RESEARCH DESIGNS AND STANDARDS ORGANISATION Manak …rdso.indianrailways.gov.in/works/uploads/File/PE-WI-7.1-8 Ver.1.pdf · RESEARCH DESIGNS AND STANDARDS ORGANISATION Manak Nagar,

RESEARCH DESIGNS AND STANDARDS ORGANISATION

Manak Nagar, Lucknow - 226011

PE-WI-7.1-8Vendor Development & Approval Procedure.

1. First Issue 1.0 i)First Issued under new documentation system for 1809001:2008. NewWork Instruction issued for giving certificate to vendors after 180 Cell'sissued format ·Certificate of vendor approval document No. QO-F-7.1-6"

ii) Updated minimum quantity criteria for up gradation.

iii) Addition of temporary delisting as per clause no. 4.2.8 in documentno. QO-D-7.1-11.

Approve~by.>1~~,\3(Nasim Uddin)

ED/PS&EMU

ISO 9001: 2008 I Document No.: PE-WI-7.1-8 I Version No.: 1.0

Document Title: Procedure for Vendor Development.

I Date Effective: 09/05/2013

Clause No. Name of the clause Page

1.0 Amendment History 1

2.0 Purpose 3

3.0 Scope of application 3

4.0 Definitions 3

5.0 Vendor application for registration 4

6.0 Vendor application processing 4

7.0 Vendor relaxation of registration requirement 6

8.0 Vendor registration Expression ofInterest (EOI) 6

9.0 Vendor List 6

10.0 Type testing of prototype/samples 711.0 Vendor changes in approved status 712.0 Changes in the vendor entity 913.0 Renewal of registration 914.0 Vendor registration schedule of charges 9

15.0 Reference Documents 916.0 Referenced Documents of External Origin 1017.0 Associated Records 1018.0 Responsibility & Authority 1019.0 Abbreviations 11

Annexure Minimum Quantity Criterion for Up-gradation of Vendors 12~'A" From Part-II to Part-I SourceAnnexure Certificate of approval as an approved vendor of RDSO

14"B"Annexure Assessment Report of Nominated Inspecting Official ofRDSO for 16"C" Renewal of FirmDistribution Distribution List 18

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To specify the procedure for vendor registration / approval (multi-sourcing) of items allotted toRDSO by Railway board for PS & EMU Directorate. To issue certificate to vendors for freshregistration in Part-II, up-gradation in part-I category and renewal of registration in part-IIPart-II.

This covers the procedure for vendor development for items referred by Railway Board to RDSOfrom time to time vide letter nos. 99/Elec(G)/165/116 dt. 14.02.2001, 2002/Elec(G)/181/1 dt.16.05.2002, 2001/Elec(G)/165/16 dt 30.09.2008 and letter no. 201OIElect(Dev)/225/1 dt.07.06.2010 or any subsequent directives issued in this regard. This includes procedures for freshregistration, renewal of registration and maintenance of status of vendors in the "Master List ofApproved Vendors" No. ELIM/0023 issued by Electrical Directorate ofRDSO in the months ofJanuary and July every year. This also includes the processes for up-gradation, down-gradation,de-listing and reinstatement of the vendors.

Certificate to vendors for fresh registration in part-II category, up-gradation in part-I and renewalof registration in part-Illpart-I category shall be issued as per ISO Cell's format for certificate ofvendor approval document No. QO-F-7.1-6.

A MS Word template has been provided on the ISO Cell's Website, which shall be downloadedand details filled in and printed. The same may be downloaded from following route:

CELL -elMS Documents 9001 :2008 --. Level 4 ---.oo-F-7.1-6 Certificate of Vendor Approval.

ADE/DD/Documentation will collect Holographic sticker from QAlMech. directorate. He willissue holographic sticker to concerned section supervisor (SSE/JE) and keep record.

ADE/DD Documentation will maintain a separate register for issuing holographic sticker forvendor approval. A new holographic sticker will be issued to the indentor after noting down allthe relevant details and obtaining the signature ofIndentor as having received the number.

Holographic sticker shall be stuck on each copy of the certificate and the details unique identityofthe sticker(s) shall be recorded by the issuing group of electrical directorate on the respectivefiles. Certificate shall be treated as invalid without the sticker or if the sticker is tampered.

After a new certificate of vendor approval is ready and approved by the respective group head,concerned section supervisor (SSE/JE) will approach DD/ADE / Documentation for issuing ofholographic sticker. Concerned supervisor will collect the holographic sticker & download theMS Word template of certificates of vendor approval as mentioned in para 4.2.

When the new certificate for vendor approval is issued, one photo copy will be marked todocumentation section and concerned unit supervisor of documentation section responsible for

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ISO9001: 2008 I Document No.: PE-WI-7.1-8 I Version No.: 1.0



maintaining register for issuing holographic sticker will sign in the relevant register as havingreceived a copy of certificate.

3.10 Procedure for vendor development no. PE-WI-7.1-7 (Ver 1.4) stands superseded by PE-WI-7.1-8(ver 1.0) in view of ISO Cell's directives for certificate of vendor approval issued videdocument no. QO-F-7.l-6.

The vendor who can design, manufacture and supply the items approved by PS & EMUDirectorate to the Railways and Production Units directly.

Vendor to whom primary vendor out-sources the parts of the item or, from whom primaryvendor procures the item for supply. Item supplied by the sub-vendor will form part of the Bill ofMaterial of the primary vendor.

Process for development of a vendor to be approved by Directorate Head for inclusion in Part - IIcategory ofthe Master Vendor List No. EL!MI0023.

4.4 Categoriesofvendor:The Primary Vendors are categorized as -Part - II SourcePart - I Source

4.5 Up-gradation:Up-gradation means change of status of a vendor from Part - II category to Part - I category.

4.6 Down-gradation:Down-gradation means demoting the name of the vendor from Part-I category to Part - IIcategory.

4.7 De-listing:De-listing means striking off the name of the vendor from the "Master List of ApprovedVendors" due to penal action.

Re-instatement means restoring the name of the de-listed vendor in "Master List of ApprovedVendors" No. EL!MI0023 issued by Electrical Directorate ofRDSO .

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Document consisting of design details, prototype test results, Quality Assurance Plan (QAP),Bill of Material, valid ISO 9001:2008 certificate and Maintenance Manual having all pagesnumbered and signed by the competent authority of the vendor and RDSO (PS & EMU Dte.).

Quality file is the subject file maintained by the concerned Unit Officer for the item underdevelopment and approval. Quality file (Subject file) will contain the basic information likespecification, approved sources, records of feedback from Railways of quality and deliveryperformance of the vendors and other relevant information for each item.

Refer latest version of document issued by MR at S. No.5 ofCl. 15.0 ofthis document (QO-D-7.1-5).

6.1 Refer latest version of document issued by MR at S. No.6 ofCI. 15.0 of this document(QO-D-7.1-6)

Firm must be told very clearly in writing that in case of non-compliance of the pointed outdeficiencies within the period of one month from the date of communication of deficiencies, theapplication may be rejected. In such case guideline as per the Cl. 4.4 of QO- 0-7.1-6 will befollowed.

Firm must comply to deficiencies noted during capacity assessment within a period of one monthfrom date of communication of deficiencies. If compliance is not received within this period thenthe application may be rejected and firm may be advised to apply afresh.

6.4.1 The QAP to be submitted by the vendor in duplicate (along with the application form forregistration) shall cover the following aspects -

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c) Process Flow Chart indicating process of manufacture for an individual product or for a familyof 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

List of sub vendors and inspection plan.

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

Subject! Sample Size Parameters Mode of Acceptance Rejection

Product! & its for inspection inspection! limits/ details

Process Frequency of equipment Criteria Repro-inspection /specifiedused Value cessed/

Scraped

g) QAP covering all the information as asked above under item 'a' to 'f' must be given in the formof single document indicating name of the firm and page no. 'x' of 'y' on each page. Each pageshould be signed by QC in-eharge. The approved QAP must be a controlled document and aquality record ofISO 9001quality control system of the vendor. A certificate to this effect shallbe provided along with the QAP by the vendor.

Firm shall submit softcopy of complete test results, QAP, BOM , clause by clause comment onspecification, STR compliance etc in searchable pdf format before final approval is given.

6.5.1 Primary vendor shall outsource component from only ISO certified sub vendor for which RDSOapproved sources does not exist.

6.5.2 Ensuring quality of material supplied by the sub-vendor to the primary vendor will be theresponsibility of the Primary Vendor.

6.5.3 Sub-vendor and the item supplied by him will form part of the Bill of Material of the primaryvendor.

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6.5.4 Primary vendor will ensure the compliance of the all the parameters by the sub-vendor asapplicable for his registration with RDSO, such as:

• QAP of the sub-vendor is approved by the primary vendor.• Sub-vendor has submitted the Quality Manual to the Primary Vendor.• The sub-vendor has all the requisite infrastructure of manufacturing and testing facilities,

preferably under one roof• Periodical inspection schedule for sub-vendor is being followed strictly by the primary vendor.

7.1 Refer latest version of document issued by MR at S. No.7 ofCI. 15.0 of this document(QO-D-7.1-7).

Vendors approved by other directorates shall be included in the "Master List of ApprovedVendors" being issued by Electrical Directorate, if the item is same for which the otherDirectorate has approved the vendor. In such cases advice should be sent to the vendor-approving Directorate that the firm is included in the "Master List of Approved Vendors" beingissued by Electrical Directorate. The firm's registration 'will continue to be dealt by the dealingdirectorate.

Refer latest version of document issued by MR at S. No.8 & 16 of Cl. 15.0 of this document(ref - QO-D-7.1-8 & QO-D-7.1-16).

9.1 Refer latest version of document issued by MR at S. NO.9 ofCI. 15.0 of this document(QO-O-7.1-9)

EOSE will compile the master list of all ROSO approved vendors of electrical disciplines. EOSEshall publish the approved vendors list (No. EL/M/0023) every six months, in the months ofJanuary & July.

9.3 The vendor list shall be a controlled document, to be issued as per distribution list to be decidedby EOSE. The list shall be valid for six months from the date of issue.

9.4 The group wise vendor list of approved items shall be maintained by the respective unit officerin their respective files. Any changes regarding approval of new vendors or, up-gradationldown-gradation / deletion of existing vendors will be advised to EOSE in the first week of everymonth.




10.1 Refer latest version of document issued by MR at S. No. 100fCl. 15.0 of this document(QO-D-7.1-1O).

10.2 The firm will be asked to develop the prototype by writing a letter as per the latestversion of standard format no. PE-RF-8.2.3-4 (ref-18). The record will be maintained byUnit Supervisor in Quality File (Subject file).

10.3 Vendor shall submit internal test report and test protocol to RDSO. RDSO representativewill witness type test if internal test report is satisfactory.

10.4 This process must be completed within two years from the date of RDSO's letter fordevelopment of prototype.

11.1 Refer latest version of document issued by MR at S. NO.ll ofCI. 15.0 of this document(QO-D-7.1-11).

Based on satisfactory feedback from the user railways which shall be evaluated on the basis offollowing service performance parameter:

• Minimum supply quantity criterion whenever applicable for items as per Annexure' A' is met forthe period mentioned against each item.

• Complaint from the railways.• Warranty failures.• Promptness in warranty replacement of the material.• QAP compliance based on failure investigation or customer complaint.

11.2.2 For assessing the performance in service the FRPCPY of the product should be comparable withthe average FRPCPY of the same product supplied by other Part I vendors as per the latestrecords available with RDSO. For calculation of average FRPCPY, the FRPCPY of the worstPart - I vendor shall not be considered.

VO will put up the case for review of the status of the vendor to Directorate Head along with theCheck List. It will be the responsibility of the VO to ensure timely review of vendor's status andobtain the approval of Directorate Head for up-gradation of the firm from Part - II to Part - I.

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, ISO9001: 2008 I Document No.: PE-WI-7.1-8 I Version No.: 1.0



11.2.3 At the time of vendor up-gradation, the renewal case of the vendor should generally besynchronized with up-gradation time, which would facilitate reviewing the various requirements.Directorate Head may decide to consider the case for up gradation.

11.3 Down Gradation of Vendor from Part - I to Part - II& De-listing of Vendor from Part - Ior, Part - II

• Depending upon the severity of the complaint a quick investigation shall be undertaken by theVO. Representative of the firm may also be associated if considered necessary. If the fault indesign is established then the firm may be given adequate opportunity to improve upon thedesign. Based on the response from the firm the decision regarding down gradation/deletion ofthe firm's name from the approved list may be taken.

• After the expiry of the down-gradation period, the periodic feedback shall be reviewed. If any ofthe aspects of feedback are unsatisfactory, the vendor may be de-listed.

• In case of irregularities of serious nature, on instructions from Directorate Head, the concernedVO will investigate the complaints and if the complaint is verified the vendor's name can be de-listed without downgrading him to Part II.

• Whenever any malpractice or, unethical practices adopted by the firm comes to the notice of VO,the case for permanent /temporary down gradation/deletion of the firm's name from theapproved list may be initiated.

All letters pertaining to delistingldown-gradation of vendor shall be sent through registered postwith AD. Copies in pdfformat shall also be sent through email and printout shall be kept in file.Firm's representative visiting RDSO shall also be handed over spare copy and acknowledgementis taken on office copy.

11.4.1 Referlatest version of document issued by MR at S. No.1, 2, 3,4,15 &16 ofCl. 15.0 ofthis document (QO-D-7.1-1, QO-D-7.l-2, QO-D-7.l-3, QO-D-7.1-4, and QO-D-7.1-15 & QO-D-7.1-16).

The already approved vendor shall be required to comply with the changes in design documentslike specification/STR/drawing on a written time bound basis. However, the applicants seekingfresh approval shall be required to comply with the requirements of the latest design documentswith all the changes to date before the approval is granted.

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Whenever a specification is revised by RDSO and the revision does not involve major changes inthe design, the status (Category Pt-n or Pt- I) will continue to be the same. Any additional tests,if required, shall be completed within given time, failing which the vendor may be down-graded/ de-listed.

12.1 Refer latest version of document issued by MR at S. No. 12 of Cl. 15.0 of this document(QO-D-7.1-12).

The procedure in the above paras shall also be applicable in case of partial augmentation i.e.,setting up of new works for carrying out a part of the operations.

Refer latest version of document issued by MR at S. No. 13 of CI. 15.0 of this document(QO-D-7.1-13).

Firm should apply for renewal prior to six months of expiry of validity of registration as per therenewal format (PE-RF-8.2.3-3). In case the firm fails to apply for renewal of registration withinthe validity of its registration, the name of the firm will be delisted from the vendor list aftergiving due notice . If less than 5 vendors are available for the item, the vendor will be given agrace period of three months to apply for renewal.

13.1 If required, nominated official shall verify QAP, STR and witness acceptance test or any othertest as per the specification and submit verification report (Annexure 'C') to unit officer alongwith the test report for approval.

Refer latest version of document issued by MR at S. No. 14 of C1. 15.0 of this document(QO-D-7.1-14).

S.N. Document Number* Document Name1. QO-D-7.1-1 Creation of equipment/item specification2. QO-D-7.1-2 Change of equipment/item specification3. QO-D-7.1-3 Deletion of equipment/item specification4. QO-D-7.1-4 Change of controlling authority for equipment/item

specification5. QO-D-7.1-5 Vendor application for registration6. QO-D-7.1-6 Vendor application Processing7. QO-D-7.1-7 Vendor Relaxation of registration requirements

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8. QO-D-7.1-8 Vendor registration expression of interest9. QO-D-7.1-9 Vendor List10. QO-D-7.1-1O Vendor sample type testingII. QO-D-7.1-11 Vendor Changes in Approved Status12. QO-D-7.1-12 Vendor Changes in vendor entity13. QO-D-7.1-13 Renewal of Registration of Approved Vendors14. QO-D-7.1-14 Vendor registration schedule of charges15. QO-D-7.1-15 Product Development16. QO-D-7.1-16 Publication of Expression of Interest17. QO-F-7.1-6 Certificate In part-II category, up-gradation In part-I and

renewal18. PE-RF-8.2.3-3 Format for renewal of registration19. PE-RF-8.2.3-4 Format for letter of adequacy of capacity-cum-capability and

technical requirement for development of prototype

Activity Responsible Approver Supporting Consulted Informed

Creation, ICO Directorate CS/ISOmaintenance of Headthis document

Requirement of ICO Directorate Respectivedeviation from this Head officer ofform template. directorate

Approval & ICO Directorate Respectivechange of the Head officer ofVendor Approval directorateprocedure

Maintenance of ICOthe VendorApprovalprocedure

Capacity-eum- Unit Officer Directorate Respectivecapability or any other Head officer ofassessment of the Officer directorate

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vendor nominated byDirectorateHead

Approval of QAP Unit Unit OfficerSupervisor

Approval of Unit Unit OfficerQuality Manual Supervisor

Approval of Unit Directorate UOPrototype Supervisor Head

Preparation of Unit Directoratechecklists No. Supervisor HeadPE/C/OOOI &PE/CIOOO2

Approval as Part - UO Directorate USII source Head

Approval for up- UO Directorate USgradation from HeadPart - IIto Part - I

Issue of approval Unit Officer Unit Officer Unitletter to vendor Supervisor

Issuing authority ICO - ICSfor vendorapprovalprocedure andrelated documents.

Re-issuing ICO and - ICSauthority Controlled

copy holders

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MINIMUM QUANTITY CRITERION FOR UPGRADATION OF VENDORS

FROM PART-II TO PART- I SOURCE

S.No. Equipment * Minimum quantity requiredfor up-gradation * *

1. Alternator

(i) 4.5kW 200 Nos.

(ii) 25kW 100 Nos.

(iii) 12 kW /MG 20 Nos.

(iv) Axle/Alternator Pulley 2000 Nos.

(v) ERRU (4.5 kW) 200 Nos.

(vi) ERRU(25 kW) 100 Nos.

2. AC & TL Batteries

(i) 120 Ah 25000 mono block

(ii) 800 Ah 3800 cells

(iii) 210 Ah 2400 cells

(iv) 1100 Ah (VRLA) 4000 cells

(v) 2 V, 525 Ah 1120 cells (20 sets)

(vi) 8 V, 450Ah 350 cells (25 sets)

(vii) 10 V, 75 Ah 1000 mono blocks

(viii) 10 V, 90 Ah 600 mono blocks

3. LHB design of RMPU and 65 nos.Microprocessor Control

4. Conventional RMPU and Control Panel 65 nos.

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5. Dry type air filter for AC coaches 1000 Nos.

6. Inverter underslung 25 kVA 40 Nos.

7. Voltage regulator for EMUs 20 Nos.

8. V-Belts 10000 Nos.

9. BLOC Fans 1000 Nos.

10. Electronic TOR 225 Nos.

11. Emergency light unit(ICF/917/Rev-l) 1700 Nos.

12. Pre-eooling unit cum battery charger 40 Nos.

13. Plain sleeve suspension bearing of 70 pairsTM/4601 BXlBW

14. LED based tail light for AC EMU, OC 10 Nos.EMUandMEMU

15. Dry type air filter for LHB type RMPU 500 Nos.

16. Switch Board cabinet for LHB EOG 25 Nos.AC coaches

17. Switch Board cabinet for LHB type 10 Nos.power car

18. Microprocessor control unit of LHB 57 Nos.type RMPU & Double decker coaches

19. 60 KVA transformer 33 Nos.

20. ZS coupler (400A 750V) 180 Nos.

21. Condenser motor for RMPU 580 Nos.

22. Blower motor for RMPU 290 Nos.

* For items transferred to RDSO from PU's not appearing in above list directivesgiven in Railway boards letter no 2010/Elect(dev)/225/1 dt 07106/2010 to be followed

** Refer Railway boards letter no 2010/Elect (dev)/225/1 dt 07/06/2010 for period formonitoring the performance

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AFFIXHOLOGRAMHERE

With facilities located at the following addresses:

Office Addresses

S. Item Description Drawing I Specification Status of ApprovalN. (Part-II Part-II)

1. [Enter item name I description here] [Enter item specification details here] [Enter approval category here]



4. [Enter item name I description here] {Enter item specification details here] [Enter approval category here]

Total: [Enter total item numbers in words here) ([Enter total item number in numerals here) items only

Vendor Code: [Enter vendor code here] Registration Number: [Enter registration number here]

Date of Issue: [Enter date of issue here] Date of Expiry: DisplayText cannot span mor

Signature & Seal ofIssuing Authority

Name [Enter name of issuing autority here]

Designation [Enter designation or issuing authority here]

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(Note in the following paragraphs word 'firm' is used to mean any approved entity i.e. company /partnership / proprietorship etc.)

1. The firm's name has not been changed.2. The firm's ownership has not been changed.3. The firm's addresses as listed in the certificate are not changed.4. The machinery plant and infrastructure used in manufacture is not changed.5. Product design, bill of material is not changed.6. In case of any changes as listed in 1 to 5 above the same should be prompUycommunicated to the

issuing authority for appropriate action. Failing to do so may result in immediate de-listing of the firm.7. Product shall meet the requirements specified in the drawing / specification, unless specific deviation

is granted.8. Product gives satisfactory performance, life and reliability during service.9. Notwithstanding this approval, firm is wholly and completely responsible for quality, on line

performance, reliability and life of the itemfltems supplied by them.10. The firm shall abide by the instructions contained in the vendor approval guidelines of the respective

controlling directorate of ROSa.11. The firm shall ensure compliance to the conditions given in purchase order(s) of Railway Board/Zonal

Railways/Production Units.12. Quality Documents approved by ROSa shall be made available to the inspection agency at the time of

inspection.13. Application for renewal can be made up to six months in advance prior to expiry of validity. Application

should be made in the format for renewal as available on the ROSa website.14. Every six months the firm shall submit the feedback to the directorate issuing the certificate. The

feedback shall include the following details:a. Details of the product supplied to the units of Indian Railways containing the unique product 10

and challan date.b. Details of failures / non-conformant working of the product reported to the firm.c. Details of service engineer's visits in field units of railways and the joint notes if any.

15. ROSa reserves the right to withdraw the approval granted at any time without assigning any reasonthereto.

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Report of Nominated Inspecting Official of RDSO for Renewal of Firm

1.0 General Details

S.No. Parameter Details1.0 Item under Renewal2.0 SpecJDrg. No.3.0 Date of expiry of validity of

approval4.0 Pt-IIPt-II5.0 Name of inspecting official6.0 Designation7.0 Date of visit to the firm

S.No. Parameter Details

1.0 Firm's record of warrantycomplaints/in service failureand other generalcomplaints.

2.0 Analysis of and thecorrective and preventiveaction taken by the firm.

3.0 Validity of data of warrantycomplaints/in service failureof the firm by comparison ofdata available with RDSO.

4.0 Numbers of warranty or inservice failures as per thefirm.

5.0 Number of times engineerdeputed by the firm foraddressing the problem.

6.0 Suggestion by the inspectingofficial for Improvements inthe working of the firm.

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S.No. Parameter Details

1.0 Number of complaintsagainst supply commitmentof the firm

2.0 Action taken by the firmagainst supply commitment

3.0 Explanation by the firm forviolation of supplycommitment.

S.No. Parameter Details1.0 Maintenance of STR items2.0 Impact of non-maintenance

of STR items on supply orquality

3.0 Implementation of QAP4.0 Status of ISO Quality

Management System5.0 Checking of traceability III

manufacturing process

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S.No. Copy Holder Copy No.1. EDPS 1

2. Dir/Conv. EMU System Design 2

3. DirffL & AC System Design 3

4. J10 Dir/PE & Metro 4

5. J10 DirlMRVC 5

6. ADEIDDlDoc 6

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