product prototype or initial or extended field trials, (Such details should be provided in the specification of the item.)

IS09001:2W8 Oacornsnt No: SI~WI-71-3

If item is developmental in nature, then firm can be given educational order for monitoring its field performance before registering in Part-ll.

4.1.32 While communicating the fresh registration to the vendor, the approved copy of QAP (Quality Assurance Plan) shall be sent to the vendor for implementation duly stamped as 'approved'. The QAP shall be for the products for which the firm is approved.

k u r n e n t Title: Work Instr~~ct ions Sor Vendor dcvelopmcnt o f developmental Item

Verston No. 1 . 1

4.1.33 The QAP shall be approved by the officer nominated for capability assessment. This will be subject to reviewlupgradation by RDSO in the light of fresh data & experience.

Date EKeclive. 01.9201 1

4.1.34 If an approved firm sets up additional unit even under the same name, management and control, separate capacity cum capability has to be carried out for that unit as per directives in respective Para.. 5

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4.1.35 Procedure for prototype test against other than RDSO specification, i f agreed to, s

6 shall be decided by Directorate Head. 8

3 - 4.1.36 The status of vendor registration shall be displayed on Signal portion of RDSO e -

website under "Vendor Registration" and periodically updated by Signal directorate. 2' ? X d U

4.1.37 Regular 'Expression of interest' should be published in newspapers (preferably on ..z

three monthly basis) for all approved items having less than three vendors. All - - e

developmental items shall also be listed in these EOI. For urgent developmental 8 items, separate EOl's shall be called when required. S

P - 4.1.38 Based on the recommendations of RDSO, Railway shall establish all relevant

procedures, system and safety requirements for training, installation testing & d Y .-

commissioning, functional operation, maintenance & modifications for the system. g IRISET shall develop courses on the subject and organize training. This is to be a

n notified to all Zonal Railways & IRISET in the approval certificate for necessary

.- c& E

action. 3 'C

4.1.39 Product development a - - " 0 -1

There are five conceivable cases for introduction of new equipment I item for use on .- - the Indian Railways. $ 9

These are as listed below: Z 1. Technology and product is available in the open market. o c -, 2. Product is not readily available but manufacturers for similar items exist. ,

3. Technology is not available locally in the market, RDSO develops technology. .- >

4. Technology is available in foreign railwayslcountries open market; RDSO does a c .c B

Transfer of Technology with OEM - >, 5 . Technology is in operation on foreign railways & adopted on cross approval basis. - B - -

e The following processes shall be adopted for product development for introduction n o

of new equipment litem on the Indian Railways. Prior administrative approval of " A 0.

competent authority shall be taken for start of the processes as outlined below. 6 Wherever required the directorate 1 project manager may propose hiring of consultant as per delegations provided under the schedule of powers.

A - la I %A5 I yv I Plmtcd:

I'ropn~eil JI~ISignnUISO I Cheeked By : DDISignnl-111 I Issued By: Dircct6riSignnl-111 I of43

Product development process shall follow the design development process as described in QO-G-7.3-l(Design and development). The following paragraphs contain spedfic instructions on how to process the different categories of product development.

Case l: Technology and product available in the open market

DaroEKsclivc. 01.9.2011

The following process shall be followed. Frame functional requirements Functional requirement specification shall be framed by the directorate describing the purpose of use and desired characteristics. This document shall be placed on the RDSO website after approval of the directorate head. Publication of EOI An EOI shall be published for development of technical specifications for the functional requirements prepared earlier. The EOI shall be published as per the guidelines given in respective para (Publishing expression of interest). Selection of panel Out of the respondents to the EOI a panel of minimum three (if available) shall be $

e selected for deliberations for development of specifications. The selection criteria for

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% selection of panels shall be as provided in respective para. (Publishing expression of .c

*, c. interest). o Finalize draft specification with STR in consultation with the select panel - 5 - The RDSO team in consultation with the selected panel shall finalize the e

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specifications and the STR x u

Creation and issue of specification 8 s V

The RDSO process for creation and issue of specifications shall be followed for ?. issue of new specifications. SI-WI-7.1-1 (Work instructions for issue of drawing - - nos., Specification nos., design documents etc.). c

Vendor approval process if required 4 RDSO vendor approval process shall be followed as required for development of P m

vendors for the specification so finalized. Respective guidelines shall be followed. 3 m 4

~ocurnent ~ i t te : Work Instructions for Vendor development of dcvcloprnc~~tal Itcln

Version Nu: 1.1 lS09001:2008

.z Case 2: Product is not available but manufacturers for similar items exist

c.

Document No: SI.WI-7.1-3

.- The following process shall be followed in this case. 2 Frame functional requirements Z Functional requirement specification shall be framed by the directorate describing 2 the purpose of use and desired characteristics. This document shall be placed on 5 the RDSO website after approval of the directorate head.

" 0 -I

Publication.of EOI i_

An EOI shall be published for development of technical specifications for the 5 3

functional requirements prepared earlier. The EOI shall be published as per the 2 guidelines given in respective para. (Publishing expression of interest). - c Selection of panel $ Out of the respondents to the EOI a panel of minimum three (if available) shali be .?

selected for deliberations for development of specifications. The selection criteria for c z

selection of panels shall be as provided in respective para. (Publishing expression of 3 >, -

interest). .c 6 Willingness for joint development, if required - - g A willingness certificate shall be obtained from respondents for joint development. Finalize draft specification with STR in consultation with the select panel x~ a

The RDSO team in consultation with the selected panel shall finalize the v

specifications and the STR.

Sanction of work Based on the cost estimates for the development process, a detailed estimate shall be drafted and sanctioned for taking up the work of development as per the established process ot creation vetting and sanction of estimates. Orders for manufacture of prototypes Tenders (openlspecial limited tenders) shall be called for development of the prototypes. This tender shall be evaluated and orders for manufacture of prototypes shall be issued to the each of selected parties. Verification I validation of prototypes The prototypes received shall be evaluated as per the draft specification. This shall be done as in two stages namely: verification of design calculations and validation of actual performance. Iterate if necessary In case improvements are required in the prototype design; further orders may be given to develop further prototypes or to improve the same. This process should be iterated as required for finalization of the design and verification I validation of the prototype. Finalize draft specification The final draft specification shall be created by the RDSO team in consultation with the selected panel incorporating changes that are required over the peliod of the development exercise. Creation and issue of specification

The RDSO process for creation and issue of specifications shall be followed for issue of new spedfications. SI-WI-7.1-1 (Work instructions for issue of drawing nos., Specification nos., design documents etc.). Vendor approval process if required RDSO vendor approval process shall be followed as required for development of

vendors for the specification so finalized. Respective guidelines shall be followed. (Vendor Development process guidelines).

The firms who have successfully developed the product through this process of product development shall be listed as part-ll vendors on the RDSO vendor list. They shall be exempted from payment of vendor registration fees.

1509001:2008

Case 3: RDSO develops technology "

When the technology I design are developed by RDSO the following steps shall be .' -$

followed. .- L Follow internal design development process '.

The RDSO internal design development shall be followed for development of > E ,-

product design. In case prototype needs to be developed and tested along with " .%

updation of specifications the following steps shall be followed. However, if n

% prototype development and testing is not required then the steps may be omitted 3 u and process should be started at the stage of creation and issue of draft G a

specification. The directorate shall record the reasons for adopting the shorter E s process and approval of DG shall be obtained.. For such specifications. The 2

> c

limitations and areas of further work to be done shall be mentioned as a part of the - Y s specification. - -.

Publication of EOI c a 3

An EOI shall be published for finalization of specifications and development of u .- A e

prototypes if required and not developed. The EOI shall be published as per the d

c = guidelines given in respective para. (Publishing expression of interest). L=

'?, n

Selection of panel m V

Out of the respondents to the EOI a panel of minimum three (if available) shall be selected for deliberations for development of specifications. The selection criteria for

fa / I w I $/ I Printed:

lllol~:tri<lKy: JlVSig~atUISO I Checked By : DWSignnl-Ill I Issued By: DimctodSigt~al-I11 [ oF43

oocurnen~ ~it le: Work Instructio~~s for Vendor developrnerlt of dcvclopmental Item

Datonf f~~ l ive : 01.92011 Document No: $1-W1~7.1-3 Verrio~l Nu: 1 . 1

selection of panels shall be as provided in respective para. (Publishing expression of interest). 1NrIlingness for joint development, i f required A willingness cerlificate shall be obtained from respondents for joint development. Finalize draft specification with STR in consultation with the select panel The RDSO team in consultation with the selected panel shall finalize the specifications and the STR. Sanction of work Based on the cost estimates for the development process, a detailed estimate shall be drafted and sanctioned for taking up the work of development as per the established process of creation vetting and .sanction of estimates. Orders for manufacture of prototypes Tenders (openlspecial limited tenders) shall be called for development of the prototypes. This tender shall be evaluated and orders for manufacture of prototypes shall be issued to the each of selected parties. Verification I validation of prototypes The prototypes received shall be evaluated as per the draft specification. This shall be done as in two stages namely: verification of design calculations and validation of

W P

actual performance. G Iterate if necessary 9

>. a In case improvements are required in the prototype design; further orders may be x given to develop further prototypes or to improve the same. This process should be Z - iterated as required for finalization of the design and verification I validation of the

0 5 W

prototype. A

Finalize draft specification 8 s The final draft specification shall be created by the RDSO team in consultationwith

0 -a

the selected panel incorporating changes that are required over the period of the - - 0 -

development exercise. ,,

Creation and issue of specification n

The RDSO process for creation and issue of specifications shall be followed for P - issue of new specifications. SI-WI-7.1-1 (Work instructions for issue of drawing 3 nos., Specification nos., design documents etc.). Vendor approval process if required ~$ RDSO vendor approval process shall be followed as required for development of Q

z vendors for the specification so finalized. Respective guidelines shall be followed. .-

0.

(Vendor Development process guidelines). The firms who have successfully u

3 developed the product through this process of product development shall be listed 2 as part-ll vendors on the RDSO vendor list. They shall be exempted from payment

u

of vendor registration fees. 0 -1 W' - .-

Case 4: RDSO buys product with technology on TOT from OEM Sanction of B P 3

work 2 c

The process of sanction of work as a WPlRSP proposal shall be followed as U 3

required. .- >

Finalize draft specification c -J .=.

Draft specifications shall be framed by the directorate describing the purpose of use 1.

and desired characteristics. This document shall be placed on the RDSO website m o

after approval of the directorate head - - e

Publication of EOI - 6

An EOI shall be published for finalization of specifications and development of >, a prototypes if required and not developed. The EOI shall be published as per the 5 guidelines given in respective para. (Publishing expression of interest). Selection of panel

lS09001:2008

L3 \

n L I'~~c~nrcdrl~g,~ilVISO I Cl~eckedBy : DWS

Oncumenl No: ST-WI-7.1-3 I Verrioli No: I . I D n t c F t i ~ l i v c ~119.2011

oocurnenl TM~: Work 111struction~ for Vendor dcvelopmel~t of developmental Ilcm

Out of the respondents to the EOI a panel of minimum three (if available) shall be selected for deliberations for development of specifications. The selection criteria for selection of panels shall be as provided in respective para. (Publishing expression of interest). Finalize spec & STR i n consultation with select panel The RDSO team in consultation with the selected panel shall finalize the specifications and the STR. Creation and issue of specification The RDSO process for creation and issue of specifications shall be followed for issue of new specifications. SI-WI-7.1-1 (Work instrudions for issue of drawing nos., Specification nos., design documents etc.). Tender for product and TOT Tender for TOT shall be published based on the final specifications. The processing of the supply and TOT shall be done in accordance with the conditions of the finally accepted contract document. It shall be ensured that the TOT provider provides the detailed documents defining the type and extent of mntrol of the outsourced sub- assembly I process that affects product conformity to requirements. Follow case 2 for further development and indigenization 2 Further development I indigenization of product or its sub components shall be done L:

5 in following the guidelines under Case 2. a >. a Vendor approval process if required x RDSO vendor approval process shall be followed as required for development of 3 -,

vendors for the The firm supplying the TOT shall be listed as part-l vendor on the 0 4

RDSO vendor list for the equipment supplied. The sub-suppliers who have supplied 0

Ld

sub-components that have been tested by RDSO during the acceptance test of the 8 6

complete equipment shall also be treated as part-l vendor for the sub-component j

supplied by them. Other sources of sub-components indicated by the TOT provider - - shall be listed as part-ll vendors. o " All the firms as described here shall be exempted from payment of vendor Ei registration fees. - :: -

3 a

1S09001:2008

Case 5: Adoption of technology on cross approval basis ri - s - E

Finalise draft specification a z The drafl specification shall be framed by the concerned Directorate describing the b o

broad functional requirements and the purpose of use and desired characteristics. a This dralt specification shall be loaded on the RDSO website after the approval of E

n. Directorate Head - -,

0

EOI for interested foreign manufactures 0 i

An EOI shall be published for finalization of specifications and approval of i, - - prototypes if required and not developed. The EOI shall be published as per the B

.a 3

guidelines given in respective para. (Publishing expression of interest). 2 Submission of documents c 0

The interested firms shall subnit the following documents to RDS0:- 3 s

1. Independent verification and validation safety report based on standards as Y >

applicable and other related documents. 5 5 2. Environmental/clmatic and EMllEMC test reports of system and sub-systems. -. >. 3. Performance feedback of users of the equipments already installed over World S

Railways for minimum quantity as prescribed. 2 - - e 4. History of modifications in the hardware and software of the equipment and their -

G

reasons. 0 *. r..

5. Commitment of the firm for maintenance and repair support in India. e 6. Detailsof testing and repairing facilities proposed to be installed in lndia.

Document Tale: Work Inslructions for Vcndor dcvclopmc~~t of dcvelop~nental Item Oocumenl No: S1-W1-7.1-3 Vcrrion No: 1.1 DateRtT=live: 01.9.2011

7. Detailed documents defining the type and extent of control of the outsourced sub- assembly ! process that affects product conforndty to requirements. Selection of panel Out of the respondents to the EOI a panel of minimum three (if available) shall be selected for deliberations for development of specifications. The selection criteria for selection of panels shall be as provided in respective para. (Publishing expression of interest). Finalize spec & STR in consultation with select panel The RDSO team, in consultation with the selected panel and zonal railways, shall finalize the specifications and the STR. Examination of documents Exarnine the documents and vatious tests done on the product. This may include independent validation and testing wherever required. Willingness to indigenize the product The firm shall be requested to give its willingness to indigenize the product in a prescribed timeframe. Provisional approval for performance assessment If the documents and details submitted by the firm are found in order, the provisional

:: P

approval to supply limited number of equipments for field trial for performance $ assessment shall be given to the firm. a

6 Field trials 8 The cross approved equipment shall be monitored during the course of field trials. - 3 Approval for regular supply g

Based on the performance in the field of the equipments for a prescribed equipment A

months, the regular approval to the firm to supply equipments to Indian Railways 8 6 shall be given. m

Follow up for indigenization - - g

After the creation of necessary infrastructure required for indigenization, the capacity-cum-capability of the local firm shall be assessed. After indigenization, the annual progress of indigenization shall be monitored and after completion of r

indigenization, the firm has to offer indigenized prototype sample for type testing to 3

RDSO in a given time frame. The type testing shall be applicable as in case of any ti - " .-

other indigenized product developed in India $ Creation and issue of specification n.

The RDSO process for creation and issue of specifications shall be followed for .- e

issue of new specifications. SI-WI-7.1-1 (Work instructions for issue of drawing B nos., Specification nos., design documents etc.).

P 2 Vendor approval process if required a

RDSO vendor approval process shall be followed as required for development of A

vendors for the specification so finalized. The approved firm shall be listed as pari-ll a - .-

vendor on the RDSO vendor list for the equipment supplied. The sub-suppliers who > e

have supplied sub-components that have been tested by RDSO during the 2 acceptance test of the complete equipment shall also be treated as part-ll vendor for c d

the sub-component supplied by them. Other sources of subcomponents indicated ? s by the TOT provider shall be listed as part-ll vendors. .- , All the firms as described here shall be exempted from payment of vendor

c

g registration fees. &.

r: B

4.1. 40 Publishing expression of interest: - - e - "

Ua1r;Elfecbuo: 01 92011 IS09001:2008

0

EOI may be.issued by different directorates for the following: - a) Development of specification of new products either to replace product with new i~

Docurnen1 Tale: Work Inskrn~cliol~s fnr Vclldor development of developnie~ital Itcln

Document No: S1-W1-7.1-3 I V c ~ i o ~ No: 1 . 1

technology, better manufacturing process or additional item in equipment or rolling stock.

t3 I I'mparcd I ~ ~ I I ~ V I S O I Cl~ecked B

b) Developing more vendors for an item. c) Selection of panel for consultancy. d) Any other need with specific approval from competent authority

1S09001:2008

4.1.40.1 Process of EOI 1. Prepare a draft Functional Requirement Specification (FRS) of an item for which

EOI is being invited. 2. Approval for issue of EOI from competent authority, i.e. Directorate lncharge for

4.0(a) to (c) and Director General(DG) for item under 4.0(d). 3. Publishina of brief descriation of EOI in the newsaaaer with details oosted on the

Oocumenl Tile: Work Instructims for Vc~idor dcvclopmcnt of developmental Item

Document No: SIW1-7.1-3

. . ~ ~~

RDSO's website. 4. Where global EOI is to be invited, requirements of all Dt& for such items can be

collected and invited by the Research Dte. Such proposal for invitation of global EOI will need administrative approval from DG.

5. The typical notice of EOI is provided under para 4;4. Normally the firms may be asked to subMt his proposal within a period of one month from the date of publication of EOI.

6. The interested party may be asked to give information relevant for the EOI and may include the items as indicated in Annexure-ll.

7. EOI may also include expected business of new technologylitem proposed to be developed.

4.1.40.2 EOI for purpose of short listing EOI can be for the purpose of short-listing some of the firms for further development lfinalisation of the specification or it can be only to explore the technology. If EOI is for short listing, the selection criteria should be defined in the EOI. The model criteria for short listing are indicated below:

marks & other as percentile.

firm having maximum be given full marks

Vcrrian No: 1.1

n I 44N-' I v I Printed: ,. - ..., ". 8 - . . .- , . .- -. .... , .. ~.

DntcElTeclivz : 01.R2011

I ~ ' t ' c p ~ ~ ' c u ~ y II'/SI~IIIIUISU I LIIeCKe4 Uy : UU,slgnaI-Ill I Isstled By. UI~CIO~~SI~LIBI-III ( I'age 16 0143

The criteria given above may be suitably extended for specific EOI by the concerned directorate with the approval of the directorate incharge.

The short-listing can be done by a standing committee of 3 officers nominated for each directorate and with approval of Directorate incharge.

Dale EiTmlive : 01.9201 1

4.1.40.3 EOI for consultancy panel

oocurnent ~ i t le : Work I~istnretio~~s for V e ~ i d o ~ developmc~it ofdevelopmenlal Item

V~.r$lon No. 1.1 1S00001:2008

EOI for selection of panel for consultancy shall be issued with detailed document of eligibility criteria and assessmenffevaluation method needs to be included and offer needs to be submitted by due date. Further, the assessment is done first and on its approval, screening be done by a committee of at least three officers which should include a member from finance.

Oocurnenl No: $1-WI-7.1-3

4.1.40.4 Standard notice for EOI

The following standard not ie shall be published:

EXPRESSION OF INTEREST

m Ministw of Railways, Research, Design & Standards & Organisation (RDSO), 8 ~ucknow is interesied in developing firms I specifications for <name of the ite~nz. 3 Firms who have enough experience and capabilities in the field and IS0 certificate - c and are interested in developjng and supply of said item are requested to see the

u

L'

details on the RDSO website htt~://w.rdso.aov.in or contact <name & telephone 8 .G

no. Of the officer> in Lucknow on any working day for further details. The firms are U

B requested to submit details in the prescribed format by <closinq date> to <- - -

Z - ofiice address of an officer>. 8

2

The above may be suitably extended for specific EOI by the concerned directorate P u

with the approval of the directorate incharge. D

z e

4.1.40.5 Details to be submitted by the respondents 5 The respondents to the EOI shall be instructed to submit the following details: - - 1. Turn-over of the firm during the last three financial years with the copies of annual ii

report. " 3

2. Details of various items being manufacturedlconsultancy undertaken. .-

3. Details of customer(~) and supplies made in the field of item under Eol. s. - a

4. Experience and expertise for the items proposed in E01. -I

5. Details of man-power with their qualification and experience. u - - - 6. Detailed proposal for items proposed in EOI including alternative proposal, if any. ."

3 7. Details of Intellectual Propem Rights (IPR) held, patent filedlheld and 2

MoUlagreement signed. c

8. Details of IS0 certification s 2 .-

A starting template for response to the EOI is provided as an annexure to this s < document. This should be suitably amended to fit the conditions for the respective - -, EOI.

4.1.40.6 FORMAT FOR LEfTER OF RESPONSE A rn

(MODIFY FOR USE W1TH SPECIFIC EOI) u

Resaondents Ref No.:

Date:

IS090D1:2008

Designation of officer to whom the respondent replies Room No: Building: Research Designs & Standards Organization Ministry of Railways Manak Nagar Lucknow, INDIA 22601 1

Dear Sir,

Subject: RESPONSE TO - EOI FOR PARTICIPATION

1. We, the undersigned, offer the following information in response to the Expression of Interest sought by you vide your Notification No. , dated -.

V '

2. We are duly authorized to represent and act on behalf of 2

(hereinafter the "respondent') 2 h

3. We have examined and have no reservations to the EOI Document including Addenda G 8 2 -

4. We are attaching with this letter, the copies of original documents defining: - " 4.1. the Respondent's legal status; 1

2 4.2. its principal place of business; " - z - -

e 4.3.its place of incorporation (if respondents are corporations); or its place of - S

registration (if respondents are cooperative institutions, partnerships or individually 5 owned firms); Y -

4.4. Self certified finanaal statements of Last three years, clearly indicating the financial .c

turn over and net worth. 2 ~- €

4.5. Copies of any market research, business studies, feasibility reports and the a

likesponsored by the respondent, relevant to the project under consideration . ., a "

5. We shall assist MoR and/or its authorized representatives to obtain further clarification 2 from us, i f needed. . -

ri 5

5.1. RDSO andlor its authorized representatives may contact the following nodal u 0

-1 persons for further information on any aspects of the Response: r o a g

Dmomenl No: sl-wra.1-3 I Vcrriun No. I. I I Ihle 1';ITmlive : 019.201 1

humen1 Tnle: Work Iostructions for Vendor develop~ne~it o f developmental Item

r .c

6. This application is made in the full understanding that: - 3 >,

6.1. Information furnished in response to EOI shall be used confidentially by RDSO for z -z .-

the purpose of development of the project. - -. o

S. No.

1

2

c

6.2. RDSO reserves the right to reject or accept any or all applications, cancel the EOI -, u and subsequent bidding process without any obligation to inform the respondent GL

r2

about the grounds of same

6.3. We confirm that we are interested in participating in development of the project

Contact Name Address Telephone E Mail

1S09001:2008

Yours sincerely,

7. We certify that ourturnover and net worth in the last three years is as under:

(sign) NAME In the Capacity of Duly authorized to sign the response for and on behalf of Date 4.2 VENDOR LIST:

Docurnen! mle: Work lnstructiol~s for Vendor developmc~~t ofdcvelop~ncnlal Item

Oacurnent No: SI-WI-7.1-3

Financial Year

C A I I I'topatzd I ? ~ : ' & / @ I I R ~ / I S O I Cl~cckcdBy : DWSignal-Ill I Issued By: DirzctorISignal-111 I of43

Vcrrion No: 1.1

1. In response to the EOI we hereby submit the following additional details annexed to this application.

1 .I. Details of various items being manufacturedlconsultancy undertaken.

1.2. Details of customer(s) and supplies made in the field of item under Eol.

1.3. Experience and expertise for the items proposed in EOI.

1.4. Details of man-power with their qualification and experience.

1.5. Detailed proposal for items proposed in EOI including alternative proposal, if any.

1.6.Details of Intellectual Property Rights (IPR) held, patent filedlheld and MoUIagreement signed.

1.7. Details of IS0 certification z Y

8. The following undertakings are hereby given: $2 >.

8.1. In regard to matters relating to the security and integrity of the country, no charge "- e sheet has been filed by an agency of the Government I conviction by a Court of B - Law for an offence committed by the (name of the g entity)or by any sister concern of the ------------------(name of the entity )

c "

would result in disqualification. x 8 .c 0

8.2. In regard io matters other than the security and integrity of the country, 2 - (name of the entity) has not been convicted by a Court of Law or indicted 1 passed -

g any adverse order by a regulatory authority against it or its against any sister c

" concern which relates to a grave offence, or would constitute disqualification. Grave 2

e offence is defined to be of such a nature that it outrages the moral sense of the u

community. $ 9. The undersigned declare that the statements made and the information provided in the g

duly completed application are complete, true, and correct in every detail. We also a ",

understand that in the event of any information furnished by us being found later on to .- a be incorrect or any material information having been suppressed, RDSO may delete our 8

name from the list of qualified Respondents. We further understand that RDSO will give $ .- first preference to the applicants considered relevant for the purpose. i a

10. Our response is valid till, (date in figures and -I

words): - .- 6 :

Turn over

Dale Effective 01.9.2011

Net worth

4.2.1 Publication of list &Validity: The approved list of suppliers for Electrical Signalling Items shall be a controlled document to be issued twice every year duting January & July by Q N S&T Directorate. The approved list shall be valid for six months.

IS09001:2008

4.2.2 Changes during intervening period: Changes in the intervening period shall be advised to the copy holders of the vendor list through amendments to the vendor list to be issued at the end of every month. However, fresh approvallupgradationl downgradationl delisting are to be advised to vendors & copy holders immediately.

Additionsldeletions to the approved list thereafter would be issued as an amendment to the approved list at the end of the month by QAI S&T Directorate. However, fresh approvallup-gradationldowngradation ldelisting are to be advised to vendors & copy holders immediately by QNS&T Directorate. All amendments should bear continuous serial numbers for traceability. Monthly position shall be given to QAIS&T Directorate by Signal Dte. for developmental items under the control of Signal Dte.

Dacument Tile: Work Instructions for Vendor development o f dcvclopmcntal Itcm I Dacutnent No: $1-Wl~7I J

4 2.3 Display of vendor status on the website: The status of vendor upgradation shall " 2

be displayed on RDSO Website and peliodically updated by the concerned t! e directorate. .o

6. "

4.2.4 Deletion of item listed on the vendor list: Any change in the list of items the 4 - - vendor list shall be done after due consultation with the DG. 5

S

Vorsion No: I . I

4.2.5 Change of specification of items on vendor list: Any change in the specification of items the vendor list shall be done after due consultation with the DG. All vendors on the approved vendor list registered for the item for which the specifications are to be changed shall be provided copies of new documents free of charge. (See also related document of schedule of charges.)

Datc Bffcclivu : 01.9201 1

4.2.6 While approving firms, an undertaking shall be obtained from them that they will not be part of a cartel with other vendors and will be quoting competitive rates in the tenders. The firms who quote in cartel are likely to be deleted from the list of approved vendors.

4.2.7 For certain signalling items as approved by Railway BoardlDirectorate Head, the firm's name will be recommended to Railways. The recommendation shall be done in accordance to the RDSO specificat~on of that item and procedure as given in Clause 4.1 will not be applicable to these items. These are the items where type testing in India is not feasible and items are commercially off the shelf available in the market. These items are not specifically designed and manufactured for Railways. However, the inspection for these items shall be carried out by RDSO, if requested specifically by the purchaser.

4.3 PROCEDURE ORDER FOR CROSS ACCEPTANCEIAPPROVAL OF SOFTWARE EMBEDDED ELECTRONICS SYSTEMS AND NEWIIMPORTED TECHNOLOGY . PRODUCTS FOR RAILWAY SIGNALLING (Appbcable from21 6 2010)

7

(Ref RB's letter No 2003/SIGl~SGFl7 dt 318 10 03 .03 01 2006.14 09 2006, 12 01 2007.11 07 2007.31 08 2007 & 0362010 1 . - -

4.3.1 Preface " p. i

These guidelines are meant for evaluating software embedded electronic systems and newlimported technology products for Railway signalling, which are already in

use on a passenger carrying service anywhere in the world at speed more than IOOKMPH, for uniform adoption on Indian Railways using the concept of cross acceptancelcross approval. These form part of the type approval guidelines already being followed by RDSO. The procedure outlined in relevant CENELEC or any other equivalent standards to define and verify the safety requirements form the basis of these guidelines.

4.3.2 Object : The object of these guidelines is to outline the process, activities, responsibilities and documentation necessary to carry out the Cross AcceptancelCross Approval exercise by RDSO within a laid down timeframe.

Dale EncLive: 01.9.20LI

4.3.3 Responsibility of Safety Assurance:

kcurnen! Tille: Work I~istructions for Vendor dcveloptne~~t of dcvclop~nc~~tsl Item

Version No. I 1 IS09001:ZM18

(a) RDSO shall be responsible for the overall safety of the system. For proper installation, testing & commissioning, operation & maintenance for each of these segments of the safety system lifecycle, engineer in-charge of the section from maintenance & construction organizations shall be responsible along with the engineers and technicians working with them. (SEM Para 2.1) ,2

*

(b) RDSO shall be responsible for giving safety clearance adopting the guidelines t pertaining to Cross AcceptancelCross Approval for uniform adoption on IR. This will 2 .. e include the System Hardware & Software Platform, Application software for ! implementing Safety Functions, Communication Interfaces, InputlOutput modules,

s 8 Power Supply (vital) Systems & other related equipment. RDSO may grant (a) .c

U

General Approval to the system for uniform adoption (b) Approval for Specific ti 1 -

Application. Name of such approved suppliers for such imported Signalling systems e shall be included in the RDSO's approvedlist. 0

z i:

4.3.4 Type of Approvals: 7 a d

(a) General System Approval: P " $

Omurnen1 No: SI-WI-7.1-3

This approval for a particular productlsystem will be requested by the manufacturer 8 ii

of the system, who will be responsible for submission & authentiaty of the 8 documentation. The documentation should be as per procedure laid down. RDSO 3 wll evaluate & grant this cross acceptanoelapproval. C

a a ;

(b) Approval for specific application: 3 . * * CSTE may be authorized to give such approvals for speafic applications at a few b

locations for the purpose of trials on his Railways. 2 -

Note: In each of these cases, the safety case will have to be made. Safety Case is b .-

documentary evidence that the safety system is conforming to and complies with the laid down safety requirements for it. Therefore, General System Approval Safety 2

b

Case & specific application Safety Case will have to be prepared in accordance with , - 5

relevant CENELEC or equivalent standards & submitted to RDSO or CSTE as the - - case may be for assessment. -

? E: 8

4.3.5 Applications: E These guidelines shall be applied for evaluation & acceptance of all Software V

Embedded Electronic Safely Systems and New 1 Imported Technology Products for Railwav Sianallina for orovision on IR. Some of these systems are Universal Fail , - -

r;l I l'rcpawcl l3y: -0 I Checked Ry

Safe Multiplexer, Digital Axle Counter, Electronic Interlocking. TAWD. TPWS (a variant of AWS). AFTC (Audio Frequency Track Circuit) etc.

4.3.6 Procedure:

IS09001:2008 Document No: SI-LVI-71-3

4.3.6.1 The manufacturerlsupplier seeking approval on the basis of cross acceptancelcross approval for software embedded electronic system and newlimported technology products for Railway signalling shall have to purchase a Registration Booklet from RDSO & duly filled-up Booklet shall be submitted to Sr. .EDlSignallRDSO along with all the support documents in compliance to all provisions of this procedure order. A Xerox wpy of the money receipt shall also be submitted.

4.3.6.2 Based on the information furnished by manufacturerlsupplier, capability assessment shall be done, if required, by RDSO. Manufacturer1 supplier shall submit all the necessary papers in support of their credentials induding financial status. Copy of agreement for tie up with original manufacturer shall be submitted.

Document Tille: Work 111~1r11ctions for Vcndor development o f dcvclopmcntal Itc~n

Version Nu 1.1

e 4.3.6.3 Manufacturer/supplier shall depute his technical personnel for technical $ s

clarifications when required by RDSO. L 8

Dvlc Eticclive : 019.201 1

4.3.6.4 The manufacturerlfirm shall submit a Safety Plan to RDSO for evaluation of the L: - 8

systemlequipment for Cross Acceptance I Approval. All documents shall be prepared in English language, checked & verified & marked appropriately A

indicating their version number, no. of alterations, etc. 8 z I,

4.3.6.5 (a) Safety plan shall be prepared and subnitted. This will include:-

e (i) System description, which includes the system architecture Iconfiguration, -

system design 8 safety principle adopted for hardware & soflware. a .a

(ii) Safety Integrity Level of the system u

(iii) Safety case 3 ..

(b) Manufacturer shall check and verify that the system being offered meets the c. u

requirement of safety integrity laid down by Railways. j .. &

(c) Safety case shall consist of the following documents: - " 0

(i) Details of approval given by an authority responsible for clearing safety system for use on a passenger carlying service at speed of more than 100 KMPH anywhere in the world.

(ii) Standards to which the equipment have been developed and proposed to be supplied, i.e., CENELEC standard or any other equivalent standard adopted by that passenger-carrying Railway.

(iii) Details of agendes, which have done soflwarelhardware validations. (iv) Critena adopted and assumption made. (iv) Documentation of these approvals, including trials, tests & measurements and

simulation carried out. (v) Restrictions, precautions, conditions or linitations imposed while giving clearance

and thereafter action taken by the manufacturer. (vi) Calculations of Hazard rate or rate of unsafe side failure.

(vii) Detailsldocuments related to installation, functional operation, maintenance & modifications. Part list, wiring diagram, cable requirement, and list of tools and measuring equipments along with specification shall be given.

(ix) Performance feedback duly authenticated and certified by various user Railways. Name, Designation, Phone & FAX Nos. and address of the official certifying the performance feedback should be clearly available. This will include Mean Xme Between Failures (MTBF) and Mean Time Between Wrong Side Failures (MTBWSF) and Mean Time To Repair (MTTR) figures as per format given.

(x) Software 8 related instructions to configure the system initially as well as later due to changes in yard layout.

(xi) Complete history of developnlent of the equipment shall be given. Modifications carried out in the system, if any, during last five years shall be listed. Date of each modification with brief reasons for undertaking modification and whether modification has got approval of original validationlapproving agency. Version No. allotted after each modification shall be mentioned.

(xii) Routine tests (which must be carried out on each equipment by the manufacturer) and acceptance tests (which are to be carried out on the equipment in the firm's w

premises before delivery) formats with test procedures and its significance for 2

safetylreliability assessment of equipment. Sample routine test repolti factory e g

acceptance test reports shall be submitted a >, m.

(xiii) Details of climatic1EMI (Electro Magnetic 1nterferenoe)lEMC (Electro Magnetic 8

Compatibility) tests undergone by the equipment. Test reports of an accredited - - ia test laboratory (third party) shall be submitted. (The equipment shall also be 2 .> s subjected to environmental tests as per RDSO specification if not already done 3

by some other reputed agency to the specified severity). ,= 8 (xiv) Clause wise compliance statement to the existing IRSIRDSO specification and U

ti

statement whether system is suitable for Indian Railway application or will require .- - 0 -

modifications. S (xv) Updated histoly of application has to be submitted in the format given for use in 3

passenger carrying service at speeds of more than 100 kmph. r - .2

IS09001:2008

4.3.6.6 The Safety Integrity RequiremenWLevel for all vital applications for LC gates, station 8 Block Signalling 8 Interlochng systems I equipment I Track Circuits to be used on lndian Railways, shall be SlL-4. In case, any system is required to have an SIL other than Safety Integrity Level-4 (SIL-4), RDSO shall obtain the approval of the Railway Board before evaluating the system for Cross Acceptance.

4.3.6.7 Based on the recommendations of RDSO, Railway shall establish all relevant procedures, system and safety requirements for training, installation testing & commissioning, functional operation, maintenance 8 modifications for the system. IRlSETshall develop courses on the subject and organize training.

Document ~nle: W o h I~~structiol~s for Vendor developmenl of dcvelopme~rtal Itcln

Omurnen1 No: St-WI-7.1-3

" 4.3.6.8 The evaluation for Cross Acceptance shall normally be in compliance to the -2 B

relevant RDSO specifications. In case, RDSO specifications are not available, . .- , then, Railway Board's approval will be obtained for adopting any other

c E -.

specifications to which the equipmenWsystem conforms to. Since these products B >, -

are developed to world standards and not to Indian standards, certain deviations T, E

are unavoidable. The deviations not affecting the safety shall be normally - _e acceptable. In case of any major deviations from RDSO specifications observed s during the process of Cross Acceptance/lnspection, the same shall be referred to a

Railway Board for obtaining dispensation. 0 . 0

4.3.6.9

VerrionNo: 1.1 DrleE11ective: 019.2011

0 I I ) I L . ~ ~ O ~ Bj~&'.WS&aV1SO 1 Checked

(i) Provenness ctiteria of equipment usage of same Typemake & ModelNersion shall be as under: -

IS09001:2008

I ii) For medium & large yards of more than 50 Routes I

1 Dalcliffweive: 01.92011 Omurnenl mle: Work Instructions for Vendor devclupmcnt of developmental Itcrn

oocumenl NO: SI-WI-7.13

S.No.

1. 2.

3.

Version No: 1.1

Category of Equipment1 System

Digital Axle CounterIAFTC AWS (i) On Board Equipment

(ii) Track Equ~pment Balise

Electronic lnterlocldng i) For wayside station upto

50 Routes

a) built up by adopting a building block approach using proven(already approved by RDSO) indiv~dual sub-system

Notel: For items at S.No. 1.2, 30 )& 3(ii)(a): At least 20% of the equipmentlsystem, with a minimum of 10, should be in continuous operation for a minimum period of 720

b) based on totally new design approach

days

Minimum no. of Equipment

50 25 100

25

25

a

NoteZ: Additional for item at S .No. 3(ii)(a): 25 Nos. is the total equipments commissioned ti

as sub-systems(for wayside stations) as well as built up systems(for mediudlarge stations). Out of these, a minimum of 10 should be in continuous operation for a 6 rn

minimum period of 180 days as built up systems for mediudlarge stations. .- 8 -

Equipment Hours in use

4,32.000 2,16,000 8,64,000

2.16,OOO

2,16.000

10

$ Note3: For item at S.No. 3(ii)(b). At least 20% of the equipmentlsystem, with a minimum 6

4

of 5 should be in continuous operation for a rrdn~mum period of 720 days. g +,

86,400

- .- m

e Note4: If the offered equipment has undergone minor hardwarelsoftware upgradation to 3

improve functionalitylsafety of the equipment in recent past, then the equipment 2 utilisation of the earlierversion (prior to minor modifications) can be considered for B

B the provenness. However, in such cases, a minimum of 10 (Ten) upgraded 3 ~- equipment~ should be in continuous operation for a minimum period of 180days. >

5 x 2

h

(a) While applying for cross acceptance, the firm shall clearly state whether it agrees O 3 to indigenise the manufacturing as per details given in following sub-paras (b) & (c).

(b) The suppliers of soffware embedded electronic safety system shall have indigenous manufacturing and testing facilities. The supplier shall commit to a phased indigenization programme of 25% 50%, 75% & 100% from the first year to the fourth year respectively in respect of PCB assemblies and other electronic sub-systems. The firm shall sign an "Undertaking" (on enclosed proforma) as performance guarantee bond & submit a Performance Bank Gurantee (on enclosed proforma) with RDSO of Rs. 50,00000/- (%. Fifly lac only) to enforce this clause. Extension of the indigenization beyond 4 year, upto 6Ih month, may be given by DGIRDSO on merits of individual cases. Automatic test equipments and repair fecilities should be set up in lndia by the firm within first 02 years of issue of the provisional approval letter by RDSO.

1S09001:2008

(c) When all the requirements of RDSO (other than performance bank guarantee) are fulfilled, a provisional approval subject to submission of valid performance bank guarantee shall be issued to the firm The reference number of that approval shall be mentioned in first para of performance bankguarantee format. w -

Oocumenl No: $1-WI-71-3 I Vcmion No: I I Dale JJlTcclivc : 019.201 1

4.3.6.11 The supplier shall have adequate skilled and trained manpower with good Y e

expertise in relevant fields of manufacturing, installation, training, maintenance D >,

support etc. Details of these personnel with name, educational qualification, g

training undergone & experience shall be furnished at the time of approval. - - a g

omurnenl Tile: Work Instmdiolls for Ve~idor devclop~nent of devcloprnental Item

E 4.3.6.12 Supplierlmanufacturer seeking approval shall guarantee for supply of spares i(

during life of the equipment & extend maintenance support, if required by the Y U

Railwaylpurchaser. '8 - - 4.3.6.13 The firm shall provide all necessary test facilities to Railway1 RDSO's

C 8

representative in their premises in India as prescribed by their principals at the e time of approval. P -

4.3.6.14 RDSO shall assess the safety case & prepare the assessment report clearly d a

recommending whether the system/equipment is permitted for:- j rn rn .-

(a) Fresh trials a 0 (b) Extended trials 3 (c) Use on a specific section (d) Uniform adoptionluse on Indian Railways (IR) 5 u

c2 4

4.3.6.15 After RDSO is satisfied with the documents submitted by the firm and the firm g .-

has submitted performance guarantee bond for indigeniing the manufacturing, $ s

provisionallregular approval shall be given as under: 2 r

(a) If Mnimum 10 numbers of equipments are already working on Indian Railways, pelformance of ihe same for minimum of 50 equipment months shall be evaluated. If this performance is found satisfactory, regular approval shall be granted.

(b) If less than 10 equipments are already working on lndian Railways, performance of these shall be evaluated by RDSO and if same is found satisfactory, the firm shall be given provisional approval to supply maximum of 10 more equipments. After provision of a total of minimum 10 equipments, performance shall again be evaluated as per sub para (a) above. If this performance is found satisfactory, regular approval shall be granted.

Performance feedback of kquipments used in India is to be submitted as per proforma enclosed at Annexure-E signed jointly by vendor and ofticer (Minimum JA Grade)of Zonal Railway.

IS09001:2008

(c) If the offered equipment is not already working on Indian Railways, then the provisional approval shall be given to the firm to deliver first 10 numbers of the equipment. Out of these 10 equipments, initially one number shall be pern'tted to be provided in parallel. After its satisfactory working for 90 days, it shall be commissioned for regular use. After its satisfactory performance for 90 days, balance 9 systems shall be permitted to be provided and performance of the same shall be evaluated. If the same is found satisfactory as per sub para (a) above, regular approval shall be granted.

(d) For the case in which vendors submit the performance bank guarantee and indigenization commitment at the time of cross approval, the following policy shall be followed:

(i) The initial cross approval shall be given for two years as the case for any indigenized firm.

(ii) Since the firm has to indigenize its product within four years from the date of approval, the maintenance type approval shall be given further only for two years i.e. upto the date when 100% indigenization is required. to be completed. This maintenance type approval shall be given on the basis of satisfactory performance of the already installed equipments, satisfactory indigenization to the required extant, valid IS0 certificate, validity of performance bank guarantee and availability of approved QAP of firm's manufacturing facility of that equipment. The firm will submit the indigenous prototype sample within 06 months after the date of completion of 100% indigenization for RDSO's type testing. If the firm fails to apply for renewal within expiry of 06 months from the date of completion of 100% indigenization; its name will be finally delisted from the vendor list. If less than 05 vendors are available for the items, the vendor may be given a grace period of 03 months to apply for renewal on the request of the firm with the approval of Directorate Head before the action of delisting is initiated. The clause of renewal of registration as per respective para of this document shall be applicable to them as they are applicable to any indigenized fi rm.

(iii) The firm, may be exempted from capacity-cum-capability assessment and submission of IS0 certificate at the time of initial cross approval but same is to be done within one year from the date of such approval at the time of verification of 25% indigenization. It is the duty of firm to get capacity-cumcapability done and to show 25% indigenization to RDSO on or before the completion of one year from the date of approval. If the firm fails to do so, its approval may be permanentlyltemporarily withdrawn and Performance Bank Guarantee amount may be forfeited by RDSO with or without sewing any notice.

(iv) If the response of the firm in furnishing information/document is not satisfactory, case may be closed at any stage with the approval of Directorate Head affer sewing show-cause notice to the firm. The firm has to apply afresh to RDSO.

Document Ttle: Work Illstructions S i r Vendor dcvclop~i~cllt of developme~ilnl Item

Omurnen1 No: SIWL-7.13

The stipulated time mentioned in sub para (c) above for satisfactory performance of first equipment shall depend on type of equipment, number and type of failures taken place, modifications carried out to suit IR conditions etc.

4.3.6.16 If a safety case certificate is withdrawn or if any problem with the product arises, the supplier shall inform RDSO immediately.

Version No. 1.1 Date ElTcclive : 0 19.201 1

1809001:2008 Oocumenl No: SI-W1-7.1-3 I version No: I . I I UlleBfi.ccnve: 01.92011

oacurnent Tnle: Work Instmctimms for Vcndor devclopmetlt of dcvelop~nental Item

4.3.7 Format for Performance Feedback

i) Name of SystemlEquipment ii) Make iii) ModelNersion NO. iv) User Railway & Section V) Maximum Sectional Speed t i ) Arrange number of Trains per day : vii) Application of SystemlEquipment viii) Problems faced and solutions evolved : ix) Failure data may be submitted as per

format given below

4.3.8 Format for Histonr of A~olication:

4.3.9 UNDERTAKING FOR INDIGENISATION OF EQUIPMENT:

1. I, ........................ autholized signatory of the firm M/s ............... (hereinafter called -1

'the firm'? execute this Performance Guarantee Bond on behalf ot the firm. 2 - - D 2 .

2. The firm understands that as a result of an application made to the Research Design & 2 Standards Organisation, Ministry of Railways. Lucknow (hereinafter called RDSO) we X

............... .- _^^ .̂..̂ ..̂ ̂I..-̂ :̂ r... -..-I ,..:..̂ r̂ ,̂ C";, e-6,. -a

nave Deen granreo rype approval or1 ti~uss ~ G C I O ~ L ~ I I L V V ~ ~ I S IUI UUI U I I I Y C I ~ ~ I I I at, U~IIC

MultiplexerlDigital Axle Counter1 Electronic InterlockinglTrain Actuated & Warning DeviceITrain Protection & Warning SystemlAFTC having trade name as ......... manufactured & supplied by our . . ............................................................................................. pnnc~pal

3. The firm fully accepts, agrees and shall abide by all the rules and regulations and the terms and conditions that are set forth by RDSO.

4. The firm understands that it has to indigenize the said equipment for which we got type approval in phased programme of 25%. 50%, 75% & 100% from the first year to the third

c-21 A n /

IS09001:Z008 Oacurnent No: SI-IVI-7.13 I VcrsionNo: 1 .1 I DareEKcctivr: 01.%2011

Oacurnenl Tdle: Work Instructions for Vendor development ofdevclap~nental Item

year respectively in respect of manufacture of PCB assemblies and other activelpassive sub-systems. I understand that to guarantee this phased indigenization programme, I, on behalf of my firm is submitting a bank guarantee in favour of Executive Director/Finance/RDSO/Lucknow (hereinafter called "the Government') with following details:

a. Guarantee No. b. Amount of Guarantee Rs. 50 lac c. Issue by Bank d. Guarantee cover for 03 years ; from ......... to .... .......( Dates)

If the firm fails to take up the said phased indigenization programme to the satisfaction of RDSO then RDSO resewes the right to encash the said BG at any stage with or without information to the firm.

5. The firm hereby agrees that it shall extend the validity of the said bank guarantee minimum 30 days before of the expiry of it, failing which the Government resewes the right to encash the same.

...................... ............... Signed by me /us on Day of Two thousand

Signature with Date &Seal

In presence of

4.3.10 PERFORMANCE BANK GUARANTEE (On stamp paper of requisitevalue)

Ref. ............. Date ........ Bank Guarantee No.

THE PRESIDENT OF INDIA Acting through the Executive Director(Finance), Research Designs & Standards Organisation, Ministry of Railways, Manak Nagar, LUCKNOW-22601 1 (U.P.) INDIA -

1. Against advance cross acceptance approval letter No. ......... dated ....... (hereinafter a B called the approval) for the ............... (Name of equipment) offered by Mls Z

(hereinafter called the firm) vide their letter no. dated .........., .................... ......... this is to certify that at the request of the firm we ..........................................

................................................. Bank Ltd., are holding in trust in favour of the ........................... President of India, the amount of (write the sum here in words) to

indemnify and keep indemnified the President of lndia (Govt. of lndia) against any loss or damage that may be caused to or suffered by the President of lndia (Govt. of India) by reason of any breach by the said firm of any of the terms and conditions of the said approval andlor the performance thereof. We agree that the decision of the President of lndia (Govt. of India), whether any breach of any of the terms and conditions of the said approval and lor in the pelformance thereof has been committed by the said firm and amount of loss or damage that has been caused or suffered by the President of lndia (Govt. of lndia) shall be final and binding on us and the amount of the said loss or damage shall be paid by us forthwith on demand and without demurto the President of lndia (Govt. of lndia).

..................................................................... 2. We Bank Lid., further agree that the guarantee herein contained shall remain in full force and effect during the period that would be taken for satisfactory performance and fulfillment in all respects of the said approval by the firm i.e. till ........................ hereinafter called the said date and that if any claim accrues or arises against us

Bank Ltd.. by virtue of this guarantee ? .......................................................... before the said date, the. same shall be enforceable against

u + us Bank Ltd., notwithstanding *

* ....................................................................... a

the fact the same is enforced within six months after the said date, provided that o notice of any such daim has been given to us ....... 3

Bank Ltd., by the President of lndia 2 ............................................................... s (Govt. of India) before the said date. Payment under this letter of guarantee shall be a made promptly upon our receipt of notice to that effect from the President of lndia 8 s

0 (Govt. of India). .c - -

IS09001:2008 Document No: $1-W1-7.1~3

0

3. It is fully understood that this guarantee is effective from the date of the said approval 5

and that we Bank Ltd., undertake j ................................................................. not to revoke this guarantee during its currency without the consent in writing of the e

" President of lndia (Govt. of lndia). ,

..2

Voriton No: 1 . 1 I Date EnEcCive O 1 9 Z O 1 1

4. We ............................................................... Bank Ltd., further agree the President of lndia (Govt. of lndia) shall have the fullest liberty without affecting in any manner our obligations hereunder to vary any of the terms and conditions of the said zipproval or to extend time of performance by the firm from time to time or to postpone for any time or from time to time any of the powers exercisable by the Presidentof lndia (Govt. of lndia) against the said Rrm and to forbear or enforce any the terms and conditions relating to the . said approval and we ....... ........................................... Bank Ltd.. shall not be released from our liability under this guarantee by reasons of any such variation or extension being granted to the said firm or for any forbearance andlor omission on the part of the President of lndia or any indulgence by the President of lndia to the said firm or by any other matter or thing whatsoever which, under the law relating to sureties, would but for this provision have the effect of so releasing us from our liability under this guarantee.

oacument Tlle: Work Instructions Sor Vendor dcvelop~ncnt of develop~nental Itelll

5. We ............................................................... Bank Ltd., further agree that the guarantee herein contained shall not be affected by any change in the constitution of the said firm.

S Date .................... Signature ......................... -. a 0 U

Place ................... Printed Name

. , 67 I

P I L ~ ~ ~ C ~ W J I ~ S ~ ~ I I ~ ~ V I S O 1 Chec

Witness .. . . . . . . . . . . . . .

IS09001:2008

(Designation)

(Bank's Common Seal)

Oacurnenl Title: Work Instructions for Vendor development of dcveloplnental I ten l

Omurnen1 No: SI-Wl-7.1-3

* Analysis of cause of failures to be attached. Procedure for ascertaining progress of indigenization commitment:-

- 4.4 PROCEDURE TO DEAL WITH THE CASES DURING CHANGE OF 9 -

SPECIFICATIONS ETC. s 3

verrlun NO: 1 . 1

8 This shall be followed as per instmctions gven an document SI-WI-7.1-lvork 8 instructions for issue of drawing nos.. S~ecification nos.. desian documents etc.) and B

DaleBFkcclivc. 01.9201 1

scrlauule or cnarges as per para no. 4 . ~ ~ 1 . bup~es UI llrlal ana apwuveo documents shall be given to the approved vendors free of cost.

The already approved vendor shall be required to comply with above mentioned changes on a written time-bound basis. However, the applicants seeking fresh approval shall be required to comply with all the changes before the approval is granted.

Already approved vendors shall be exempted from paying the testing charges for tests conducted at RDSO.

4.5 TESTING OF SAMPLE AT RDSO:

4.5.1 In addition to SIP 003 (Process Map for Testing of Samples in Signal Lab) which is attached as Annexure-Ill in SI-DM-4.2.2-1 (Directorate Manual), following detailed procedure shall be followed:

4.5.2 Sealed samples being sent to test laboratory shall have the signature of authorized officials of the Directorafe, who is sending the samples for testing. If the sample is not uniquely identified by serial numberlcode numberldrum number then, the signature will be on the sample itself with indelible ink. The signature, if possible, shall be at a place which is generally not disturbed during the testing. In case, where signature on samples is not possible it should be ensured using external means like stickers, tags etc..

4.5.3 In case of sample not uniquely identified, the sealed samples shall be opened by the authorized officials of testing laboratory in the presence of the concerned officials of the Directorate sendina the sam~le. The authorized officials of the testina laboratorv

will also signed the sample with indelible ink on the sample itself. The code number of the sample will be given by the testing laboratory and the same shall be conveyed to the officials of the concerned Directorate sending the sample. The code number shall also be mentioned on the sample itself.

4.5.4 If the authorized official is stationed outside Lucknow then the samples which are not uniquely identified shall be opened in the presence of representative of sending offidal.

DatcfiCicdve: 019.2011 lS09001:2008

4.5.5 A signed test note (QS-F-7.1-8 Format for Test Note) with details of samples like name of sending authority, name of sample, unique serial numberlcode n~~mberldnrm number etc. of sample, type of sample, type of tests, details of test charges paid, specification number, drawing number, Test Format number with their latest VerlRev. number etc. is also sent by Directorate with sealed samples indicating priority and details of tests to be carried out on the sample.

Document Tille: Work hlstructions for Vendor developmct~t of developmental Item I Document No: S1-WI-7.1-3 I Vcrsiol~No: 1.1

4.5.6 Sample shall be tested as per specifications (IRS or RDSOISPN) and1 or other technical data. The report shall be submitted to concern DirectorlJt. Director/RDSOlLucknow.

4.5.7 Reports received from test laboratory shall be compiled by the concern DirectorIJt. Director and put up to Directorate Head for approval in case of initial1 maintenance type test of developmental items. Other test reports related to investigations etc. may be dealt by DirectorlJt. Director in consultation with Directorate Head.

4.5.8 The results of type test shall be promptly advised to the FirmlWorkshopsNigilance CellIQA, S&T etc.

4.5.9 After testing the samples which is not uniquely identified shall be kept in a sealed coverhag and store by testing laboratory in a manner that, if required, the sample can be retrieved for conducting test to verify the testing results (whatever possible). The samples which are uniquely identified may not be kept in a sealed cover.

4.5.10 The sample shall be stored for minimum one year from the date of communication of results of tests by testing laboratory. Directorate which is sending the samples for testing shall ensure that the samples are taken back within a month time after the completion of one year of preservation period, failing which further samples shall not be accepted for testing from the same organization.

4.5.11 Sample sent for testing by Zonal Railwayslother units should be routed through from Directorate of RDSO to facilitate preservation of samples in those cases also in accordance with the procedure only.

4.6 TYPE TESTING OF SAMPLES DURING FRESH REGISTRATION:

4.6.1 At the time of fresh registration, the firm shall be asked to manufacture a sample lot as per the specification.

4.6.2 Testing charges shall be levied in advance, as applicable, if testing is to be done at RDSO. Testing charges for tests to be done by outside laboratory specifically identified by RDSO will be payable by the vendors. See associate directives for schedule of charges.

4.6.3 On manufacture of the test sample, the firm will conduct routine tests with proper records and advise the DirIJDIQAIS&T and RDSOILucknow for conducting

n A I 1 I Printed:

I'rcprtrbd~:ISi~~nVISO I CI~&kcd By : DDlSignal-111 I Issued Bjc DirectodSignal-Ill I of43

acceptance test at firm's premises or at any other approved test house/laboratory (firm will enclose a copy of routine test results).

4.6.4 When the sample is ready for acceptance test, DirlJD/QA/S&T shall inform h ~ s planned testing schedules to RDSOILKO along with duplicate copy of routine test report, test note and other documents one week in advance so that a representative of RDSOILKO can be sent (If necessary, technical assistance shall be given by RDSOILucknow to DirlJDIQA/S&T). The acceptance test shall be conducted either jointly (by a RDSOILKO representative and a DirlJD/QNS&T representative) or by a DirIJDIQNS&T representative alone. Affer successfully passing the Acceptance tests, the sample will be sent to RDSOILucknow for type tests. The type test samples forwarded by DirlJDIWS&T's to RDSO, Lucknow for test shall be accompanied by form no. QS-F-7.1-7 (Formats for forwarding samples for type test). The samples may also be got type tested from any other agency or at the firm's premises at the d i ~ ~ e t i o n of RDSOI Lucknow.

palc En-mlivc: U l P 2 0 1 1 IS09001:Z008

4.6.5 In case the prototype sample fails in any of the type tests, the vendor may be given one more chance, if the vendor desires, for submission of another improved sample within six months from the date of advice. The test value of the results for parameters that have been found non-conforming to specification shall be intimated to the vendor. However, it should be ensured that the vendor has already deposited the testing charges as applicable. The vendor, afler taking adequate corrective action to improve the product may offer sample for re-testing. The vendor shall also inform in writing the technical corrective steps taken. Having been satisfied with the steps taken by the vendor, the vendor shall be asked to offer samples for re-testing. Firm should submit internal test result prior to visit of the inspecting officer to their premises. The RDSO official will pick up sample and seal the samples from a lot already in the store or manufactured in his presence as per requirement of RDSO for retesting. The sample shall be re-tested for all the parameters again as per the specifications. Testing chargesfor re-test shall be payable by the firm in advance.

Document m e : Work Instructio~is for Vcndor developmncnt o f developmental Item

Oocumenf No: SI-WI-7.1-3 I VersionNo: 1.1

- For developmental work, nonzonformance to certain parameters can be accepted d - - .- with the approval of Directorate Head provided the safety and quality of product is g not affected. Record of such deasions shall be maintained in concerned file. c.

M .- a " In case of non-conformance of product during inspection, DirlJDIQNS&T may send 3 case to RDSOILKO under special circumstanoes along with remarks for which 2 approval of Directorate Head will be taken. -, - o

" J

4.6.6 If there is no improvement in the quality of samples submitted for re-testing and u - .-

samples are found non-confirming for the second time, the case shall be rejected & { 3 the vendor shall be informed accordingly. However, in exceptional cases, if there is 2 sufficient justification to give a third chance, based on technical 5 competence/reputation of the firm, etc., a third chance may be granted by the k Directorate Head. In case any malpractice or unethical practice is noticed on the .- >

part of the vendor, case may be closed at any stage with the approval of Directorate z s Head. 3

A - 5

4.6.7 In case the firm is unable to submit the prototype samples within the stipulated time, z - - e normally the case may be closed. However, in special cases extension upto 3 i

months may be granted by concerned Dir.1JD and beyond 3 months by Directorate 8 >~ 0.

Head. S

A A . I I I Printed:

~ r n ~ ~ i d ~ l ~ i ! & m V I S O I Cllecked By : DWSiguaI-UI ( Issued By: DirectwlSig11aI-III ) of 43

4.6.8 DirIJDIQAIS&T shall not forward the samples that have failed while conducting acceptance test at firm's premises. However, report of the same is to be submitted to RDSO, Lucknow.

4.6.9 In case the prototype sample submitted by the firm passes all the tests as per the specification, the Dir.lJD at RDSOlLucknow will take approval of Directorate Head - - . . . . . ? .. - .. . . ,.. ~~ - ~ - ~ ~ - ~ . ~ . : - ~ ~ - c e - . ~ . L l . , :=

Vcrsion No: I . I I Dale r.ffcc"vo. 019201 1 1S09001:2008

tor nela tnal or tne rollowng equipmenr I Irem. u n complerlon or nelo rrlal, 11

required, RDSOILKO may also carryout extended field trial of equipment. The following criteria for initial trials and performance assessment for indigenous development of signalling items shall be adopted:.

oocurnent T~II~: Work i~~sfructiot~s for Vendor developlnerll ofdcveloprnentnl Itcln

Docurnenl No: SI-WI-7.14

Note:- . EqptISystem shall be placed on initial trial only after successful completion of type test. EqptISystem for initial trial shall be arranged by vendor at his own cost and expenses. . Only after successful initial trial, performance assessment shall be done wherever indicated. . In case certain short-cof~ingslfailures are obse~ed during initial trial/performance assessment, additional eqptsltime may be permitted based on analysis of failureslevaluation of action plan submitted by the vendor.

Only after the successful initial trial and performance assessment of itemslequipment as above, the vendors name shall be included in the approved list under Part-ll.

The above criterion is in effect since 01.12.2008 vide note no. STSIISOIDOP-SI

Vcrrlon No: 1.1 1S09001:2008

dated 01.12.2008. In case the results of field trial are not satisfactory, investigation shall be done jointly by RDSOlLucknow and firm's representative to find the improvements required. An investigation report shall be prepared and intimated to firm to modify the design1 desion oarameterslcircuits etc. The firm must carry out necessary improvements in

I DatoEtfeclivr: 01.9.2011

&urnen[ l i l le: Work I ~ s t ~ u c t i ~ n s for.Veodor development o f developmncotal Itc111

Oocumenl No: S1-WI-7.1-3

~~ - . ~ ,~ . . ~ ~ ~~ ~ ~ . .

design in time period given by RDSO. This process of improvements shall continue till satisfactory performance is achieved to the satisfaction of RDSO. After successful completion of field trial & extended field trial (if any), the DirIJDlRDSO will take the approval of Directorate Head for inclusion of the firm in Palt -11 of approved list of manufacturers for signalling items. The same will be advised to QAJ S&T Directorate.

" 4.7 RENEWAL OF REGISTRATION: 2

t!

4.7.1 For renewal of registration, the vendors shall submit the application to RDSO on SJ D

S standard application form (QS-F-7.1-5). The validity of application form from the 8

date of issue shall be six months. If the firm does not apply with~n 6 months of the B - issue of the application form, the firm will have apply afresh. E *

5 .x

The vendor renewal application form (QS-F-7.1-5) and guidelines are available on 8 s ti

QAJS&T portion of RDSO website under "Vendor Registration" and may be either downloaded by any vendor who is seeking renewal of registration or may be 3 -

P collected from QAJS&T Directorate of RDSOILucknow free of cost. -2

0 s 4.7.2 The name of vendor shall continue in the approved vendor list till such time there is P

no change in Bill of Material, Plant & Machinery, QAP etc. or for a period as 3

specified below: 2 s E

5 4.7.3 During the validity period the vendor will immediately bting into the notice of RDSO 2

the full technical details of any changes about Bill of Material, plant & machinely and 2 Quality Assurance Plan for which the responsibility lies with the approved vendor. In 7,

case the approved vendor fails to comply with the above provision, his name may be , 0

deletedltemporarily withdrawn from the approved vendor list. In case of temporarily +2 E

withdrawal of approval, the case shall be taken up for renewal of registration. - -, 6

5

" 4.7.4 When the firm applies for renewal of registration within the validity of its approval. 2 - -

the name of the firm shall continue in the approved Vendor List with the same e - status, till such time the status is decided in the renewal case. Validity of Type 8

Approval will be extended accordingly depending upon the sample taken from 6 6

regular or special lot.

0.

P rn .a u

2 E i

Registration Fresh registration Renewed registration (2nd and subsequent)

Duration of Validity Valid for a peliod of two years Valid for a period of three years.

4.7.5 If the firm fails to apply for renewal within expiry of validity of registration, its name will be finally de-listed from the vendor list.

lS09001:2008

4.7.6 If less than 5 vendors are available forthe item, the vendor may be given a grace period of three months to apply for renewal on the request of firm with the approval of Directorate Head, before the action in para 4.7.5 is initiated.

4.7.7 Fresh type test shall be necessary whenever there is a major change in design, manufacturing process or specification.

Docurnanl Title: Work Instructioi~s: for Vendor dcvelopnient of developmental lleln 1

4.7.8 Type test charges shall be applicable as per para 4.1.27. No charges shall be levied I collected from the vendors as assessment / application charges, for renewal of registration when the firm is assessed by RDSO representatives. In case assessment is done by an outsourced agency, the actual charges shall be borne by the firm being assessed.

DaleEtfedvc: 019.2011 Docurnsnt No: SI-WI-7.1-3

4.7.9 In case of renewal of registration, the sample can be picked up from the lot under manufacturelready.

Version N o 1 . 1

4.7.10 The type test samples forwarded by Dir/JD/QA/S&T's to RDSO, Lucknow for test shall be accompanied by form no. QS-F-7.1-7 (Formats for forwarding samples for type test)..

c

In case a firm is approved for manufactuling of more than one item using same raw 8 . 3

material, only one raw material testing may be done which will be applicable to all 8 s U

pertaining item of that firm, if submitted for type testing within a year from receipt of ti - first sample. - g

s 4.7.11 The firm will submit full technical details about raw materials, change in machinely c

and plant and fresh set of drawings if there are changes along with type test sample. z - The firm may be permitted to subndt special samples if certain modifications for D

d improvement have already been approved by RDSOILucknow. .?. 9

$ 4.7.12 Type testing of the product shall be done in accordance with the relevant m ,,

.- specifications. Samples shall normally be tested at RDSO, In case testing facility is .,. 8 not available at RDSO, the testing may be done in outside test laboratories, for 3 which the testing charges will be paid by the firm on actual basis. If any test facility is

.C -I

not available in RDSO as well as outside laboratory, such tests can be done at firm's 2

" premises, duly witnessed by RDSO representative,. The type of test and the - ?

outside lab shall be decided by Directorate Head. .- s a

4.7.13 The nominated officer shall prepare an assessmenffevaluation report including the 2 test results of prototype samples and put up the same with his recommendations for

m approval to Directorate Head. (QS-C-7.1-2 Check llst for lnitial/Maintenance Type s Approval). 5 c

x , While communicating the renewal of approval to the vendor, the changes in QAP, if z?

any, will also be advised to the vendor and the Concerned DirlJDIQA/S&T. 6 rn

Concerned DirIJDIWS&T after ensuring implementation of changes of QAP, if any, - - 0

shall give an approved copy of QAP (Quality Assurance Plan) duly stamped as .. e

'approved' to the vendor for implementation. The QAP shall be for the products for "

which the firm is approved. 5 U

4.7.14 If the first type test sample fails in the test, with the approval of Directorate Head, firm may be advised to submit improved sample within 3 months from the date of issue of letter. Testing charges for repeat tests will be taken for second sample. During this period, inspection with double sampling may be continued if the parameters in which sample has failed is covered under acceptance test. If the vendor desires to further offer the sample for re-testing, he may do so only afler taking adequate corrective action to improve the product especially for the parameters which were found nonconforming. The vendor shall inform in writing the technical corrective steps taken by him, to RDSO. Having been satisfied with the steps taken by the vendor, the vendor shall be asked to offer samples for re-testing. Firm should submit internal test result prior to visit of the inspecting officer to their premises. The RDSO official will pick up sample and seal the samples from a lot already in the store or manufactured in his presence as per requirement of RDSO for retesting. The sample shall be re-tested for all the parameters again as per the specifications. Testing charges for re-test shall be payable by the firm in advance.

1S09001:2008

In case the second sample also fails in the type test, a show cause notice shall be 5 issued to the firm for down gradationldelisting. The firm may be downgradedl

e g

delisted by the Directorate Head, afler taldng into account the availability of vendors 0

>. 0.

& manufacturing capacity for the item. However, if there is sufficient justification to 8

give a third chance, based on technical competence1 reputation of the firm, etc.. a 3 - third chance or more chances may be given for submission of improved samples e - with the approval of Directorate Head. A 8

8 .c

4.7.15 The DirlJDlQAlS&T shall ensure the submission of type test samples to RDSO, U

r, Lucknowwithin 30 days of the drawl of samples by him. - -

e - 4.7.16 Normally, validity of type test will be 2 years for initial type test as well as . 5

maintenance type test if specially manufactured samples are submitted and 3 years 2

for maintenance type test as per SI-M-7.14 (Master list of maintenance Type 3 a

approval Period), if samples are picked up from regular production, unless otheNvise d ", d .- .-

specified either in specification or through a specific instruction. g * =

omurnen1 Tille: Work Instructions for Vendor develop~ncrlt of dcvelop~nental Item

Oocumenl No: sI~WI-7.1-3

4.7.17 The maintenance type approval registration shall normally be given for a maximum % period of 3 years, ending on the last day of the 36'honth.

" 3 L: rt

4.7.18 The type test samples which have undergone type test and successfully passed, 4

shall be kept in RDSO or in sealed condition in the firm's premises till the 8 _1

subsequent renewal, after which the firm may be advised to collect sample within 3 = 3

months failing which it may be disposed off after advising the firm. s

Vorrion Nu: I. I

2 4.7.19 At any time during the period of approval of the vendor, depending upon adverse c

feedback from user' Railway(s)lPUs or deterioration in FRCPYIMTBF of the a, 5 equipment, and any other compelling reason which come to light, RDSO may re- . - +

evaluate the performance including QAP, Manufacturing facilities and Bill of Material s $

for futiner continuance1 withdrawal of the approval. In that case, the Renewal of A. registration as mentioned above shall be proposed in Q0-F-7.1-2 (Vendor renewal g -, of registration) by the DirIJD and approved by Directorate Head. - e -

c

Dnte11TTrsliv.z: 01.9.2011

0

4.7.20 Original equipment manufacturer (OEM) is defined for the purpose of this procedure A. .,. as a firm who is the original manufacturer of the equipment even though it may have S used some components or subassemblies bought out from others. The OEM's registration shall also be renewed on as per the prescribed interval. Their renewal

A I Prepared ~?&&~YS@B~VISO ( Chec

may, however, be done only on the basis of the performance of their product without inspecting their factories for assessment, unless need for the same is specifically felt. In such cases, prescribed charges for assessment shall be borne by the firm.

Incase of single source approval can be granted to OEM on suo moto basis with the approval of directorate incharge.

DaleEKeclivs: 01.9.2011 IS09001:2008 Document No: S1-WI-71-3

4.8 INCLUSION OF ADDITIONAL ITEM

omurnen! Title: Work Inslructia~s for Vendor develop~iicnt of developmental Itel11

Vorrrao No. I 1

If the firm is already approved for a patiicular product and desires to supply some additional products, it shall be considered as a fresh registration case and the same procedure will be applicable as for fresh registration. However, if the firm desires to apply for approval of their firm for "similar product" requiring same QAP and machinery and plant, capability cum capacity assessment of the firm can be waived off with the approval of Directorate Head. Dir/JD/RDSO will have to ascertain that the firm has enough capacity to manufacture this item based on past record and no additional facilities in question would be required for manufacture of the item in u

question. a P e

4.9 UPGRADATION OF FRESH VENDORS FROM PART II TO PART I a A a

8

4.9.1 Prerequisites: following shall be followed: 2 2

4.9.1.1 The vendor upgradation application form (QS-F-7.1-2) is available on QNS&T d 5 portion of RDSO website under "Vendor Registration" and may be downloaded by = 8

U any vendor who is seeldng upgradation. - - - E

4.9.1.2The vendors who are in Part II shall be upgraded to Part-l list only after compliance 2 of all the following conditions: 5

i) The minimum time for eligibility for consideration for upgradation shall be 12 months 9 - frorn the date of issue of initial approval in Part II category. 2 .o

ii) No firm shall be considered for registration directly in Part-I. d Y d

iii) The vendor has applied in writing to RDSO for upgradation from Part - II to Part- I. $ iv) The vendor has supplied minimum quantity of the material as per SI-M-7.1-5 n.

(Master List of sufficient Quantities) and which shall have : u" .- m 8 3

(a) To be in service for a minimum period of 1 year. OR .- ti

(b) 15 months from the date of issue of last inspection certificate. 8 -1

V) There should not be rejections in more than 10% of the lot out of the total offered IJ .- * lots for inspection subject to maximum limit of two in the last financial year m

.r (wherever 100% inspection of all the parameters are carried out the quantity 2 rejected should not be more than 10% of the total quantity offered for inspection in G

the last financial year). Z I ax .- >

v) The vendor should possess a valid IS0 9001 :2008 certificate for his works address, G

F

cpyering the items for which he is registered with RDSO. This is a mandatory < * - requirement for all vendors.

7, 0" - - - vii) The registration of the firm is valid. - c

0

+- a viii) Service Performance -The performance of the firm should be generally satisfactory. 0

U

Feedback from the Railways where material is supplied is satisfactory.

4.9.1.3Cases of upgradation may be initiated by Dir/JDIQAIS&T at the request of a firm. Based on experience with reference to rejections, if any, timely supply of material to the consignee and QAP followed by the firm etc., DirIJDIQAIS&T will send recommendations along with Proforma (QS-F-7.1-3 Format for recommendations for up-gradqtion from Part-ll to Part-I) duly filled in by the firm to RDSO, Lucknow. On receipt of such recommendations, a reference will be made to the Railways about ihe performance of the equipment silpplied by the firm under consideration. Efforts will be made to obtain the feedback from Railways, subject to good performance reports being obtained and the concerned DirIJD being satisfied, Dir/JD will obtain the approval of Directorate Head for upgradation ofthe firm from Part-ll to Part-I.

4.9.1.41n exceptional circumstances, wherever waiver of laid down conditions for upgradation of the firm are required, the same will require prior approval of DGIRDSO.

4.9.1.5The status of vendor upgradation is displayed on Signal portion of RDSO website under 'Vendor Registration" and periodically updated by RDSO.

2 - 4

4.9.2 Time period for upgradation s

a The firms classified as Pt-ll on th vendor list can apply maximum six months in 8 advance of the date due for upgradation. However the firm shall do so only when the 3 minimum quantity specified for the item has been accepted by the consignee. 2

e :

The applications which are received between three to six months in advance of the due date for upgradation shall be processed. However status shall be upgraded on the due date subject to the condition that all laid down criteria has been complied with. If any sample is under testing at RDSO, the result of the test shall be considered.

Applications received less than three months in advance of the due date of upgradation, shall be processed. However, delay if any in upgradation with respect to due date, shall be attributable to the late receipt of application.

4.10 DOWNGRADATION OF VENDOR FROM PART I TO PART I1 AND DE-LISTING " a

OF VENDOR : 8 z E d:

4.10.1 Prerequisites : 3 u 0 .i

The vendors can be downgraded from Part-l to Part II list or de-listed from Part-l or 0 - .-

Part-ll list directly or subject to temporarily vithdrawal of approval or subject to a

3 stoppage of inspection in case of one or more of the below mentioned conditions 2 considering the seriousness 8 nature of deficiencies and its effects on quality of e

0

products. , .-

a) Complaints regarding poor performance reported by Railways directly or , c

through Railway Board. g b) Frequent non-conformities obselved during regular purchase inspection =

done by RDSO or any other agency. B - - c) Malpractices noticed. - o d) Irregular supply or nor~supply over a long period. e e) Major non-compliance of the approved QAP. a

f) Expiry of validity of previous type approval and failure to submit fresh type U

test sample within the time frame.

g) Deficiencieslnon-functioning of major machinery & plants affecting the quality.

h) Withdrawal of ISO-9001Certification of the firm by certifying agency. i) Premature withdrawal of suppotVcollaboration by the collaborator. j) During a course of time, if the specification is amended and the vendor is not

upgrading the additional requirements within a specified time frame. k) Major deficiencies found during quality audit /process audit and their non-

compliance. I) Any other situation leading to adverse effect on the quality of production. m) The entire factory or part of it is reported closedlshut downllock out. n) Information provided in the application is found to be incorrect. o) The vendor is black listedlor business dealing is banned by Govt. of India or its

offices on communication by Railway Board. In such cases, no show cause notice to the firm is required.

p) Non-conformities of sample picked up from consignee end. q) Any major non-wmpliance of RDSO's diredive(s) or clause(s).

4.10.2 DowngradationlDelisting shall be considered after sewing a notice on the firm ,.,,,, ~ ,,.,,, ; seeking time bound reply and considering the response of the firm to the notice. ... : - ? However, for temporarily withdrawal of approval and stoppage of inspection, no - * notice to the firm is required.

P - 4.10.3 The down-gradationldeletion shall be for a peliod of minimum one year. After - r:

deletion from the approved list, the firm may apply afresh at any time. However, o

approval shall not be granted till one year has passed from the date of deletion. The 2

a temporary withdrawal of approval or stoppage of inspection shall be revoked'&Rer .c

U - the deficiency for which such action was initiated is set right by the vendor. - 8

i 4.10.4 Down-gradation/delisting/tempora~ily withdrawal of approvallstoppage of inspection . , ,

shall be communicated in writing to the vendor. All concerned as per distribution of 0 B

the vendor list shall also be advised immediately. e z

The cerh'fylng body who had issued the ISO: 9001 certification shall also be a

z. informed in writing through IS0 Cell regarding downgradationldelisting of the - - ..

vendor. 1 a The report shall be sent to IS0 Cell on the form under QO-F-7.1-3 (Information of

u" .- - downgradation, delisting of approved vendor). 2

2 4.10.5 The renewal of the vendor, if falls due during the period of downgradation, the

.- & ;.

renewal application shall be pended till the final decision regarding down-gradation. 8 --1

4.10.6 Inspection of material against purchase orders placed before the deletion of firm's . d - name from the approved list of vendors may be carried out in normal course as per fl

9

extant policylnorms. s Y

4.10.7 The vendors can, however, be delisted directly from Pt.-l without recourse to Part-ll, G

B if sufficient reasons are noticed. Also, the new vendors who are still in Part-ll as a .- B result of fresh approval can also be delisted if sufficient reasons exist. ,

5 4.10.8 Once firm has advised RDSO for collection of sample for type test, then its name $

3, may not be deleted from approved list as per clause 4.13.1 (9 c

4.11 RE-INSTATEMENT OF STATUS OF VENDOR (PENALISED AS IN PARA 4.10) - - P c

4.1 1 .I Upgradation (reinstatement) from Part-ll to Part-I: x >. a

(a) Penal action against the defaulting vendor shall be considered for review only u

after the vendor applies for the same. ,

(b) Revival shall be considered only after a period of one year.

DaleEEective: 01.92011

. , n I

n I T29 I I ' ~ ~ ; ~ ~ E . I @ ~ S ~ ~ ~ ~ I V I S < I I Cl~eckcd By : DD'S~~~TI-III 1 Issued By: Di

oocumenl mle: Work Instruclions for Vendor devclopmellt of developtnenlsl Itell1

Version No: 1. I 1S09001:2008 Docurnen1 No: S1-WI~7.1-3

(c) Verification, if considered necessary by Directorate Head, may be done by any means such as by doing quality audit, random testing of product, detailed investigation of failure cases, feedback of consignee, if any, etc.

4.1 1.2 Re-instatement after delisting:

(a) Once the firm is delisted as a penal action, the firm shall be considered only when it applies afresh and the case shall be considered as for fresh approval. In case any vendor is delisted, it shall be required to go through the entire procedure of registration for the item in question including submission of all required information, irrespective of the procedure through which it was registered.

(b) The vendor can apply afresh at any time after delisting but he can be approved only after one year from the date of delisting. However, in case of downgradationldelisting of vendor only on account of not acquiring ISO-9001 certification, the firm's status can be restored immediately after acquiring ISO- 9001 certificate provided all other conditions are fulfilled. In such cases, the vendor shall be considered for restoration of status only when ISO-9001 certificate is acquired within one year from the date of downgradationldelisting. z

4.1 1.3 The decision of Directorate Head regarding restoration of vendor in Part-IIPart-ll Y 4

after delisting shall be final. 3

>, a

4.1 1.4 In case any vendor is delisted, it shall be required to go through the entire procedure 8

of registration for the item in question including submission of all required 2 3

information, irrespective of the procedure through which it was registered. 2 Y 8

4.11.5 The vendor can appeal against the decision of the directorate to ADGIRDSO who 4 U

shall be appellate authority for all cases pertaining to vendor development. r - - 0

1S09001:2008

3

The appeal against the order shall be addressed to ADG and given in writing along a 8

with the statement of details and reason for the appeal. 3 e

Omurnen1 No: 51-Url-7.13 I Version No. 1 . 1 DnloEffccliuc. 019.201 1

- 3

The appeal must be submitted within 30 days of communication of the impugned $ order. %

€

k u r n e n t Tille: Work I~istructions for Vendor de~felopment o f developmental Itcm

u a

4.12 CHANGE IN THE NAME OF THE VENDOR % F: -

4.12.1 On receipt of request from the vendor for change of its name, which is already on r the approved vendor list, the same shall be effected after verification of the firm's $ premises by the nominated RDSO official. o u

2 . . ",

4.12.2 If the RDSO official is satisfied based on scrutiny of documents like memorandum of .- +

article of association, list of tools, plants and machinery, undertaking by the new firm 5

for liability of old firm, resolutionby Board of Directors, Partnership deed etc., he will 2 recommend for change of name of the firm and put up to Directorate Head for 5

:: approval. .. 3

6 4.12.3 If change of name is done as a result of bifurcation of existing works premises, in 2

3

addition to checkng of documents as given above, reassessment will also be >, - s carried out by RDSO official before effecting the change of name of firm. Z - -

P u

4.12.4 The vendor shall be informed in writing that the change of name has been noted by 8 RDSO. The changed name shall be advised to all copyholders of the Approved list ,,

m

of vendors. 8

4.13 CHANGE IN WORKS ADDRESS OF THE VENDOR

4.13.1 On receipt of request for the vendor for change of address, the non+nated RDSO offidal shall verify that, a) The office establishment has been shifted totally. b) The Machinery & Plants have been shifted totally. c) The testing and laboratory facilities have been shifted totally. d) The approved QAP can be implemented as it is or more effectively in the new

1S09001:2008

. . premises.

e) Factory license, IS0 9001 certificate and SSIINSIC certificate (if applicable) are available for new address.

f) The name of the firm is same. g) The samples manufactured by the firm at the, new premises have been tested

by RDSO, as in reassessment cases, for items where purchase inspectionis not being done by RDSO.

Dmumenl Tdle: Work h~structions for Vcndor devclop~ne~lt of developmcotal Item

Document No: SI-Wl-7.1-3 VcmionNo. 1 . 1

4.13.2 If DirIJDIQA/S&T is satisfied regarding authenticity of the new address and the firm's capadty to produce same quality product at the new address; he shall forward $

the case to RDSO Lucknow with his recommendations. At RDSO Lucknow, the e 2

concerned Director1 Joint director shall further scrutinize the case and if satisfied s >, a

with the approval of the Directorate Head, the new address shall be notified to all 8 concerned. The validity of the registration in such case shall not get affected. The 2 - status of approval (Part I Part 11) shall remain the same. g

5

Dale Etreclivc . 01.9201 1

3

4.13.3 The procedure laid down in paras 4.13.1 & 4.13.2 shall also be applicable in case of s 8 U partial shifting of works, i.e. in case a part of the operations are shifted from the old

location to a new location. - o 2 8

4.14 ADDITIONAL WORKS SETUP BY APPROVED VENDOR 2 r: 4.14.1 Vendor shall inform RDSO in writing regarding setting up additional works for

u

2 .n

manufacturing the approved item(s) (in the same or other location) without affecting .+ $ the works which were already approved. In such cases, the nominated RDSO E official shall verify that : a

B a) The Machinety & Plants are similar to the works already approved. However.

.- a

the vendor may use some of the facilities of the original works, as required. It 2 should be clearly brought out in the QAP as to which operations are being ~- performed in the original works and which operations are being performed in the 6 -

m " new works. 0

rl

b) The testing and laboratory facilities are similar to the works already approved. u .-

c) The approved QAP can be implemented as it is or more effectively in the $ s

additional works. 2 e

d) Factory.license, IS0 9001 certificate and SSIINSIC certificate (if applicable) are b available for the additional works. ~- ,

s

f

e) The name of the firm is same. , - c - "

f) The samples manufactured by the firm at the additional works have been tested z - - 2 by RDSO, as in reassessment cases, for items where purchase inspection is G

not being done by RDSO. 8 >, e

c ,

4.14.2 After scrutiny of the report, the approval of additional works shall be communicated to the vendor, with the approval of the Directorate Head. The validity of the

registration in such case shall not get affected. The status of approval (Part IlPart II) of the new works shall be same as that of the original works and subsequently, the status of both works shall be one and the same.

5.0 Reference Documents:

$ z % a >,

f 2 3 8 3 8 < 0 .z - - e c

e e u

> .c .d t!

j &

B .- m 0

2 E >

8 i 6 .- 3

<

2 a

B z .- >

5 f _h 6 v - - g c u *. * 8

6.0 Referenced documents of external origin:

,/

Datc JifCecVvc : 01.9201 1

Docurnen! Tnle: Work Instri~ctions for Vendor dcveloprnent of dcvelopmcntal ltetll

Vorsion No. 1.1 1S09001:2008 Document No: SI-WL-7.1-3

I Document Number I Document Name

I I lnd~an Rallways

7.0 Associated records: NIL

D~LeElfedvo: 019.201 1

8.0 Responsibility and authority:

~ocurnent ~ i l e : Work Instructio~~s for Vcndor development of developlnental Itelll

Version Nc]: I. I 1S09001:2008 Document No: SI-WI-7.1~3

9.0 ABBREVIATIONS :

contained in this

Requirement Director All concerned All concerned Head of deviation from directive

In-Charge Directorate through intranetlemail

RESEARCH DESIGNS STANDARDS ORGANIZATION

Documents

Transcript of RESEARCH DESIGNS STANDARDS ORGANIZATION