final td-g-4.2.3-31 general guideline for vendor...

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se.ISO 9001:2008 Document No.:

TD-G-4.2.3-31 Version No.: 2.0 Date Effective:

01.07.2014

Document Title : General Guidelines for Vendor Development

DDST/HQ DST-I Printed: 2014/07/02 Prepared By: Issued By: of 41

RESEARCH DESIGNS & STANDARDS ORGANISATION

Manak Nagar, Lucknow-226011

Track Design Directorate

Document No.: TD-G-4.2.3-31

Document Title: General Guidelines for Vendor Development 1.0 Amendment History:

S.No. Amendment Date Version Reason for amendment 1 01/09/10 1.0 Up gradation to ISO:9001:2008

2 01/07/14 2.0 Thorough review of document in

view of amendments to reference documents issued by ISO Cell/RDSO.

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ISO 9001:2008 Document No.: TD-G-4.2.3-31

Version No.: 2.0 Date Effective: 01.07.2014



2.0 Purpose: To specifically define the common guidelines in conjunction with apex ISO documents for

vendor approval/vendor registration of items allotted to Track Design Directorate of RDSO (enlisted in Annexure-I) and new developmental items.

3.0 Scope of application:

This shall be applicable for initial capability assessment, periodic quality audit, up-gradation, down-gradation, deletion, restoration, and inspection etc. of vendors. In addition to this, ‘Item Specific Guidelines’ listed as Annexure-I shall also be applicable for the respective item. In case of any variation between the procedure/provision given in these instructions and that in the ‘Item-specific guidelines’, the latter shall prevail. The competent authority/Directorate Head wherever referred to in this document shall mean concerned Executive Director, Track Design Directorate.

4.0 Procedure / Details

Procedure/details are annexed. 5.0 Referenced Documents: Documents issued by ISO Cell/RDSO under following nos.:

SN. Document No. Document Name

1. QO-D-7.1-1 ver.6.0 Creation of equipment, item specification

2. QO-D-7.1-2 ver.6.0 Change of equipment, item specification

3. QO-D-7.1-3 ver. 2.0 Deletion of equipment, item specification

4. QO-D-7.1-4 ver.1.0 Change of controlling authority for equipment, item specification

5. QO-D-7.1-5 ver.7.0 Vendor application for registration

6. QO-D-7.1-6 ver.7.1 Vendor application processing

7. QO-D-7.1-7 ver.2.0 Vendor relaxation of registration requirement

8. QO-D-7.1-8 ver.1.0 Vendor registration EOI

9. QO-D-7.1-9 ver.3.1 Vendor list

10. QO-D-7.1-10 ver.2.1 Vendor sample type testing

11. QO-D-7.1-11 ver.7.1 Vendor changes in approved status

12. QO-D-7.1-12 ver.3.0 Vendor change in vendor entity

13. QO-D-7.1-13 ver.5.1 Quality Audit for vendor Registration

14. QO-D-7.1-14 ver.4.0 Vendor registration schedule of charges

15. QO-D-7.1-17 ver.1.0 Logistic provisions by vendor for inspections

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6.0 Referenced Documents of External Origin 1. Indian Railway Vigilance Manual

7.0 Associated Records None.

8.0 RESPONSIBILITY AND AUTHORITY:

9.0 Abbreviations

Sr. ED Senior Executive Director EDST-I Executive Director Standards Track-I MR Management Representative DST Director Standards Track JDST Joint Director Standards Track DDST Deputy Director Standards Track AIE Assistant Inspecting Engineer ADE Assistant Design Engineer QAP Quality Assurance Programme STR Schedule of Technical Requirements ITR Internal Test Results OEM Original Equipment Manufacturer TD Track Design Directorate QACD Quality Assurance Civil Directorate DTE. Directorate RDSO Research Designs & Standards Organization

Activity Responsibility Approver Supporting Consulted Informed Creation, maintenance and change of this document

Concerned Unit I/c

EDST-1 Concerned DD/ADE/AIE

MR/ISO cell, if required

Through website

Issue of this document

DST-I EDST-1 Concerned DD/ADE/AIE

MR/ISO cell, if required

Through website

Compliance of this document

Concerned Unit I/c

N/A Concerned DD/ADE/AIE

N/A N/A

Requirement of deviation from this document

DST-I Concerned ED

Concerned Unit I/c

N/A Concerned Unit I/c

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Annexure 1.0 VENDOR APPROVAL 1.1 Vendor:

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

1.2 Scope: Track Design Directorate shall undertake the work of registration/ development of vendors and other activities related to vendor approval, for all the items listed in Annexure-I , along with new developmental items, as per instructions received from Railway Board.

2.0 Vendor application for registration: 2.1 General:

2.1.1 The Vendor development by Track Design Directorate for P-Way Items is undertaken mostly for newly developed items according to Guidelines issued from Railway Board time to time. As such, Vendors seeking registration for any of the items shall first approach RDSO by giving indicative request online and obtain Administrative Clearance /Go Ahead for setting up of infrastructure and for being developed as Vendor for particular P. way Item.

2.1.2 The process of vendor registration at RDSO has been made on-line and no paper based

applications shall be accepted by the directorates. In case any paper based application is received, the application shall be returned and applicant advised to apply on-line through the RDSO website.

2.1.3 RDSO shall permit only the OEMs to register. Traders/resellers are not permitted. However, in

case of overseas OEMs, the firms can appoint as inshore firm duly authorized to interact on all issues pertaining to process of registration. The instrument of such authorization shall be submitted by the authorized firm along with the application form. RDSO shall grant approval only to OEM.

2.2 Provision of application form and other documents:

.1 Vendors seeking registration for any of the items 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 are provided on the website. .2 The requisite charges as specified in Annexure –III of this document (this is applicable even where vendors are in possession of developmental/educational orders from Railway Board/ Zonal Railways) shall be collected through the means as specified on the website. .3 An undertaking by the firm should be submitted along with the application that the contents of these “General Guidelines for Vendor Development” have been read & understood by their firm and the firm agrees to abide by the stipulations laid therein.

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2.3 Mandatory Declarations by Vendors: The following declarations shall be submitted by the applicants. These declarations shall be a

part of the vendor registration application form. 2.3.1 Mandatory declarations as prescribed by the legal c ell

The RDSO Legal Cell has prescribed a number of declarations that shall be furnished by the applicant along with the application for registration. These documents prescribed by legal Cell vide procedure order dated 18.04.2013 shall be required to be furnished only for new registration and not for renewal of registration. The decision of the legal cell (of RDSO) regarding adequacy of these documents shall be final. Note : The legal cell shall be contacted for the correct set of formats prescribed for collection of mandatory declarations.

2.3.2 Data for classifying allied / Sister Concerns: In order to enable the Railway administration to ascertain whether a firm / company is an allied/sister concern of any other firm/company, the firm/company applying for registration shall furnish the required information as detailed in the format No. QO-F-7.1-5 (Annexure-IV ) along with registration form, for related firm (s) and company (ies) that are already registered (or under process of registration) for any item with RDSO.

2.3.2.1 Undertaking to be submitted by the applicant:

An undertaking shall also be submitted by the applicants that they shall disclose to RDSO, any changes in the status, as reported here, whenever it occurs. This undertaking shall hold good while the application is under scrutiny or while the firm is listed on the RDSO vendor list.

2.3.2.2 Declaration for Infringement of patent Righ ts by Vendor: For all the items/ products developed by vendors which are in the process of approval, vendor

shall submit an undertaking or declaration that ‘their development/ product/process is original and there is no infringement of Patent Rights. The entire responsibility to settle any such dispute/ matters lies with the vendor”.

2.4 Prerequisite for application

All applicants shall possess the following pre-requisite:

2.4.1 ISO 9001 Certification

Vendor should possess valid ISO 9001 certificate for his works address, covering the items for which he seeks registration with Track Design Directorate.

Items which are being developed exclusively for Railway purposes may be outside the scope of ISO: 9001 certification during the developmental stage. However, the vendor should be certified to ISO: 9001 and the concerned item included in the scope of this certification before vendor approval is granted.

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Further, it shall be ensured that the certifying body which issues the ISO: 9001 certificate is accredited by an accreditation body that is a part of the International Accreditation Forum (IAF) under the Multilateral Recognition Arrangement (MLA). The list of all such 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 ISO cell of RDSO and its decision will be final.

2.4.2 Digital Signatures :

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

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

2.4.2.1 It is mandatory for all the vendors to obtain digital signature certificate and get registered with

IREPS at www.ireps.gov.in. 2.5 Acknowledgement of receipt :

The vendor shall be given an acknowledgement of receipt of application online.

2.6 Incomplete Application:

Application found incomplete shall be returned/ not accepted.

2.7 Submission of QAP:

The firm shall also submit the QAP along with the application form. The QAP to be submitted by the vendor in triplicate (along with the application form for registration) shall cover the following aspects: a. Organisation Chart emphasizing Quality Control (QC) set-up. b. Qualifications of key personnel and officials deployed in Quality Control Cell. c. Process Flow Chart indicating process of manufacture for an individual product or for a family

of products if the process is same. d. Quality Assurance System – Inspection & Testing Plan. This shall cover the following:

• Incoming material • Process control • Product control • System control • Gauging scheme – in the format for each operation gauges shall be mentioned, if used.

e. Stage inspection detailing inspection procedure, inspection parameters, method of testing/test procedure including sample sizes for destructive and non- destructive testing etc

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The generalized format for covering the information under d, e shall be as follows: Subject/ Product/ Process

Sample size & its frequency of inspection

Parameters for inspection

Mode of inspection/equip. used

Acceptance limits/Criteria/ specified Value

Rejection details Reprocessed/ Scraped

f. QAP covering all the information as asked above under item ‘a’ to ‘g’ must be given in the

form of single document indicating name of the firm and page no. ‘x’ of ‘y’ on each page. Each page shall be signed by QC in-charge.

g. The approved QAP must be a controlled document and a quality record of ISO quality control system of the vendor. A certificate to this effect shall be provided along with the QAP by the vendor.

The QAP so submitted will be subject to review/ up gradation by RDSO in the light of fresh data & experience. One copy after final approval will be given back to vendor.

3.0 Registration application processing : 3.1 Ensuring safekeeping of documents with Intellectual Property Rights (IPRs)

After receipt of complete application forms for vendor registration, concerned personnel of the directorate shall mark/stamp these documents as “Confidential Document, Access Restricted” (for internal circulation in RDSO) or “Confidential Document, Access Restricted, Issued for Official Use” (in case the same is required for field units for inspection/maintenance/repair/operation). Hard copies of these documents can be kept in separate confidential files by the respective Director/Joint Director. Later on if directorate feels it necessary, these documents can be scanned and their softcopies can be kept under the safe custody of concerned Director/Joint Director with password protection.

3.2 Changes in the applicant entity while processing

No changes are normally to be permitted in the applicant entity during the processing of the application. However, wherever unavoidable the following shall be ensured:

a) The applicant shall inform the concerned directorate of RDSO regarding the changes. The

directorate shall examine the same. b) In case of major changes of ownership, the old application shall be rejected and the

applicant shall be asked to apply afresh and shall be considered as per its new turn in the applicant queue, wherever applicable.

c) In case of change of address of plant / works, the old application shall be rejected and the applicant shall be asked to apply afresh and shall be considered as per its new turn in the applicant queue, wherever applicable.

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3.3 Application Screening & clarifications Application once received in duplicate shall be scrutinized in detail. Application should also be checked for adequacy in respect of the information sought. Any information considered unsatisfactory should be pinpointed. Instructions contained in Indian Railways Vigilance Manual should also be considered whenever applicable. Any clarification to be sought from the firm should be pinpointed at this juncture and communicated to the firm in writing.

3.3.1 Screening for sister / allied concern

The self declaration form QO-F-7.1-5 (Annexure-IV) submitted by the applicant shall be examined. If the firm has given non-negative answer to the queries of the form, the details provided by the firm shall be examined as below:

The application shall be screened for identification of allied / sister concerned as follows:

Definition of Allied / sister concern, as understood from the provisions contained in Para 1102 (iii) of Vigilance Manual 2006, Section 40A (2)(b) of Income-Tax Act 1961 and Section 370-1(B) of Companies ‘Act 1956, and further modified to suit our requirements is as under - .1 For Proprietary Firms: In case of Proprietary firms, the firms qualifying the following criteria shall be categorized as sister concern • All the firms owned by the same person shall be considered as allied / sister concerns. .2 For Partnership Firms: In case of partnership firms, the firms qualifying the following criteria shall be categorized as sister concern • All firms having the same set of partners • In case, any one or more partners, who has a profit sharing ratio of 20% or more in the

applicant firm as well as any of the firms already registered for the same item with RDSO, both the firms shall be considered as sister concerns.

.3 For Companies: 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 Directors common • Any one or more directors or any of his/her close relatives (father, mother/step-mother,

husband, wife, brother/step-brother, sister/step-sister, son/step-son, daughter / stepdaughter, son’s wife, daughter’s husband, brother’s wife and sister’s husband) has 1/3rd or more share holding 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 concerns.

• Common share holder having 1/3rd shares.

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.4 Other Conditions: In addition to this, the firms/companies operating from same office or having same manufacturing works shall be treated as allied/sister concern.

.5 On detection of case of allied/sister concern: Having identified, from the information submitted by the firm/company, that the applicant firm/company is an allied/sister concern of other firm(s)/company(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 firms/companies so that the tendering authorities and tender committees may take a note of the same for necessary action. The concerned officer (of the directorate processing the case) shall apprise other directorates of the detection of allied / sister concern with firm(s) registered in these other directorates, such that this information can be retained for future use by RDSO and Zonal Railways.

3.3.2 Legal Scrutiny

The legal documents received with the application shall not be required to be sent to legal cell for scrutiny. These documents shall be kept for record purpose only. However even in cases warranting scrutiny of the legal documents, the respective directorate shall process the case for approval parallelly and not after the legal scrutiny is over. Further, if necessary and if everything else is in order, but legal scrutiny is getting delayed, provision for issue of provisional clearance subject to legal scrutiny clearance shall be considered.

3.3.2.1 Undertaking to be submitted by the applican t. As prescribed by the legal cell of RDSO, an undertaking shall also be taken from the applicant that all legal formalities and statutory compliances required for vendor registration in RDSO have been completed and all documents submitted in pursuance thereto, are legally correct. If any deficiency/ noncompliance is found on the part of applicant then RDSO shall have the right to delist the applicant permanently without assigning any reasons and the delisted vendor shall have no claim in consequence thereof against RDSO whatsoever. This undertaking shall hold good while the application is under scrutiny & also while the firm is listed on the RDSO’s vendor list.

3.3.3 Technical Screening

A technical screening shall be done at this stage to establish whether on the basis of information supplied regarding infrastructure & manufacturing practices, QAP etc., firm can be considered for a visit for assessment of its capability.

3.4 Acceptance of application

If the firm’s application is accepted for further processing after scrutiny, the firm will be intimated about the status.

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3.5 Rejection of application

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 from the date of marking communication for rejection. If the firm fails to report complete compliance within the above-mentioned period, it shall be asked to apply afresh to RDSO.

3.6 Visit to firm’s premises After the acceptance of application, nominated RDSO official(s) shall visit the firm’s premises for

STR verification and capability assessment.

Visit of manufacturing works by an officer is mandatory for cases of fresh registration of vendors. Assessment of overseas suppliers may be outsourced to reputed private inspection agencies

(panel to be made by QA/Mech dte.). In case item is such that inspection gauges are to be checked and approved at firm’s works, the inspection gauges will also be offered by the firm for checking by inspecting official during visit. (Refer Para 12.0 for approval of Inspection gauges).

3.7 Capability Assessment Report

Once the official is nominated for capability assessment, the application form & relevant documents shall be given to the nominated official. The duly completed inspection and capability assessment report on the standard format along with the Inspection gauge checking report (wherever applicable) shall be submitted to the directorate head with recommendations through concerned director. The capability assessment report for overseas supplier shall be prepared by the hired inspection agency.

3.8 Approval of Inspection gauges and internal developm ent .1 In case of items for which Inspection gauges are to be checked and approved at RDSO, after satisfactory capacity assessment, the firm shall be advised to submit two sets of inspection gauges along with gauge approval charges, as applicable, for approval by RDSO. The gauges shall be stamped with the firm’s initials and marked set-I and set-II. The gauges shall also clearly bear the firm’s name and initials allotted by RDSO. (For procedure of approval of gauges, refer Para 12.0).

.2 After ensuring the availability of RDSO approved inspection gauges; the firm will be required to undertake internal development and to submit internal test report (ITR) of the product, selected at random from their trial production, for scrutiny by Track Design Directorate.

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.3 In case, ITR submitted by firm is found satisfactory, the firm shall be advised to deposit sample drawl and testing charges and action be taken as per Para 3.9. .4 In case, the ITR is not found satisfactory, the firm shall be asked to improve upon the quality and resubmit the ITR for scrutiny. If the ITR is found unsatisfactory second time, the case will be closed.

3.9 Test Sample and Charges

.1 The nominated officer for capability assessment ( for sample drawl as the case may be), after verifying STR, service charges/ field trial charges 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. The payment may also be made as per clause 14.0(a). Where the sample testing is to be done at firm’s works, the nominated officer will carry out requisite tests on samples/ prototype. When testing is not feasible to be done in RDSO/ firm’s works, it can be assigned to outside agencies on firm’s cost. The agencies shall be decided by the respective Directorate head. .2 See associate directive for schedule of charges under Annexure-III

.3 All the required tests as per the specification shall be conducted on the samples of the product and shall be treated as one round of testing. The samples shall be tested as per the specified scheme. For the other chance, all the tests shall be conducted again as above and so on.

3.10 Management of test samples

The procedure for test sample management has been laid down in the relevant specification, Item specific guidelines and work Instructions.

3.11 Non Conforming results or inadequate information If during scrutiny by nominated official, the information is not adequate and/or the test results are not conforming to the specifications, the vendor shall be informed accordingly. If some more information is required, the same may be collected and case processed further.

3.12 Approval by Directorate Head In case the information is in line with the requirements and test results are satisfactory, the case shall be put up to Directorate Head along with the scrutiny/Check Sheet for his approval. Fresh registration shall be given in Part-II only. Depending on the nature of item, Part-II status may be given after ensuring:

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• Minimum Infrastructure and adherence to QAP • Satisfactory test of product prototype or initial or extended field trials, (Such details should

be provided in the specification of the item.)

In case a developmental order is required prior to inclusion in Part-II, one of the consignees may be advised for necessary action.

3.13 Approved copy of QAP

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.

3.14 Review/ up gradation of QAP

The QAP shall be approved by the officer nominated for capability assessment or nodal officer as the case may be. This will be subject to review/ up gradation by RDSO in the light of fresh data & experience.

3.15 Communication of approval

The approval shall be updated on website and respective vendor directory. Note: No approval certificate is necessary and firm’s name in approved vendor list is considered sufficient.

4.0 Vendor relaxation of registration requirements: 4.1 Relaxation for vendors approved with Railway Produc tion Units:

Based on the experience of RDSO, it is found necessary to provide for a simpler procedure of registration in respect of vendor approval of items transferred from the purview of Production Units (PUs) to RDSO. A vendor approved by a PU for an item transferred from the purview of the PU concerned to RDSO, may be exempted from the above procedure for registration, subject to the condition that the approval category of the vendor and the date of approval shall be remain same as that listed at the PU concerned on the date of appearance in the RDSO vendor directory.

4.2 Relaxation as provided under product developme nt directive:

Relaxations as listed in the directive for product development are applicable.

5.0 Vendor registration: Expression of interest (EOI): 5.1 Condition of calling EOI

The following are specific condition when an EOI shall be called: .1 Less than three vendors for a given item

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Regular ‘Expression of Interest’ should be published in newspapers (preferably on three monthly basis) for all approved items having less than three vendors. All developmental items shall also be listed in these EOI.

.2 For urgent developmental items, separate EOIs shall be called when required.

6.0 Quality Audit of vendor registration: 6.1 To ensure the quality of the material supplied by the firms, it is necessary that regular

Checks/Quality audit shall be made on their quality assurance programme including machinery & plant, man-power, sources of raw-material and their own internal quality checks to ensure they are in place as per conditions laid down while approving the firm. Quality audit shall be done by Track design directorate of RDSO at an interval of 3 years or on need basis based on adverse field performance/ report.

6.2 Validity of registration

Validity of fresh registration shall be 2 years and subsequent extensions after quality audit shall be 3 years. It shall be ensured that quality audit is conducted well before the expiry of validly. In case quality audit could not be carried out by RDSO within validity, firm’s name to continue in approved list till quality audit is done

6.3 Responsibility of vendor The vendor will immediately bring into the notice of RDSO the full technical details of any changes about Bill of Material, plant & machinery and Quality Assurance Plan, for which the responsibility lies with the approved vendor. In case the approved vendor fails to comply with the above provision, his name may be deleted/temporarily withdrawn from the approved vendor list.

6.4 Evaluation of performance The performance of the in service equipment / components shall be evaluated by the directorate based on field inputs and considered the same for check/quality audit report.

In case the approved vendor refuses to quality audit or does not allow RDSO to perform quality audit, vendor will be temporarily delisted and his name will be deleted from the approved vendor list in next updation, till such time quality audit is performed by RDSO. Note: Ideally the approved vendor should have made supplies during the duration between two quality audits. However, in cases where no supply has been made, the firm shall be asked to explain reason(s) for the same.

6.5 Deterioration of performance At any time, depending upon adverse feedback from user Railway(s)/PUs and any other compelling reason which comes into light, the concerned unit officer may re-evaluate the performance including QAP, Manufacturing facilities and Bill of Material for further continuance/ withdrawal of the approval. In case any discrepancy is observed, the case shall be taken up for

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serving the firm necessary show cause notice to improve upon the performance prior to withdrawal of approval.

6.6 Audit Report

The check/audit report shall be communicated to the vendor and subsequently updated on the website and vendor directory.

6.7 Assessment Charges for quality audit Charges applicable shall be levied / collected from the vendors as assessment / application charges, for quality audit when the firm is assessed by RDSO representatives. See Vendor registration schedule of charges on ANNEXURE-III In case assessment is done by an outsourced agency, the actual charges shall be borne by the firm being assessed. Note: Type tests, if any, shall be de-linked from the process of Check/quality audit.

6.8 Review/ Audit of Registration for OEM’s

Original equipment manufacturer (OEM) is defined for the purpose of this procedure as a firm who is the original manufacturer of the equipment even though it may have used some components or subassemblies bought out from others.

The OEM’s registration shall also be reviewed/audited on as per the prescribed interval. Their registration may continue, however, 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.

In case of single source approval can be granted to OEM on suo moto basis with the approval of directorate in-charge.

6.9 Procedure for Regular Quality audit:

.1 The schedule of regular quality audit will be advised to firm at-least one month in advance.

.2 Wherever applicable, quality audit will also include the checking and approval of inspection gauges.

.3 Quality audit shall be carried out by RDSO officials of not less than the rank of ADE/AIE. However, the competent authority has the discretion of allowing an authority lower than AIE to carry out the assigned work.

.4 The availability and working condition of infrastructure, plants and machinery, testing facilities and checking of the product from the available lot, if any, or manufactured for audit as per relevant specifications at the vendor's premises shall be done.

.5 If specification requires tests which cannot be done at firm’s premises, the same will be done either at RDSO or reputed test houses decided by directorate head. The charges for such tests will be borne by the firm.

.6 The reports of quality audit will be put up to directorate head along with the observations of concerned director.

.7 The QAP will also be revalidated as per Para 6.10 below.

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6.10 Re- Approval of QAP at time of quality Audit

The vendors shall offer the QAP in duplicate for re-approval incorporating the changes if any made since last approved QAP. The changes are required to be made in case of any of the following: • Change in Quality Control Organization Set-up. • Change of officials working in Quality Control Organization. • Change in machines, which may affect the process/method/mode of production. • Change of conventional machines by CNC machines. • Change in control over incoming material such as Inspection Criteria • Change in control over process. • Change in control over product. • Change in control over system. • Addition of any corrective action taken to improve the system by the vendor • Alterations suggested by RDSO in the intervening period since last approval of QAP. • Any updation of specification. • Any updation of infrastructural requirements.

In case, there is no change, the existing QAP will be checked and revalidated by inspecting official.

The approved QAP must be a controlled document and a quality record of ISO quality control system of the vendor. A certificate to this effect shall be provided along with the QAP by the vendor.

7.0 Vendor sample Type testing:

Type testing of samples to be done during fresh registration and subsequently only on need basis as decided by directorate head based on major changes in the specification or any other serious reason warranting fresh type testing.

7.1 Sample lot

At the time of fresh registration, the firm shall be asked to manufacture a sample lot as per the specification. In case of quality audit, the sample can be picked up from the lot under manufacture/ready.

Picking of samples and testing shall be done as per relevant specification. The guideline given in Para 9.3 shall be observed.

7.2 Testing Charges

Testing charges shall be levied as per the schedule of charges given in Annexure- III

7.3 Failure in type test If the sample fails in type test, the test value of the result for parameters, which have been found non-conforming to the specifications, shall be intimated to the vendor. However, it shall be ensured that the vendor has already deposited the testing charges as applicable.

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7.4 Request for retesting If the vendor desires to further offer the sample for re-testing, he may do so only after taking adequate corrective action to improve the product especially for the parameters, which were found non-conforming. The vendor shall inform in writing the technical corrective steps taken by him, to RDSO.

7.5 Re-testing

Having been satisfied with the steps taken by the vendor, the vendor shall be asked to offer samples for re-testing. Firm shall 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.

7.6 Failure in re-test

In fresh registration cases, If there is no improvement & the samples are found non-conforming second time, the case shall be subjected rejected & the vendor is informed accordingly. In case of check/quality audit, appropriate action for serving a show cause notice to firm to improve performance in a reasonable period of time shall be initiated and if firm fails to improve its performance/quality assurance programme, action for down gradation / de-listing shall be initiated as required. The firm may be downgraded/ delisted by the Directorate Head, after taking into account the availability of vendors & manufacturing capacity for the item. However, in exceptional cases, if there is sufficient justification to give a third chance, based on technical competence/ reputation of the firm etc., a third chance may be granted by the Directorate Head.

8.0 Vendor List/ Master List of approved vendors: 8.1 Specification of Vendor List:

The vendor list (master list of approved vendors) for items dealt by Track Design directorate will be issued by Quality Assurance Directorate (Civil) on the basis of information given by Track Design Directorate on same format as applicable to the directorate. The specification of vendor list for track items will be same as decided by QA(Civil) directorate for their items.

8.2 Instructions in the preface of the vendor list The following instructions shall be included in the preface/ instructions/ information given in the beginning of the vendor list.

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“If due to any oversight/typographical error or any other reason, a vendor has been incorrectly placed in Part-I or Part-II for a particular item, then the vendor should immediately inform RDSO about the error.”

8.3 Identification and versioning

All amendments shall bear version numbers for identification and traceability.

8.4 Publication of list

Quality Assurance Directorate (Civil) shall publish the approved vendor list for items listed at Annexure-I also on the basis of information given by Track Design Directorate. This vendor list shall be issued twice in a year i.e. as on 1st of January and 1st of July every year. The monthly cumulative correction slips for changes during the month shall be issued.

8.4.1 Validity

The vendor list shall be controlled record of Quality assurance (civil) directorate, to be issued as per distribution list decided by the directorate. The list shall be valid for six months from the date of issue as amended through monthly correction slips.

8.5 Changes during intervening period

Changes in the intervening period shall be advised to the copyholders of the vendor list through amendments/ Correction slips to the vendor list to be issued at the end of every month. However, fresh approval/ Up gradation/ Down gradation / Delisting shall be advised to vendors & copy holder immediately.

8.6 Display of vendor status on the website

The vendor up-gradation status shall be displayed on RDSO website and periodically updated every month by correction slip. NOTE: The maintenance and regular update of approved list & display on website is solely the responsibility of concerned directorates. Directorates shall ensure from time to time that updated list is correct. Delisting of vendor shall not be done for error in the updated list of approved sources at any time.

8.7 Deletion of item listed on the vendor list

Any change in the list of items on the vendor list shall be done after due consultation as per extant procedure.

8.8 Changes of specification of Items on Vendor List: Any Change in specification of items shall be done as per following extant procedure in Para -

11.0. All vendors on approved list registered for the item for which the specifications are to be changed

shall be provided copies of new documents free of charge through appropriate means by concerned directorate dealing with vendor approval ( Track or QA/Civil as case may be).

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9.0 Vendor changes in approved status:

9.1 Up-gradation of fresh vendors from Part-II to Part-I: 9.1.1 Prerequisites

The vendors who are in Part II shall be considered for up gradation to Part-I list only after compliance of all the following conditions – a) The vendor has applied in writing to RDSO for Up gradation from Part-II to Part-I. b) The vendor should have supplied minimum specified quantity of material (as per Annexure –II)

as a Part-II vendor, and which shall have i) To be in service for a minimum period of one year. Or

ii) 15 months from the date of issue of last inspection certificate (completing the minimum specified quantity).

c) The minimum specified quantity for each item is as specified in Annexure-II. d) The vendor should possess a valid ISO 9001 certificate for his works address, covering the

items for which he is registered with RDSO. This is a mandatory requirement for all vendors. e) The registration of the firm is valid.

f) Service Performance- The performance of the firm should be satisfactory. The performance criteria as decided by directorate will be binding. No adverse performance attributable to unsatisfactory quality/ workmanship of the product has been received from the field within specified period at the time of consideration for up-gradation.

g) In exceptional circumstances, where waiver to laid down conditions for up gradation of the firm is required, the same will require prior approval of DG/RDSO.

Note: When a particular firm is approved for complete product in approved list for Part I, then the firm is approved for all sub-assemblies/ components which are used in the product and are manufactured by the firm, provided that these components/items are appearing in approved list of vendor directory.

9.1.2 Time period for up-gradation

The firms classified as Pt-II on the vendor list can apply maximum six months in advance of the date due for up gradation. However the firm shall do so only when the minimum quantity specified for the item has been accepted by the consignee. The applications which are received between three to six months in advance of the due date for up-gradation 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 up gradation, shall be processed. However, delay if any in up-gradation with respect to due date, shall be attributable to the late receipt of application.

9.2 DOWN-GRADATION OF VENDOR FROM PART I TO PART I I & DELISTING OF VENDOR: 9.2.1 Prerequisite

The vendors can be downgraded from Part-I to Part-II list or temporary delisted / delisted from Part I or Part-II list directly or via lower status in case of one or more of the below mentioned

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conditions considering the seriousness & nature of deficiencies and their effect on the quality of the product: a) Complaints regarding poor performance related to quality of product reported by Railways

directly or through Railway Board. b) Frequent non-conformities observed during regular inspection done by RDSO or any other

agency. c) Major non-compliance of the approved QAP. d) Deficiencies /non-functioning of major machinery & plants affecting the quality. e) Withdrawal of ISO Certification of the firm by certifying agency. f) Premature withdrawal of support/collaboration by the collaborator. g) During a course of time, if the specification is amended and the vendor is not upgrading the

additional requirements within a specified time frame. h) 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. j) The entire factory or part of it is reported closed/shut down/lock out.

Note: In case of closure / lockout, the firm may be temporarily delisted and status restored on resumption after verification of facilities and audit of the production process, as decided by the directorate head.

k) Information provided in the application is found to be incorrect. l) The vendor is black listed/or 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.

m) Non conformities of sample picked up from firm’s premises or field (See instructions for picking of samples and testing of sample Para 9.3 in this document.) is noticed, Firm shall be served a show cause notice to improve performance and firm fails to improve its performance/quality assurance programme.

n) If the firm is reported “involved in forming the cartels”, by the Railways. (as per Railway Board’s letter no.2003/RS(G)1/3 Pt.I dated 15.04.2014)

o) Whenever proposal for banning of business is sent to board the firm should be DELISTED without mentioning the word permanent delisting/temporary delisting

p) Any other criterion adopted by the Directorate. 9.2.2 Notice and time bound reply

Down-gradation/Delisting shall be considered after serving a show-cause notice on the firm seeking time bound reply and considering the response of the firm to the notice.

9.2.3 Duration of down gradation

The down gradation shall be for a period of minimum one year.

9.2.4 Communicating down gradation Down-gradation/delisting shall be communicated in writing to the vendor. All concerned as per distribution of the vendor list, shall also be advised immediately. The certifying body who had issued the ISO: 9001 certification shall also be informed in writing through ISO Cell regarding down gradation/delisting of the vendor.

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The report should be sent to ISO Cell on the form under (QO-F-7.1-3) containing Information of down gradation, delisting of approved vendor enclosed as Annexure VI.

9.2.5 Inspection of orders in process

Inspection of material against purchase orders placed before the deletion of firm’s name from the approved list of vendors may be carried out in normal course as per extant policy/norms.

9.2.6 Outright delisting

The vendors can, however, be delisted directly from Pt-I without recourse to Part-II, if sufficient reasons are noticed. Also new vendors, who are still in Part-II as a result of fresh approval, can also be delisted if sufficient reasons exist.

Approval shall be withdrawn and firm permanently de-listed in case of following:

I. Tampering/forgery of documents based on which approval/up gradation/renewal has been sought from RDSO.

Note: Delisting of vendor shall not be done for error in the updated list of approved sources or vendor directory at any time, for an item for which approval certificate has not been issued by RDSO. Railways may ask for any document from vendor for confirmation of firm’s status in approved list as shown on website.

9.2.7 Temporary delisting

Temporary delisting of vendors can be resorted to under the following conditions: a) Cases where epidemic failures are noticed in the items supplied. b) Direction from law enforcing agencies c) In case of any malafide, unethical practice being adopted by the firm. d) If quality audit is refused by the firm or RDSO is not allowed by the firm to perform quality audit, the firm shall be temporarily delisted and shall be removed from the vendor list in next updation, till such time quality audit is performed e) Any other serious reason. The firm to be temporarily delisted shall normally be served with a show cause notice bringing out the reason(s) for the temporary delisting. The notice shall allow atleast 10 days for the firm to reply. However, under exceptional circumstances, issue of the show cause notice shall be dispensed with. The directorate head shall record the reasons for dispensing with the show cause notice. Process for final delisting shall be initiated at the earliest after temporary delisting.

9.3 Picking of samples and Testing of samples

When samples are picked, for testing of quality of product, the following shall be ensured during testing.

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a) The samples for all the tests including that of inspection, quality check etc. shall be Picked up generally from the firm’s premises barring exception cases.

b) The drawing of the samples and testing of the same shall be done jointly along with the firm’s representative. Testing shall be done either in the firm’s lab or in the nearest National Testing House having required facilities at the earliest. A joint record of the test result shall be placed on the record while putting papers to the competent authority. c) In case of specific complaints regarding vendor’s poor performance from the field, surprise checks shall be done in the firm’s premises for drawing samples of raw material, finished product from lot being inspected or ready for dispatch after inspection and the same shall be tested jointly in the firm’s premises or in the nearest National Test House. A jointly signed test report of the sample drawn as per the specification shall be put up to competent authority for taking final decision. d) In rare case if the samples are to be drawn from the field for quality check, it shall be ensured that the same has been handled as per the laid down procedure by the concerned railway officials and due allowance in slight degradation in parameters may be kept in view while undertaking the joint test of the samples along with the vendor’s representative.

9.3.1 Testing of samples as per routine / acceptance test schedules

When routine / acceptance tests are planned, three (3) Set of samples shall be picked up for conducting tests.

First one sample shall be tested, if it passes, no more tests need to be done.

If the first sample fails, the vendor shall be asked to verify the remaining two samples and both the samples shall be tested. Failure of any one of the two samples shall be considered as a failure of the test of samples.

In case of failure of the test, appropriate action for serving a show cause notice to firm to improve performance shall be initiated and if firm fails to improve its performance/quality assurance programme action for down gradation / de-listing shall be initiated as required.

9.3.2 Testing of samples with special checks involving co mplex tests

When tests like type tests are planned, which are expensive or long duration (which are not a part of regular purchase inspection / routine inspection), only one sample shall be tested.

The vendor however shall be given the opportunity to verify the sample before it is tested.

In case of failure of the test, appropriate action for serving a show cause notice to firm to improve performance shall be initiated and if firm fails to improve its performance/quality assurance programme action for down gradation / de-listing shall be initiated as required.

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9.4 Re-instatement of Status of Vendor (Penalised as in Para 9.2) 9.4.1 Up gradation (reinstatement) from Part-II to Part-I :

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

vendor applies for the same. (b) Revival shall be considered only after a period of one year. (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.

9.4.2 Re-instatement after Delisting/ temporary 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. 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 down gradation /temporary delisting/ delisting of vendor only on account of not acquiring ISO 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 down gradation /delisting.

c) For cases of delisting due to Banning of business dealing or black listing the vendor shall be considered for restoration of status only when the time period of black listing or banning of business is over.

9.4.3 Binding decision of Head of Directorate The decision of Directorate Head regarding restoration of vendor in Part-I/Part-II after delisting shall be final.

9.4.4 Case of delisted vendor

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.

9.5 Appellate Authority and time period for appeal

The vendor can appeal against the decision of the directorate to ADG/RDSO who shall be appellate authority for all cases pertaining to vendor development. The appeal against the order shall be addressed to ADG and given in writing along with the statement of details and reason for the appeal. The appeal must be submitted within 30 days of communication of the impugned order.

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10.0 Vendor changes in vendor entity: 10.1 Inclusion of additional items: 10.1.1 Approval for similar product

If the firm is already approved for a particular 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” i.e. for the same P. way item with a different drawing number requiring same QAP and machinery and plant (i.e. no additional infrastructure, plant, machine, testing facility is required) capability cum capacity assessment of the firm can be waived off by Directorate head. Sr. ED/ED 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 question.

10.1.2 Vendors on other approved lists of Indian R ailways

In case the Railway Board advises to add new items to the list of items for which vendor approval is to be dealt by RDSO and if approved vendors of such new added items are already existing on Railways/Production Units’ approved list, then these approved vendors by Railways/Production Units can be taken in Part-I, subject to compliance to technical scrutiny by RDSO on the basis of compliance of STRs, Specifications, drawings, sample tests, QAP of vendors who have supplied minimum specified quantity with satisfactory performance.

10.2 Changes in Name of the Vendor 10.2.1 Request by vendor

The vendor seeking change of Name will submit the application along with check sheet enclosed as Annexure –V . On receipt of request from the vendor for change of name, which is already on the approved vendor list, the same shall be affected after verification of the firm’s premises by the nominated RDSO official/nominated inspection agency.

10.2.2 Scrutiny by RDSO

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 for liability of old firm, resolution by Board of Directors, Partnership deed etc., he will recommend for change of name of the firm and put up to Directorate Head for approval. It shall be ensured that the ownership of firm/company is same.

10.2.3 Name change due to bifurcation of work premises

If change of name is done as a result of bifurcation of existing works premises, in addition to checking of documents as given above, reassessment will also be carried out by RDSO official before effecting the change of name of firm.

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10.2.4 Communication of name change The vendor shall be communicated in writing that the change of name has been noted by RDSO. The changed name shall be advised to all copy holders of the vendor list.

10.3 Changes in Works Address of the Vendor: 10.3.1 Prerequisite

On receipt of request for the vendor for change of address, the nominated RDSO official 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 premises. e) Factory license, ISO 9001 certificate and SSI/NSIC certificate (if applicable) are available for new address. f) The ownership of the entity 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 inspection is not being done by RDSO.

10.3.2 Communication of change

After scrutiny of the report, the acceptance in the change of address 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 I /Part II) shall remain the same.

10.4. Partial shifting of works

The procedure laid down in Para 10.3 shall also be applicable in case of partial shifting of work, i.e. in case a part of the operations are shifted from the old location to a new location.

10.5 Additional Works Setup by Approved Vendor:

10.5.1 Prerequisite

Vendor shall inform RDSO in writing regarding setting up additional works for manufacturing the approved item(s) (in the same or other location) without affecting the works, which was already approved. In such cases, the nominated RDSO official shall verify that:

a) The Machinery & Plants are similar to the works already approved. However, the vendor may

use some of the facilities of the original works, as required. It should be clearly brought out in the QAP

b) Which operations are being performed in the original works and which operations are being performed in the new works?

c)The testing and laboratory facilities are similar to the works already approved. d) The approved QAP can be implemented as it is or more effectively in the additional works.

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e) Factory license, ISO 9001 certificate and SSI/NSIC certificate (if applicable) are available for the additional works.

f) The ownership of entity is same. g) The samples manufactured by the firm at the additional works have been tested by RDSO, as

in reassessment cases, for items where purchase inspection is not being done by RDSO. 10.5.2 Communication of change

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 I/Part 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.

11.0 Procedure for Creation of New specification, R evision to existing specification,

and withdrawal of existing specification: Note: The term specification is used throughout the Para and shall be understood to mean specifications, schedule of technical requirements (STR) and any other technical documents that describe equipment or qualify the conditions of eligibility for evaluation of vendors.

11.1 Procedure for Creation of new specification 11.1.1 Creation of Draft Specification:

The product development shall be followed for development of draft specifications. Documents containing draft specifications shall be watermarked DRAFT on every page, to prevent the same from being used inadvertently or intentionally.

11.1.2 Display of Draft specification on website fo r the comments & suggestions

The draft specification shall be displayed for at least one month on the website and comments and suggestions shall be requested. The contact details of officials to whom the comments and suggestions are to be sent shall be clearly available to users of website for sending their comments.

The draft specification shall also be circulated to Zonal Railways and production units, if applicable, for comments and suggestions.

11.1.3 Creation of Reasoned documents for the comme nts:

The directorate shall then prepare a document containing all suggestions and comments and also record reasons for accepting / rejecting the same. Based on the accepted changes, the draft specification shall be modified. Such specifications shall be watermarked DRAFT on every page, to prevent the same from being used inadvertently or intentionally.

11.1.4 Display of final draft copy on website

The copy of the draft specification and the reasoned document shall be put up on the website, for at least 15 days. After the expiry of the time period, these documents shall be removed from the website.

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The copy of the final draft specification, the received comments and reasoned document, shall also be sent for the comments of Railway Board or any other competent authority if required at this stage.

11.1.5 Approval for issue of specification

The concerned officer dealing with the particular specification shall put up proposal for the new Specification to directorate head for approval to initiate the creation. When putting up the file to the directorate head, the concerned officer shall prepare a self contained note addressing the following questions. a) Why the need for creation of new specification had arisen?

b) Vendor base and whether new number of vendors shall be adequate ?

c) Pricing of the item. Some quantitative estimation of pricing of the item shall be indicated in note for information

d) A feedback format indicating specific parameters (for which feedback shall be collected) shall be prescribed along with the option to offer – “Any other remarks (other than those prescribed)”

11.1.6 Creation of finalized copy of specifications

The final copy of the specification shall be prepared including the suggestions if any, from the competent authority, ready for issue for use by railways and vendors.

11.1.7 Version for download on internet website

The directorate shall ensure that a copy of new document is put on the RDSO website for downloads by other stake holders. The person authorized to upload the document on the website (presently nominated representative of QA-Mech Dte) shall certify that the document has been uploaded. The responsibility of the getting the certificate shall lie with the concerned personnel of the directorate controlling the specification.

11.1.8 Summarized report for DG listing specificati ons created

In the first week of every month, directorate head shall submit a summarized position of all the specifications created in the following format for information of DG. S. No Item Specification Date of first

issue of specification

1

Note: This report may be merged with the report summarizing specifications revised amended as described in revision to an existing specification

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11.2. Procedure for changes to Specifications: The following process shall be followed for the changing existing specifications.

11.2.1 Proposal for changes and approval by directorate he ad

The concerned officer dealing with the particular specification shall put up proposal for Amendment/revision of the specification to directorate head for approval to initiate the Amendment /revision. When putting up the file to the directorate head, the concerned officer shall prepare a self contained note addressing the following questions. a) Why the need for change in specification has arisen? b) What are the parameters that are likely to be affected by the change? c) Effect of change on the vendor base and whether new number of vendors shall be

adequate on the basis of previous specifications? d) Effect of the change on the pricing of the item. Some quantitative estimation of the effect

on the pricing of the item shall be indicated in note for information. e) Whether the change is likely to increase the service life of the component/equipment

compensating thereby the increased cost likely to be paid, if any? f) Mechanisms already available and in place for monitoring the above parameters and

mechanisms proposed to ensure purposeful and effective monitoring over the zonal railways. A feedback format indicating specific parameters (for which feedback shall be collected) shall be prescribed along with option to offer-“any other remarks (other than those prescribed)”

11.2.2 Creation of Draft of Specification:

The amendments required in the specification shall be done and draft copy of the revised specification shall be developed and approved by the directorate head. Documents containing such specifications shall be watermark “Draft” on every page, to prevent the same from being used inadvertently or intentionally and proposed changes in the draft specification shall be marked in Red.

11.2.3 Display of draft on website for the comments & suggestions:

The draft specification shall be displayed for at least one month on the website and comments and suggestions shall be requested. The draft specification displayed on website shall also be emailed to all the existing approved sources for comments and suggestions. The contact details of officials to whom the comments and suggestions are to be sent shall be clearly available to users of website for sending their comments. The draft shall specifically be sent to the existing vendors, who have their products qualified against the current specification and also to those in process of approval, by e-mail in order to particularly draw their attention to the proposed changes.

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11.2.4 Creation of Reasoned documents for the comme nts:

The directorate shall then prepare a document containing all suggestions and comments and also record reasons for accepting / rejecting the same. Based on the accepted changes, the draft specification shall be modified. Such specifications shall be watermarked DRAFT on every page, to prevent the same from being used inadvertently or intentionally.

11.2.5 Display of final draft copy on website The copy of the draft specification and the reasoned document shall be put up on the website, after approval of directorate head, for at least 15 days. After the expiry of the time period, these documents shall be removed from the website. The draft specification displayed on website shall also be emailed to all the existing approved sources for comments and suggestions.

The copy of the final draft specification, the received comments and reasoned document, shall also be sent for the comments of Railway Board or any other competent authority if required at this stage

11.2.6 Creation of finalized copy of changed specif ications

The final copy of the specification shall be prepared including the suggestions if any, from the competent authority, ready for issue for use by railways and vendors.

11.2.7 Date of enforcement

The date from which the revised specification is to be enforced is to be decided by the directorate which is dealing with the item, keeping in view the time reasonably required by the existing vendors to comply with the changed provisions and shall be mentioned in the Specification. Also, if necessary, some specific clauses may be made effective from different dates and the same shall be mentioned against the respective clauses in the specification.


The directorate shall ensure that a copy of new document is put on the RDSO website for downloads by other stake holders. The person authorized to upload the document on the website (presently nominated representative of QA-Mech Dte) shall certify that the document has been uploaded. The responsibility of the getting the certificate shall lie with the concerned personnel of the directorate controlling the specification.

11.2.9 Copies of revised specification to existing vendors

The existing vendors who are qualified as Part-I or Part-II source against the older specification will be provided soft copy of the final specification free of cost.

11.2.10 Summarized report for DG listing specificat ions revised / amended

In the first week of every month, directorate head shall submit a summarized position of all the specifications revised/amended in the following format for information of DG.

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S. No Item Specification Date of first issue of specification

Dates of all amendments/revisions since first issue

Date from which the revised specification shall be effective

1 Note: This report may be merged with the report summarizing creation of specifications as described in Creation

of equipment item specification 11.3 Withdrawal of specification for Railway Items and Equipments: 11.3.1 Proposal recording the need for change

The concerned officer shall prepare a proposal for indicating the requirement for withdrawal of existing specification. This proposal shall be put up for approval by the directorate head. Further processing shall be done after approval by the directorate head.

11.3.2 Intimation to Existing Vendors:

After it is considered that withdrawal any existing specification is required, All vendors who have their products approved against the specification shall be informed about the proposal for withdrawal of specification including the reason for withdrawal.

11.3.3 Timetable for withdrawal:

A timetable for withdrawal of specification shall be drawn and published on website. The minimum wait period of Six month will be allowed before withdrawal of specification. The period shall start from the date of publication of timetable or dispatch of intimation to existing vendors( registered against the specification), whichever is later.

11.3.4 Removal from the internet website The directorate shall ensure that the document has been removed from website after stipulated

wait period. 11.4 Transfer of control of specification for Rail way Items and Equipments: 11.4.1 Proposal recording the need for change

The concerned officer shall prepare a proposal for transfer of control of existing specification. This proposal shall be put up for approval by the source directorate head and the destination directorate head shall also be informed. Further processing shall be done after approval by the source directorate head and consent by the destination directorate head.

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11.4.2 Intimation to Existing Vendors: All vendors who have their products approved against the specification shall be informed about the proposal for transfer of control of specification.

11.4.3 Timetable for transfer of control:

A timetable for transfer of control of specification shall be drawn and published on website.


The directorate shall ensure that document details have been corrected on document available on website.

12.0 PROCEDURE FOR APPROVAL OF GAUGES 12.1 The Inspection gauges can be approved either at firm’s works or at RDSO depending upon

nature of item. Normally, the inspection gauges for Elastic fastening components, which are small in size are checked and approved at RDSO. The inspection gauges for Switches and crossings, SEJ etc, which are dimensionally large are approved at Firm’s works. The details are given in Item specific guidelines of the item.

12.2 Wherever applicable, the following procedure shall apply for approval of gauges:

.1 The vendor shall manufacture two sets of gauges as per the latest approved gauge drawings and after checking them internally, shall submit them along with internal check report on gauges and the gauge checking charges of RDSO.

.2 The gauges will be checked by RDSO officials and if approved the approval will be conveyed to the firm in writing. Then both sets of gauges shall be collected by the firm. The firm shall keep one set as master gauge and the other for inspection. For routine internal inspection, the firm will manufacture its own sets of gauges. The validity of approved gauges will be two/three years, as applicable.

.3 If any of the two sets is found unsatisfactory; the firm will be intimated about the parameter/dimension in which the gauge has failed. The firm will be asked to resubmit the gauges after rectification of indicated defects in particular & overall correctness in general. Approval of gauges shall be given only if both sets are found satisfactory.

.4 If the firm desires to resubmit the gauges for checking and approval, they will submit them to RDSO along with the requisite gauge inspection charges. If gauges are found satisfactory, action for approval shall be taken.

.5 If the firm is still unable to get their gauges approved in above two chances, the third chance shall however be given as an exceptional case, depending upon the merits of the case, only with the approval of competent authority.

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However, if the firm fails to get their gauges approved this time too, the firm shall only be allowed to submit the gauges for approval after a specified period as mentioned in the letter conveying unsatisfactory gauges.

.6 Similar procedure will be followed for approval of gauges, which are to be approved by RDSO official at firm’s premises.

13.0 Logistic provision by vendor for inspection :

The RDSO official while visiting the vendor’s premises for inspections shall be provided suitable logistic support for accommodation and transport. The official while planning inspections shall inform the vendor of the transport and accommodation requirements as per entitlement. The guidelines for scale of accommodation and transport are as per the scales provided in the Government of India, Ministry of Finance, memorandum number 19030/2008 –E-IV dated 23/09/2008.

14.0 General:

(a) All payments shall be done through on-line payment by the use of SBI payment Portal “ SB Collect” designed for Government departments for all types of payments implemented w.e.f. August 01, 2013.

(b) Vendors will inform Track Design Directorate of the changes in correspondence address, telephone no., Fax numbers & E-mail ID at the earliest.

(c) As per the requirement, the inspection of the product shall be done by RDSO or

other agencies as specified in the contract/purchase order. The inspection authority for normal inspection is indicated in vendor list. The quantity of material to be inspected by RDSO for a particular product initially before/ after approval is given at Annexure - II .

(d) Wherever prototypes are manufactured, the same shall be considered as sample.

(e) An undertaking by the firm should be submitted that the contents of “General Guidelines for Vendor Development” have been read & understood by their firm and their firm agrees to abide by the stipulations laid therein. In event of undertaking not received from firm within reasonable period after advise by RDSO, the firm may be temporarily delisted till the undertaking is received.

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ANNEXURE-I

LIST OF ITEMS AND ITEM SPECIFIC GUIDELINES

(Allotted to Track Design Directorate of RDSO)

SN. Item Specific Guideline Number (#) 1. IRS Hard Facing Electrodes for re-conditioning TDG 0026 Rev.4 2. Micro flow spray powder for re-conditioning of

scabs, wheel burns of rails and cupped A.T. Weld joints.

M&C/W/103-2003 Rev.’0’

3. New Alumino Thermic Welding Techniques TD-G-4.2.3-17 4. CMS crossings for 1 in 16 and special layouts TDG 0036 Rev.1 5. Improved Switch Expansion Joints for 65 mm

max. gap and 80 mm max gap TDG 0022 Rev.1

6. Elastic Rail Clips Mark-V TDG 0035 Rev.2

(#) - Latest version should be ensured

New developmental items are also dealt by Track Des ign Directorate as per directives of Railway Board.

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ANNEXURE- II

LIST OF ITEMS INDICATING MINIMUM QUANTITY TO BE SUP PLIED FOR CONSIDERATION FOR UP-GRADATION TO PART-I

S. No

Item Unit Min. Qty. Initial Quantity to be inspected by RDSO (*)

Inspection agency for subsequent Quantity

1. IRS Hard Facing Electrodes

Nos. 200 ($) Nil Zonal Railways

2 Micro flow spray powder for reconditioning of scabs, wheel burns of rails and cupped A.T. Weld joints.

Nos. As per Document No. M&C/W/103-2003

Nil Zonal Railways

3 New Alumino Thermic Welding Techniques

Nos. As per para 4 of TD-G-4.2.3-17

As per para 4 of TD-G-4.2.3-17

RDSO

4 CMS crossings for 1 in 16 and special layouts

Nos. 100 RDSO RDSO

5 Improved Switch Expansion Joints for 65 mm max. gap and 80 mm max. gap

Nos. 200 Nos.# RDSO RDSO

6 Elastic Rail Clips Mark-V

Nos. 20,000 RDSO Consignee Zonal Railways

* Initial Quantity to be inspected by RDSO can be enhanced by the same amount till the

firm is found to have established the product. For this, Contract/Purchase Order awarding authority shall be informed for amending the Contract/Purchase Order accordingly.

# of each design. $ Crossings to be re-conditioned.

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ANNEXURE-III

Vendor registration schedule of charges

The following table lists the charges for different activities for the process of vendor scrutiny / approval / renewal etc. S. No.

Description of Charges Amount When to be levied

Remarks

1.0 Vendor registration fee Rs. 15000/- 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.

2.0 For cases of fresh registration: Testing charges for • Testing of samples at RDSO. • For inspection of prototype/sample at manufacturer’s premises. • Verification of type testing at manufacturer’s premises.

As applicable by respective units of Directorate.

The amount should be realized before the testing of samples or visit by RDSO official.

Testing charges shall be levied for all the tests conducted by RDSO either in RDSO lab or in any outside National Test House.

3.0

For cases of fresh registration: Re-testing charges for • Testing of samples at RDSO. • For inspection of prototype/sample at manufacturers premises. • Verification of type testing at manufacturer’s premises.

As applicable by respective units of directorate.

The amount should be realized before the testing of samples or visit by RDSO official.

4.0 For cases of Quality Audit. Testing charges for • Testing of samples at RDSO. • For inspection of prototype/sample at Manufacturers

premises. • Verification of testing at manufacturer’s premises.

All testing shall be done free of cost for first samples. In case of failure in test see instruction under s.no. 5 of this table.

The amount should be realized before the testing of samples or visit by RDSO official

Testing charges shall be levied for all the tests conducted by RDSO either in RDSO lab or in any outside National Test House.

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5.0 For cases of Quality Audit Re-testing charges for • Testing of samples at RDSO. • For inspection of prototype/sample at Manufacturers premises. • Verification of testing at manufacturer’s premises.

As applicable by Respective units of Directorate.

The amount should be realized before the re-testing of samples or visit by RDSO official.

6.0 For cases of testing required due to up gradation of specification charges applicable for approved vendors: Testing charges for • Testing of samples at RDSO. • For inspection of prototype/sample at manufacturers premises. • Verification of testing at manufacturer’s premises.

All testing or retesting if required, shall be done free of cost for samples.

7.0 Testing of samples at laboratories identified by RDSO, wherever applicable

As applicable at the concerned laboratory

The vendor shall make the payment directly to the laboratory.

8.0 Cost of softcopies (PDF) of documents from RDSO website

Rs. 0/- All softcopies (PDF) shall be provided free of cost.

9.0 Cost of specification, drawings in hardcopy from RDSO.

As circulated by the Finance and Concerned directorate.

Before issue of documents / drawings.

10.0 Capacity and Capability assessment of firm by outsourced agency

As applicable for the Concerned inspection agency.

The charges shall be payable directly by the firm to the inspection agency.

ED/QA Mechanical Shall prepare a list of enlisted inspection agencies for such assessment

11.0 For developmental items developed by Railway Production units/workshops : Registration fee Testing charges for Testing of samples at RDSO

No Registration Charges. No testing charges. All testing and retesting shall be done free of cost

Not to be levied

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(Document No. QO-F-7.1-5) ANNEXURE -IV

Performa for self declaration by the authorized signatory of the applicant entity for identification of sister concerns registered with RDSO.

Related Entity (Firm / Company)

Proprietorship Partnership Registered Company

Remarks & Details

late

d E

ntity

(Firm

/ C

ompa

ny)

Pro

prie

tors

hip

Is the owner (or his /her close relatives) of the applicant entity is an owner of any other firm that is registered with RDSO? Yes / No

Is the owner (or his / her close relatives) of the applicant entity is a partner in a Partnership firm that is registered With RDSO? Yes / No

Is the owner (or his / her close relatives) of the applicant entity: is a director, promoter, or owner of a share of a registered limited company that is registered With RDSO? Yes / No

If the answer is yes in any of the cases then details of the relationship shall be Provided. These details shall include 1. Name of the related firm(s) / company(s) 2. Address of the firm(s) / company(s) 3. Item for which the related entity is registered with RDSO. 4. Name of related person(s) 5. Relationship with related persons. 6. Share of the person(s) in the related firm (s) / company(s) 7. Information regarding the related firm(s) / company(s) as provided to the registrar of firms / companies

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Par

tner

ship

Is any of the owner(s) (or his / her close relatives) of the applicant entity is an owner of any other firm that is registered with RDSO? Yes / No

Is any of the owner(s) (or his / her close relatives) of the applicant entity is a partner in a partnership firm that is registered With RDSO? Yes / No

Is any of the owner(s) (or his / her close relatives) of the applicant entity: is a director, promoter, or owner of a share of a registered limited company that is registered With RDSO? Yes / No

R

egis

tere

d C

ompa

ny

Is any of the director(s) / promoter(s) (or his / her close relatives) of the applicant entity is an owner of any other firm that is registered with RDSO? Yes / No

Is any of the director(s) / promoter(s) (or his / her close relatives) of the applicant entity is a partner in a partnership firm that is registered With RDSO? Yes / No

Is any of the director(s) / promoter(s) (or his / her close relatives) of the applicant entity: is a director, promoter, or owner of a share of a registered limited company that is registered With RDSO? Yes / No

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I, _________________________________, son / daughter of _________________________________ solemnly declare that to the best of my knowledge and belief, the information provided in this proform a is correct and complete and that I shall inform RDSO about any changes in the ownership of the firm / company that are related whenever these occur. I also understand that in the event of the above information being found incorrect or incomplete, RDSO (Indian Railways) are fully authorized to take suitable action without prior information / intimation.

Signature Designation of the signing

authority

Date

Authority (Provide copy of document authorizing the signatory to sign on behalf of the firm / company and mention details in the adjoining box)

Place

Note: 1. The terms Promoter, Director, Owner shall mean entities as defined in the respective laws of India. 2. The term related shall be interpreted as entities owned or controlled by same person(s) or their close

relatives. The close relatives will include father, mother/step-mother, husband, wife, brother/step-brother, sister/step-sister, son/step- son, daughter / step-daughter, son’s wife, daughter’s husband, brother’s wife and sister’s husband.

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ANNEXURE –V

Check Sheet for submission of Information Regarding Change of Name of Firm 1.0 Existing Name of Firm 2.0 Proposed Name of the firm 3.0 Items for Which Approved 4.0 Whether there is change in Present Works Address: 5.0 Resolution of Board of Directorate for Change of Name ( Notified copy)

6.0 Reasons for Change of Name

7.0 Partnership Deed/Memorandum of Article of Association Including Certificate of Incorporation issued after change of Name by Competent Authority (Notified Copy)

8.0 List of tools ,Plants and Machinery ( Notorised Copy) 9.0 Declaration that Name change is not due to Bifurcation of the work premises. 10.0 Undertaking by the new firm for liability of old firm

11.0 Valid Factory License in the name of proposed name of Firm 12.0 Valid ISO certification for the proposed name of the firm

13.0 Copy of Electricity bill for the proposed name of the firm

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(Document No. QO-F-7.1-3) ANNEXURE -VI

Down gradation/ Delisting of Approved Vendor

Enclosures: 1. Copy of page of current vendor directory showing the concerned Vendor. 2. Copy of ISO: 9001 certificate of concerned Vendor. 3. Copy of notice of down gradation/ De-listing issued to Vendor. Signature of Directorate Head To be sent to ISO Cell along with enclosures whenever any approved Vendor is downgraded/ De-listed

1)

Name of the Vendor

2)

Name of the Product

3)

Name of the Dte. Controlling Vendor approval

4)

Whether Down gradation/ Delisting

5)

Reason for Down gradation/ Delisting

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ANNEXURE- VII

MAILING LIST A. The Principal Chief Engineer: 1. Central Railway, CST Mumbai-18. 2. Eastern Railway, Fairlie Place, Kolkata-700001. 3. North East Frontier Railway, Maligaon, Guwahati-781001. 4. North Eastern Railway, Gorakhpur-273012. 5. Northern Railway, Baroda House, New Delhi-110001. 6. South Eastern Railway, Garden Reach, Kolkata-700043. 7. South Central Railway, Rail Nilayam, Secunderabad-500371. 8. Southern Railway, Park Town, Chennai-600003. 9. Western Railway, Churchgate, Mumbai-400020. 10. North Western Railway, Near Railway Station Jaipur-302001. 11. East Central Railway, Hajipur-844101. 12. East Cost Railway Bhubaneshwar-755001. 13. North Central Railway, Allahabd-211001. 14. South-East Central Railway, Bilaspur-495004. 15. South Western Railway, Hubli-580023. 16. West Central Railway, Jabalpur-482001. 17. Metro Railways, Metro Bhawan, 33/1 Chowringhee Road, Kolkata-700071. B. The Chief Administrative Officer (Const.) 18. Central Railway, New Administrative Office Building, 6th Floor, D.N. Road, Mumbai CST-400001. 19/20. I & II, Eastern Railway, 4th Floor, New Koilaghat Building, Strand Road, Kolkata-700001. 21. Northern Railway, Kashmere Gate, Delhi – 110 001 22. USBRL Project, Northern Railway, Jammu Tawi 23. North Eastern Railway, Gorakhpur – 273012. 24. Southern Railway, Egmore, Chennai – 600 003 25. Trivendram 26. South Western Railway, 18, Millar Road, Bangalore – 560 046. 27. South Central Railway, Rail Nilayam, Secunderabad – 500371. 28. South Eastern Railway, Garden Reach, Kolkata – 700043. 29. East Coast Railway, Chandrashekharpur– 751023, Bhubaneshwar,. 30. Western Railway, Churchgate-400020. 31/32. North and South, East Central Railway, Mahendrughat-Patna . 33. North Western Railway, Near Railway Station, Jaipur-302001. 34. South East Central Railway, Bilaspur (Chhattisgarh) 35. North Central Railway, Allahabad. 36/37 I&II, N.F. Railway, Guwahati – 781001 C. Chairman-cum-Managing Directors 37. RITES Ltd., RITES BHAWAN. No. 1, Sector-29, Gurgaon-122001 (Haryana). 37. IRCON International Ltd., C-4, District Centre, Saket, New Delhi-110017. 39. Konkan Railway Corporation Ltd., Belapur Bhawan, Plot No. 6, Sector 11, CBD, Belapur, New Mumbai-400614. 40. RVNL, D. Director General/ Director 41. Director General, Railway Staff College, Vadodara – 390 004. 42. Director, IRICEN, Pune-411001. 43. Director, IRCAMTECH, Maharajpur, Gwalior-474020. E. General Manager 44. GM (Const.), N.F. Railway, Guwahati – 781001 45. Metro Railways, Metro Bhawan, 33/1 Chowringhee Road, Kolkata-700071. 46. Central Organisation for Railway Electrification (CORE), 1, Nawab Yusuf Road, Civil Lines, Allahabad-211001. F. Others 47. Executive Director, Track (M), Railway Board, Rail Bhawan, New Delhi-110001. 48. Executive Director, Track (P), Railway Board, Rail Bhawan, New Delhi-110001. 49. Executive Director/ M&C, RDSO, Lucknow. 50. Executive Director, QA Civil, RDSO, Lucknow.

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