existing guidelines vs proposed guidelines exist... · existing guidelines vs proposed guidelines...

Existing Guidelines Vs Proposed Guidelines

Clause

Existing Guidelines

Clause Proposed Guidelines Remarks / Reference

1.0 General :

The vendor approval policy shall be applicable

for approval of STM, vendor registration, de-

listing and re-instatement of status for vendors

for Small Track Machine and P. Way Measuring

Tool.

1.0 Purpose:

The vendor approval policy Guideline shall be applicable for

approval of Small Track Machines (STM), vendor

registration, Validity extension, de-listing and re-instatement

of status for vendors or any other issue related to Small

Track Machines and P. Way Measuring Tools.

Partially Modified to suit

requirement.

2.0 Scope:

2.1

This guideline covers the items for which vendors are

approved, during fresh registration, renewal of

registration, Up gradation from Part-II to Part-I, Down

gradation from Part-I to Part-II, Delisting from Part-I

/Part-II and new machine/machine under trial. All

approvals are granted based on the recommendations of

Small Track Machines Committee (STMC) duly

approved by Railway Board.

Scope added. In line with

other Directorate

Guidelines.

2.2 This guideline also covers the items recommended by

Small Track Machines Committee (STMC) and

subsequent approval by Board or any other issue related

to Small Track Machine and P.Way Measuring Tool.

2.0 Definitions: 3.0 Definitions:

2.1 Primary Vendor: The vendor who manufactures

the STM as per RDSO specification of its own

and supplies the same to Railways directly.

3.1 Primary Vendor: The vendor who manufactures the STM as

per RDSO specification of its own and supplies the same to

Railways directly.

2.2 Sub-Vendor: Vendor to whom primary vendor

out-sources the parts of the item or from whom

the primary vendor procures the item for supply.

Item supplied by the sub vendor will form part

3.2 Sub-Vendor: Vendor to whom primary vendor out-sources

the parts of the item or from whom the primary vendor

procures the item for supply. Item supplied by the sub

vendor will form part of the bill of material of the primary

of the bill of material of the primary vendor.

vendor.

3.0 Abbreviations:

RDSO : Research Designs and Standards

Organisation.

TMM Dte : Track Machines and Monitoring

Directorate

EDTM /RDSO : Executive Director/Track

Machines RDSO

STM : Small Track Machines

STR : Schedule of Technical Requirements

Tool : Permanent Way (track) measuring tool

QAP : Quality Assurance Plan

OEM : Original Equipment Manufacturer

AMC : Annual Maintenance Contract

NABL : National Accreditation Board for

Testing and Calibration Laboratories.

4.0 Abbreviations:

RDSO: Research Designs and Standards Organisation.

TMM Dte : Track Machines and Monitoring Directorate

EDTM /RDSO : Executive Director/Track Machines RDSO

STM : Small Track Machines

STMC: Small Track Machines Committee

STR : Schedule of Technical Requirements

Tool : Permanent Way measuring tool

QAP : Quality Assurance Plan

OEM : Original Equipment Manufacturer

AMC : Annual Maintenance Contract

NABL : National Accreditation Board for Testing and

Calibration Laboratories.

Same as existing

guideline para 3.0

4.0 Policy for vendor approval: 5.0 Guideline Policy for vendor approval: To incorporate new ON-

LINE procedure.

4.1 Development of various Small Track Machines

and P-way measuring tools by RDSO is

undertaken either,

i) as per decision of competent authority

ii) Firms offer to do development free of cost.

5.1 Development of various Small Track Machines and P-way

measuring tools by RDSO is undertaken either,

i) as per decision of competent authority

ii) Firms offer to do development free of cost.

iii) On receipt of on line application.

4.2 The firm shall either be a sole manufacturer or

importer/ agent.

5.2 The firm shall either be a sole manufacturer or importer/

agent.

Same as existing

guideline para 4.2

4.3 Starting from 1st Dec 2010, the process of

vendor registration has been made on-line. No

paper based applications shall be accepted by the

directorate.

5.3 Starting from 1st Dec 2010, the process of vendor

registration has been made on-line. No paper based

applications shall be accepted by the directorate.

OEM should only be considered for registration at RDSO

and name of Indian firm/ partner/ representative as

appointed by OEM should be mentioned below: the OEM in

the vendor Directory clearly indicating their status i.e.

“Indian firm/ partner/representative”.

Same as existing

guideline para 4.3

Vigilance SI no. 10/12

dated 17.12.12

4.4 Provision of application forms and other

documents: Vendors seeking registration for Small Track

Machines and Tools items shall register online

on the RDSO website.

5.4

5.4.1

5.4.2

Procedure for vendor approval during

online submission of application form-

For Vendor approval (Vendor Registration), TMM

Directorate shall follow following procedure.

Items for which Vendor Approval is Undertaken by

TMM Directorate: TMM Directorate shall process fresh registration as well as

renewal of registration of vendors for the items mentioned in

document TM-D-7.1-2. The items in TM-D-7.1-2 can be

deleted / included as per the instructions on the subject from

Railway Board/approval of competent authority.

i. Vendor seeking registration for item(s), controlled by

TMM Dte, shall apply for registration online through RDSO

website www.rdso.indianrailways.gov.in.

ii. Firm shall follow following route to reach online

application form –

www.rdso.indianrailways.gov.in Vendor Interface Online

Vendor Registration Civil Directorates Select

Directorate TMM DTE and follow.

iii. Vendors shall take adequate care to fill in the details in

the boxes provided (Vendors may use PDF format of on-line

application form available in Help Instructions for study

purpose). Vendor shall furnish factual data in Application

Para Modified as per

existing procedure laid

down in ISO.

Copy of TM-D-7.1-2

enclosed.

http://www.rdsoqa.org/qacv/Vendor_Application_Form_next.aspx

5.4.3

5.4.4

5.4.4.1

Form, which shall be verified during the course of vendor

registration/assessment.

Uploading of documents along with Online Application: Vendor shall upload following documents-

a. QAP as per the standard format

b. Self compliance of specification

c. Copy of ISO certificate (if available)

d. Copy of Digital Signature Certificate

e. Copy of latest Electricity bill bearing factory address

f. Copy of Factory license for SSI/NSIC

g. Copy of Ownership of the factory

(Lease/partnership Deed or Memorandum of Article

of Association).

(If the original is in other than Hindi/English

language, translated copy of the notarized document

shall be attached)

*only first two pages & last two pages shall be

scanned and sent.

h. Copy of the receipt of Bank on payment of charges

through RTGS

(Note: Vendor must ensure that all these

documents are properly uploaded).

Additional documents to be submitted during

assessment:

Undertaking for Infringement of IPR-

All the vendors shall submit an undertaking signed by

vendor on ‘Infringement of Patent Rights’. The undertaking

shall be as under-

Indian Railways shall not be responsible for

infringement of Patent Rights arising due to similarity

in design and development of this item and any other

5.4.4.2

5.4.4.3

5.4.4.3.1

5.4.4.3.2

5.4.4.3.3

factor not mentioned herein which may cause such a

dispute. The entire responsibility to settle any such

dispute lies with vendor. Signed copy in original to be

submitted at the time of field assessment.

Declaration of Confidentiality of submitted documents –

Vendor must classify their documents confidentiality

declaration such as-

This document and its content are the property of M/s

XYZ (name of vendor) or its subsidiaries. This

document contains confidential propriety information.

The reproduction, distribution, utilization or the

communication of this document or any part thereof,

without the express authorization is strictly prohibited.

Indian Railways/RDSO is granted rights to use, copy

and distribute this document for the use of inspection,

operation, maintenance and repairs etc. Signed copy in

original to be submitted at the time of field assessment.

Information for Classifying Allied/Sister Concerns-

In order to enable the railway administration to ascertain

whether the firm/company is an allied/sister concern of any

other firm/company, the firm/company applying for

registration/renewal shall furnish the following information

duly certified by a charted accountant along with registration

form-

Addresses

Addresses of offices and manufacturing works

For proprietorship

Name of any other firm, already registered for the same

item with RDSO, owned by him.

For Partnership Firms

a) Name of all the partners in case of partnership firm

b) Name of those partners who are also partners in any

5.4.4.3.4

5.4.4.4

5.4.4.5

other firm already registered for the same item with

RDSO along with the relationship and profit ratio.

For Companies

a) Name of all directors

b) Name of those directors who are Directors in any

other companies already registered for the same item

with RDSO along with the relationship and

shareholding. Signed copy in original to be submitted at

the time of field assessment.

In all above cases, vendor must give Name and

Designation of the Officials to whom all the

communication is to be made, E-Mail ID and Mobile

number and other contact numbers.

Undertaking giving for information to RDSO for any

changes in entities and information submitted during

registration, at any time after approval is accorded. (Signed

copy in original to be submitted at the time of field

assessment).

Scanned signed copy of Undertaking against Cartel

information as per the online application form for

registration (Signed copy in original to be submitted at the

time of field assessment).

4.5 Vendors who are foreign firms manufacturing

machines/tools or their authorized

agents/representative based in India and having

no manufacturing facility in India shall full-fill

the following requirements:

a) Firm shall have adequate infrastructure in

India for getting the type test done and for

assembling of components wherever

necessary

5.5 For approval of Imported Machine:

i) The registration under this procedure shall be granted to

the firm or its authorized agent / representative based in

India. The Indian firm/partner/representative if any will be

treated as sales representative of OEM subject to having

valid MOU or Agreement with OEM.

ii) Authorized agents / representatives shall produce an

authorization letter from the foreign manufacturer in original

indicating the equipment’s name and model number for

b) Firm shall have suitable repair/service

support set up in India for after sales

service and AMC.

c) Firm shall maintain a suitable inventory of

required spares in India.

d) Firm shall possess written authorization

from the principal / OEM regarding

supply of the item(s) to Indian Railways

full-filling of the above conditions.

e) The item must be suitable for Indian

environmental conditions.

f) In case of more than one authorized

importer/agent, each one shall apply

separately.

which they are authorized to conduct business in India.

The validity of MOU/agreement should be verified by

RDSO from OEM at the time of granting approval.

iii) In case of more than one authorized agent/

representative, each one shall apply separately.

iv) Firm shall have necessary infrastructure in India for

getting the acceptance tests done.

v) Firm shall have suitable repair / service support set up in

India. Component level maintenance shall be carried out in

India. Railway will only interact with the approved

Authorized agents / representatives. Firm shall maintain a

suitable inventory of modules/ sub-assemblies in India and

the turnaround time for repair of a module/ sub assembly

shall be less than one month.

A paragraph should be mentioned in vendor directory that

Railway while placing order should re-verify the validity of

MOU/Agreement with OEM.

Approval for an imported machine will be accorded for

original machine along with all fittings and fixtures without

any modification/change

(i) Imported machines include all fitments, attachments,

accessories as imported.

(ii) The consignee should check import authenticity

of imported machines. Some of the documents

that may be relied upon are

(a) Original equipment manufacturer test certificate

(b) Bill of lading

(c) Bill of entry

(d) Original packing slip etc.

Normally part indigenization shall not be permitted. In case

supplier wants to indigenize any part he should approach to

RDSO with details of transfer of technology approved from

OEM and the case shall be dealt as afresh as per para 7.0.

4.6 (i) The item for which approval is sought, shall

normally meet the requirement of RDSO

specifications. However any deviation, not

affecting its performance on Indian Railways

may be considered by the Standing

Committee on Small Track Machines

(STMC). The manufacturer should have a

QAP and should maintain all the necessary

records of implementation of Quality

Assurance Plan (QAP). Minimum

requirements should be prescribed in the

detailed guidelines to be issued by RDSO.

(ii) Minimum following documents shall be

maintained with proper records by the firm

regarding implementation of Quality

Assurance Plan (QAP), if available.

a) Organization chart emphasizing quality

control setup.

b) Qualification of key personnel and the

manpower deployed in quality control

department.

c) Process flow chart indicating stages of

manufacturing process for individual product

and / or for a family of product if the process

is same.

d) Quality Assurance System-Inspection and

Testing plan. This shall cover the following:

i) Incoming Material

ii) Process control

iii) Product control

iv) System control

v) Gauging scheme- in the format for each

5.6 Preparing & submission of Quality Assurance Plan

(QAP) during fresh registration: (a) The firm shall upload QAP for the applied item along

with fresh registration form. QAP in triplicate needs to be

submitted at the time of field assessment of the firm.

(b) QAP shall be prepared as per the guidelines, available on

RDSO website (www.rdso.indianrailways.gov.in

Directorate Track Machines and Monitoring Vendors

Guidelines for Vendors Development and

Approval (Small Track Machines/P.Way Measuring Tools).

Section‘0’ Revision sheet

Section‘A’ Organization Chart

Section‘B’ Qualification and experience of Quality

Control personnel

Section C’ Process flow chart/description of

manufacturing process

Section‘D’ Details of sub-assemblies/components

manufactured in house and outsourced.

Section E’ Quality Assurance System-Inspection and

Testing plan. This shall cover the

following:

i) Incoming Material

ii) Process control

iii) Product control

iv) System control

v) Gauging scheme- in the format for each

operation gauges shall be mentioned, if used.

vi) Internal inspection.

vii) Source of procurement for raw

materials.

Section‘F’ Calibration of testing measuring equipment.

Same as existing but

rearranged.

http://rdso.indianrailways.gov.in/works/uploads/File/Guidelines%20Instructions%20for%20vendors%202011%20%20%20-Rev%201-11%20Amendment%201(1).pdf

http://rdso.indianrailways.gov.in/works/uploads/File/Guidelines%20Instructions%20for%20vendors%202011%20%20%20-Rev%201-11%20Amendment%201(1).pdf

operation gauges shall be mentioned, if used.

vi) Internal inspection.

vii) Source of procurement for raw materials.

viii) System of calibration of testing and

measuring equipment.

The QAP thus prepared following the above

minimum points shall be got approved by

RDSO.

Section‘G’ System of maintaining the date of customer

complaints/warranty failures.

Section H’ Any additional information firm wishes to

submit.

(c) QAP covering complete information as above 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 should

be signed by Quality Control in-charge. The approved QAP

must be a controlled document and a quality record of ISO

Quality Control System of the vendor (if applicable). A

certificate to this effect shall be provided along with the

QAP by the vendor.

(d) The QAP shall be provisionally approved by the officer

carried out the capability assessment and final approval shall

be given by Executive Director/TM. This will be subject to

review/upgradation by RDSO in the light of fresh data &

experience.

4.7 Vendor shall preferably possess valid ISO

9001:2000 certificate for his works address,

covering the items for which he seeks

registration with RDSO.

5.7 Vendor shall preferably possess valid ISO 9001:2008

certificate for his works address, covering the items for

which he seeks registration with RDSO.

Same as existing

guideline para 4.7

4.8 It is desirable to possess valid digital signature

and the firm shall submit the following details:

a) Name of the Certifying Authority

b) ID of the holder of Digital Certificate

c) Date of issue of Digital Certificate

d) Validity of Digital Certificate

5.8 Vendor shall possess valid digital signature and the firm

shall submit the following details:

a) Name of the Certifying Authority

b) ID of the holder of Digital Signature Certificate

c) Date of issue of Digital Signature Certificate

d) Validity of Digital Signature Certificate

Same as existing

guideline para 4.8

4.9 The testing facilities and measuring equipment

which are available in house shall be duly

calibrated by a government test house or other

agencies of national standards, accredited by

NABL.

5.9 The testing facilities and measuring equipment which are

available in house shall be duly calibrated by a government

test house or other agencies of national standards, accredited

by NABL.

Same as existing

guideline para 4.9.

4.10 While applying for approval to manufacture and

supply of the product, the firm shall ensure that

:-

i) All the relevant documents i.e.

drawings/specifications etc. have been purchased

from RDSO at requisite fee and studied.

ii) The required plant and machineries,

infrastructural facilities and quality systems are

available.

iii) The testing facilities and measuring

equipment which are available in house, shall be

duly calibrated by a government test house or

other agencies of national standards.

5.10 While applying for approval to manufacture and supply of

the product, the firm shall ensure that :-

i) All the relevant documents i.e. drawings/specifications

etc. have been purchased from RDSO at requisite fee and

studied.

ii) The required plant and machineries, infrastructural

facilities and quality systems are available.

iii) The testing facilities and measuring equipment which are

available in house shall be duly calibrated by a government

test house or other agencies of national standards.

Same as existing

guideline para 4.10.

5.0

(i) Charges :

The following table lists the charges for different

activities for the process of vendor scrutiny /

approval /renewal etc.

6.0 i) Charges :

The following table lists the charges for different activities

for the process of vendor scrutiny / approval /renewal etc.

Same as existing

guideline para 5.0

Annexure Annexure A

(ii) RDSO reserve the right to change the

charges/introduce additional charges without

prior notice.

ii) RDSO reserves the right to change the charges/

introduce additional charges without prior notice.

6.0

Technical capability assessment for approval :

7.0 Technical capability assessment for approval :

Same as existing

guideline para 6.0

6.1

Application and its Assessment:

Applications should be scrutinized by RDSO

within a stipulated timeframe, (45 days of the

receipt of the application) and any additional

information can be sought during this period

from the firm. The firm may be allowed to reply

within a period of 45 days. Upon due

consideration of the application and such replies,

7.1

Application and its Assessment:

Applications should be scrutinized by RDSO within a

stipulated timeframe, (45 days

from the receipt of the application) and any deficiencies/

additional information noticed during scrutiny can be sought

during this period from the firm. The firm may be allowed

to reply within a period of 45 days. If the reply is not

received within 45 days or reply is not in order show-cause

Procedure has been

modified to limit the time

of scrutiny and reply of

the firm.

the ED/TMM/RDSO would take a decision

whether on the basis of information supplied,

firm can be considered for a visit for assessment

of its capability. The visit should be undertaken

within 45 days of receipt of reply from firm and

payment of due charges, as stipulated by RDSO.

If the application and details submitted are not

found satisfactory and the application is rejected,

firm shall be advised of deficiencies giving a

timeframe (max. 6 months to comply). If the

firm reports complete compliance within the

stipulated time, the case may be reviewed with

the permission of ED(TMM)/RDSO. If the firm

fails to report complete compliance within the

above mention period, the firm will have to

apply afresh to RDSO.

notice will be given to firm with reasonable opportunity to

comply within 30 days. If reply is not received or not

satisfactory, the case will be temporarily closed. Once the

case is temporarily closed, the case can be reopened for

reprocessing with the approval of ED/TM, if the firm reports

complete compliance within six months from date of making

communication for temporary closure. If the firm fails to

reports complete compliance within the above mentioned

period, the case shall be finally closed and the firm shall be

asked to apply afresh to RDSO.

7.1.1 Closure of fresh registration case: (a) Temporary closure of fresh registration case during

scrutiny of application/field assessment stage: Director/

Joint Director-TM shall recommend for temporary closure if

there are major deficiencies in infrastructure, firm failing to

offer sample for testing in a reasonable period of time, firm

failing to comply deficiencies. The case shall be temporarily

closed, after issuing a show cause notice.

(b) Show cause notice & period of temporary closure:

Before temporary closure, the firm shall be given a

reasonable opportunity by issuing a show cause notice and

giving time of 30 days. A show cause notice shall be issued

by RDSO. File shall be closed temporarily for a period of

six months from the date of making communication for

temporary closure after approval by EDTM.

(c) Re-opening of temporary closed cases: Once the case is

temporary closed for a period of six months, no

communication will be made with the firm. The case shall

be reopened, after six months on the firm’s request,

provided firm submits complete compliance to RDSO with

Para modified to restrict

endless time of

compliance. Firms used

to give

incomplete/unsatisfactory

reply and case used to

keep on open for a long

time. In line with

QA/Civil Policy.

supporting documents and photographs, if any. On receipt of

the compliance, case shall be examined and put up for

approval of EDTM. If approved, the case shall be advised to

process further. However, if the deficiencies are again

observed after reopening, the case shall be final closed with

approval of EDTM.

(d) Final closure of case file: If firm do not comply

deficiencies and compliance is not received at RDSO within

six months period of temporary closure, case shall be final

closed and firm shall be informed. No show cause notice

needs to be issued for final closure. Once the case is final

closed, the firm needs to apply afresh for approval of the

item.

6.2

The firm shall make necessary arrangements for

the inspection related to technical capability

assessment of the firm. During the inspection,

the inspecting officials shall have free access to

all the sections of the firm’s premises.

7.2 The firm shall make necessary arrangements for the

inspection related to technical capability assessment of the

firm. During the inspection, the inspecting officials shall

have free access to all the sections of the firm’s premises.

Same as existing

guideline para 6.2

6.3

During assessment, the firm shall produce all the

documents in original in support of the

establishment of the plant & machineries of the

firm. Copies of all the relevant documents shall

also be handed over to the inspecting officials.

Supporting technical documents regarding

manufacture of the item for which approval is

being sought, shall also be checked.

7.3 During assessment, the firm shall produce all the documents

in original in support of the establishment of the plant &

machineries of the firm. Copies of all the relevant

documents shall also be handed over to the inspecting

officials. Supporting technical documents regarding

manufacture of the item for which approval is being sought,

shall also be checked.

Same as existing

guideline para 6.3.

6.4

If any deficiency is observed during assessment

in manufacturing, assembly and testing facilities

of the firm, the same shall be intimated to the

firm for making good within a stipulated period,

(6 months) which shall be verified by the

inspecting official again (within 45 days of such

7.4 If any deficiency is observed during assessment in

manufacturing, assembly and testing facilities of the firm,

the same shall be intimated to the firm for making good

within a stipulated period, (i.e. 6 months) which shall be

verified by the inspecting official again (within 45 days of

such compliance). After passage of six months, his

Same as existing

guideline para 6.4

compliance). After passage of six months, his

application will be treated as cancelled and after

that it will have to apply afresh. However, at the

request of the firm another three months can be

given by the directorate head i.e. EDTM after

satisfying himself with the merit of the case and

genuineness of the delay.

application will be treated as cancelled and after that it will

have to apply afresh. However, at the request of the firm

another three months can be given by the directorate head

i.e. EDTM after satisfying himself with the merit of the case

and genuineness of the delay.

6.5

After successful assessment of the firm, it shall

be asked to manufacture prototype samples. The

firm shall conduct testing and inspection of

prototype samples as mentioned in the

specification and drawing as a pre acceptance

test/ internal test of prototype and the results of

the same alongwith drawing of sample ( if any)

shall be submitted to RDSO.

7.5 After successful assessment of the firm, it shall be asked to

manufacture prototype samples. The firm shall conduct

testing and inspection of prototype samples as mentioned in

the specification and drawing as a pre acceptance test/

internal test of prototype and the results of the same

alongwith drawing of sample ( if any) shall be submitted to

RDSO.

Same as existing

guideline para 6.5

6.6

If the firm is already approved for a particular

product and desires to apply for approval of their

firm for “similar product” requiring same QAP

and machinery and plant, capability cum

capacity assessment of the firm can be waived

off by EDTM/RDSO after ascertaining that the

firm has enough capacity to manufacture this

item based on past record and no additional

facilities would be required for manufacture of

the item in question.

7.6 If the firm is already approved for a particular product and

desires to apply for approval of their firm for “similar

product” requiring same QAP and machinery and plant,

capability cum capacity assessment of the firm can be

waived off by EDTM/RDSO after ascertaining that the firm

has enough capacity to manufacture this item based on past

record and no additional facilities would be required for

manufacture of the item in question.

Clause may be deleted as

covered in detail in

clause no. 13.

6.7

It 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.

7.6

It the firm is already approved for a particular product and

desires to get registered for some additional products, it shall

be considered as a fresh registration case and the same

procedure will be applicable as for fresh registration.

Same as existing

guideline para 6.7

7.0 7.1

Prototype Testing:

Testing and inspection of prototype samples

shall be carried out by RDSO as per approved

RDSO specification/drawing and functional

8.0 8.1

Prototype testing:

Testing and inspection of prototype samples shall be carried

out by RDSO as per approved RDSO specification/drawing

and functional requirements. This will include the tests for

chemical composition, hardness, mechanical properties etc.

requirements. This will include the tests for

chemical composition, hardness, mechanical

properties etc. as applicable, and to be carried

out at manufacturer’s premises. In case the

testing facilities are not available with the firm,

the test shall be done from a reputed Govt.

recognized testing agency. Field trials will also

be arranged by the firm, whenever required.

as applicable, and to be carried out at manufacturer’s

premises or as mutually agreed between RDSO and the firm.

In case the testing facilities are not available with the firm,

the test shall be done from a reputed Govt. recognized

testing agency. Field trials will also be arranged by the firm,

whenever required.

During testing criteria specified in type test shall be

followed. Any additional testing as desired by RDSO may

also be carried out. If type test criteria is not mentioned in

specification test chart approved by Joint Director/Director

may be followed for this purpose.

Same as existing

guideline para 7.1

New line is added to

facilitate testing.

7.2

If the samples do not fulfill the requirement(s) as

mentioned in the specification/ drawing of the

item concerned in the testing conducted by

RDSO, the firm shall be advised to submit fresh

samples after compliance of short-comings/

deficiencies observed during testing, within a

stipulated time of (6 months). If the firm fails to

make good the deficiencies within stipulated

time the application will be rejected.

8.2 If the samples do not fulfill the requirement(s) as mentioned

in the specification/ drawing of the item concerned in the

testing conducted by RDSO, the firm shall be advised to

submit fresh samples after compliance of short-comings/

deficiencies observed during testing, within a stipulated time

of (6 months) from the date of communication of

deficiencies/short comings. If the firm fails to make good

the deficiencies within stipulated time the application case

will be rejected permanently closed.

Same as existing

guideline para 7.2.

Partial modification in

line wirh para no. 7.0.

7.3

For the tests/field trials/assessment the

concerned firm shall extend all facilities to the

inspecting team as required for completing the

tests etc.

8.3 For the tests/field trials/assessment the concerned firm shall

extend all facilities to the inspecting team as required for

completing the tests etc.

Same as existing

guideline para 7.3

7.4

After successful testing, the prototype sample

will be preserved at RDSO for a period of

minimum one year or as advised by RDSO.

There will not be any commercial obligation on

RDSO/Indian Railways.

8.4 After successful testing, the prototype sample will be

preserved at RDSO for a period of minimum one year or as

advised by RDSO. There will not be any commercial

obligation on RDSO/Indian Railways.

Same as existing

guideline para 7.4

7.5

After satisfactory completion of the tests and

field trials, the detailed reports shall be put up to

Standing Committee on Small Track Machine

who will submit its recommendations to Board.

8.5 After satisfactory completion of the tests and field trials, the

detailed reports shall be put up to Standing Committee on

Small Track Machines who will submit its recommendations

to Board.

Same as existing

guideline para 7.5

8.0

Approval:

9.0

9.1

Approval:

Competent Authority:

The specifications and vendors lists of Small Track

Machines will require approval of Add. Member (CE). ME

may duly be kept informed & new type of Small Track

Machines which are proposed for development (Trial) will

require the consent /approval of Board (ME). All the

necessary procedural, technical, record keeping and nodal

assistance shall be provided by TMM Directorate of RDSO.

The Standing Committee on Small Track Machines (STMC)

shall examine all new/existing cases as per the policy and

will submit committee recommendations to Railway Board.

After the approval of competent authority the same will be

communicated. The meeting of Standing Committee shall

be held twice in a year normally at an interval of 6 months.

The STMC shall also periodically review the usage and

utility of approved machines and give recommendations for

improving the same.

Same as existing

guideline para 8.1

8.1

Competent Authority:

The specifications and vendors lists of Small

Track Machines will require approval of Add.

Member (CE). ME may duly be kept informed &

new type of Small Track Machines which are

proposed for development (Trial) will require the

consent /approval of Board (ME). All the

necessary procedural, technical, record keeping

and nodal assistance shall be provided by TMM

Directorate of RDSO. The Standing Committee

on Small Track Machines (STMC) shall examine

all new/existing cases as per the policy and will

submit committee recommendations to Railway

Board. After the approval of competent

authority the same will be communicated. The

meeting of Standing Committee shall be held

twice in a year normally at an interval of 6

months. The STMC shall also periodically

review the usage and utility of approved

machines and give recommendations for

improving the same.

8.2

Approval for an OEM/imported machine will be

accorded for original machine along with all

fittings and fixtures without any

modification/change

(ii) Imported machines include all fitments,

attachments, accessories as imported.

(ii) The consignee should check import

authenticity of imported machines. Some

of the documents that may be relied upon

9.2 Shifted in para 4.5

are

(a) Original equipment manufacturer test

certificate

(b) Bill of lading

(c) Bill of entry

(d) Original packing slip etc.

8.3 Normally part indigenization shall not be

permitted. In case supplier wants to indigenize

any part he should approach to RDSO with

details of transfer of technology approved from

OEM and the case shall be dealt as afresh as per

para 6.0.

9.3 Shifted in para 4.5

8.4 RDSO/Indian Railway reserves the right of

rejecting any machine/firm without assigning

any reason to the firm.

9.2 RDSO/Indian Railway reserves the right of rejecting any

machine/firm without assigning any reason to the

firm.

Same as existing

guideline para 8.4

9.0

Fresh Registration for the new type of small track

machines or P.Way measuring tools:

10.0

10.1

Fresh Registration for the new type of small track machines

or P.Way measuring tools:

The vendor seeking approval for a new type of

machine/tool, which does not figure in the current list of

approved type of machines/tools, needs to apply in same

manner as applicable for developmental category/multi-

sourcing. All the procedure and steps right from submission

of application to approval by competent authority will also

be same as applicable for developmental category/multi-

sourcing except with the following differences. Para 9.1 will

be followed in these cases.

Same as existing

guideline para 9.0

9.1 The vendor seeking approval for a new type of

machine/tool, which does not figure in the

current list approved type of machines/tools,

needs to apply in same manner as applicable for

developmental category/multi-sourcing. All the

procedure and steps right from submission of

application to approval by competent authority

will also be same as applicable for

developmental category/multi-sourcing except

with the following differences:

Same as existing

guideline 9.1

9.2 The approval for new item should be given only

after the field trials and satisfactory performance

in field trials.

10.2 The approval for trial of a new type of machine/tool, which

does not figure in the current list of approved type of

machines/tools should be given only after the field trials and

satisfactory performance in field by RDSO officials.

9.3 For new items, initially only broad functional

requirements should be issued from RDSO for

10.3 For new items, initially only broad functional requirements

should be issued from RDSO for the development of the

Same as existing

guideline para 9.3

the development of the product on trial basis and

after satisfactory performance of the equipment

thus procured, regular technical specifications

should be drawn. The functional requirement

may not be sent to Board for approval. Only

detailed technical specifications after

development of the item may be sent to Board

for approval to be given at the level of AM (CE).

product on trial basis and after satisfactory performance of

the equipment thus procured, regular technical specifications

should be drawn. The functional requirement may not be

sent to Board for approval. Only detailed technical

specifications after development of the item may be sent to

Board for approval to be given at the level of AM (CE).

9.4 After due deliberation, STMC will recommend

the initial approval for trial only, proposing some

of the zonal Railways to procure and use the new

item alongwith suggested trial quantities and the

period of trial before regular adoption. The

performance report of the new type of

machine/tool will be submitted by the zonal

Railways after predefined period and use.

Performance Report shall be submitted with the

approval of SAG officer nominated to deal STM

and under the signatures of an officer not below

the rank of JAG. The performance report will be

put up to Standing Committee on Small Track

Machine who will deliberate and submit

recommendation to Railway Board for its regular

use or otherwise.

10.4 After due deliberation, STMC will recommend the initial

approval for trial only, proposing some of the zonal

Railways to procure and use the new item along with

suggested trial quantities and the period of trial before

regular adoption. The performance report of the new type of

machine/tool will be submitted by the zonal Railways after

predefined period and use. Performance Report shall be

submitted with the approval of SAG officer nominated to

deal STM and under the signatures of an officer not below

the rank of JAG. The performance report from at least one

Zonal Railway will be required for upgradation from Trial

order to Regular use. The performance report will be put up

to Standing Committee on Small Track Machine who will

deliberate and submit recommendation to Railway Board for

its regular use or otherwise. The vendor thus approved will

be listed as Part-I directly in current list of approved type of

machines/tools. If Trial of a machine is not completed

within five years from the date of initial approval, it would

be considered that the machine of no use to Railway and it

will be dropped from the list of new machines.

Same as existing

guideline para 9.4

Performance from only

one Zonal railway will

suffice in case of New

Machine.

10.0:

Validity of approval

11.0

11.1

Validity of approval:

The approval shall generally be given up to validity of

existing Approved List of Vendors or for a period of three

year whichever is less.

Extension of approval, generally for 03 years shall be

examined and recommended by Small Track Machine

Committee (STMC) after due deliberation of applications,

As per STMC

recommendation

10.1 The approval shall generally be valid for two

years. Extension of approval, generally for 2

years shall be examined and recommended by

Small Track Machine Committee (STMC) after

due deliberation of applications, performance,

usages and utility.

performance, usages and utility. However, if meeting of

STMC could not be conducted or its minutes are not

approved by Railway Board, EDTM/RDSO is empowered to

extend the validity up to three months from the date of

expiry of existing approval.

To facilitate supply of

machines if STMC could

not be conducted.

10.2

For extension, the firm should apply at least

three months before the expiring of the existing

approval.

11.2 For extension, the firm should apply at least three months

before the expiring of the existing approval. If application is

received at RDSO before two months in advance of the

expiry of validity, it shall be processed. Otherwise firm will

be temporarily de-listed from the date of expiry of existing

validity. However EDTM may review the delay in

submission of application on case to case basis and consider

the application for grant of validity extension.

Language modification.

Modified to limit the time

line of granting

extension.

NEW 11.3 If the firm is temporarily delisted on account of Late

application received, and its application is received within

Three months from the date of Existing approval, It shall be

processed and will be put up to next STMC meeting for

consideration. Till the approval is given, the firm will

remain temporarily delisted.

Modified to limit the time

line of granting

extension.

10.3 After six months from the expiry of the earlier

approval, the vendor will be permanently de-

listed from the approved list and will have to

apply afresh.

11.4 After Three months from the expiry of the earlier approval,

the vendor will be permanently de-listed from the approved

list and will have to apply afresh.

Same as existing

guideline para10.3

10.4 During validity period of approval, if the firm

doesn’t participate in tenders invited by zonal

railways, RDSO officials shall inspect the firm’s

premises, for the purpose of further extension of

the validity period of approval in case the firm

has applied for the same.

11.5 During validity period of approval, if the firm doesn’t

participate in tenders invited by zonal railways, and on

enquiry by RDSO, the firm shall furnish the reasons for not

participation. The case will be put up to STMC for

deliberation.

Same as existing

guideline para10.4

11.0

Change of Specification:

12.0 Procedure to introduce new specification/or change

existing specification:

11.1

In order to improve the quality and /or

performance of the approved machine/tool,

whenever a need arise for a major change in

specification/schedule of technical requirement

12.1.1

Draft specification to be displayed on website: (a) Whenever there is a proposed new introduction or

change of procedure/specification/Drawing or any other

aspects having relevance in the manufacturing and quality of

As per QM-G-7.1-3

Clause no 4.19

As per QM-G-7.1-3

Clause no 4.19.1

As per QM-G-7.1-3

or any other aspects in view of the

RDSO/Railway, the suggested changes shall be

informed to the vendor(s) by the RDSO.

Already approved vendor(s) shall be required to

comply with changes within the time frame

specified by RDSO. Also the applicant vendor

seeking fresh approval shall be required to

comply with all the changes before the approval

is granted.

12.1.2

12.1.3

the product, the draft copy of newly introduced

document/changed document shall be put up on the RDSO

website requesting for comments by the vendors or other

external bodies or persons for a duration of at least one

month.

(b) It is to be ensured that contact details must be clearly

available to the users of the website for sending comments.

(c) All comments and suggestions collected at the end of this

period should be deliberated and decisions should be taken

recording the reasons for acceptance/ rejection of the

suggestions and comments.

(d) These deliberations shall be put up on the website along

with final acceptable copy of the document for a period of

fifteen days. After which these shall be removed from the

website and shall be filed.

Communication to approved vendors and meeting for

discussion on draft: (a) Whenever there is a change in

procedure/specification/Drawing or any other aspects having

relevance in the manufacturing and quality of the product,

the draft copy of the revised document shall be provided to

all the approved vendors by the Directorate controlling these

documents.

(b) A meeting to discuss the ramifications of changes

proposed shall be convened by the directorate and all

approved vendors should be invited for discussions. Minutes

of such meetings shall be recorded and uploaded to the

website and retained there for a period of fifteen days.

Approval & Issue of revised documents:

The documents shall be finalized after approval of

competent authority and will be issued after addressing all

comments received against the draft documents and those

recorded in the meeting minutes. Copies of the final revised

Clause no 4.19.2

12.1.4

12.1.5

12.1.6

& approved documents shall be given to the approved

vendors free of cost.

Date of enforcement The date from which the revised specification is to be

enforced is to be decided by the directorate head, 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

Time Frame To be Given to Existing approved Vendors

for Switching Over from Old Specifications to New

Specifications- A 12 months time will be given to all

Existing approved vendors to switch over form old

specifications to new specifications. In this transition period,

so as to have a continuous supply of machines, both versions

of the machines will be accepted/continued.

Compliance to Changes by the vendors: The already approved vendor shall be required to comply

with above mentioned changes on a written time-bound

basis. However, the applicants seeking fresh approval shall

be required to comply with all the changes before the

approval is granted

12.2 Procedure to introduce the machine of higher version in

lieu of lower version.

Whenever there is a proposal to introduce the machine of

Higher version in lieu of Lower version, all existing

approved vendors of Lower version machine will be

informed about the proposal and a copy of specification of

Higher version machine will be provided to them free of

cost.

A time period of twelve months shall be given to all existing

As per Board approval

dated 19.08.2013

approved vendors of Lower version machine to develop the

machine as per higher version specification.

In this transition period of twelve months, both versions of

the machines with existing lower version specification as

well as machine with higher version specification are to be

continued /accepted so as to have a continuous supply of

machines.

11.2 If any approved vendor intends to modify or

bring a major change in specification/schedule of

technical requirements or any other aspects for

improvement, the changes/modifications shall be

intimated to RDSO with time-frame for

materializing of such changes. The

changes/modifications shall be verified by

RDSO by conducting fresh type test as decided

by EDTM/RDSO.

12.3 If any approved vendor intends to modify or bring a major

change in specification/schedule of technical requirements

or any other aspects for improvement, the

changes/modifications shall be intimated to RDSO with

time-frame for materializing of such changes. The

changes/modifications shall be verified by RDSO by

conducting fresh type test as decided by EDTM/RDSO.

Same as existing

guideline para11.2

11.3 Fresh product sample testing shall necessarily be

done whenever there is a major change in

design, manufacturing process or specification.

This testing shall normally be done in firm’s

premises.

12.4 Fresh product sample testing shall necessarily be done

whenever there is a major change in design, manufacturing

process or specification. This testing shall normally be done

in firm’s premises or as decided by RDSO as mutually

agreed.

Same as existing

guideline para11.3

11.4 All such cases of change in specification shall

be deliberated in ensuing meeting of standing

Committee on Small Track Machines for review

and necessary recommendation.

12.5 All such cases of change in specification shall be deliberated

in ensuing meeting of standing Committee on Small Track

Machines for review and necessary recommendation.

Same as existing

guideline para11.4

NEW 13.0

Change of Engine/Motor or any Other major

component of the machine

If the firm is already approved for a particular Machine and

desires to change engine/Motor of the machine which can

affect functionality of the machine or cost of machine in

substantial manner, then following cases can be considered-

There have been cases

where Vendors may want

to change engine/motor.

Earlier there was no such

procedure for the same.

13.1 13.1.1 13.1.2 13.1.3 13.1.4 13.2 13.2.1

Case-1 –OEM of Engine /motor is same but

manufacturing/production/assembling country is

changed- If the firm is already approved for a Machine with

particular engine/Motor of a OEM and desires to change

engine/Motor of different manufacture/origin country with

same OEM and same model, Then-

(i)The firm has to submit a Certificate from OEM that the

engine/Motor has same specifications whether

manufactured/produced/assembled in any other country

(give names) and performance parameters are same and not

affected in any way.

(ii) Certificate of Self Compliance from the Firm with full

details of Engine/motor changed that their machine meets all

parameters as per existing specifications and functionality of

machine is not affected by changing the engine/motor.

(iii) Engine/Motor matching test certificate from OEM if

applicable.

Above documents will be scrutinized by RDSO within a

stipulated timeframe (45 days from the date of receipt at

RDSO) and after having satisfied, the firm will be advised

about prototype testing which will be carried out as per Para

no. 8.0.

Till the firm is approved with changed

engine/motor/component, it will continue to supply machine

with existing approved engine/motor/component.

If approved, the above case will not affect the Status of the

Firm and status will remain same as part-I/Part-II/Trial

Order as the case may be. Otherwise Para no. 8.2 will be

followed.

Case-2- OEM of Engine /motor is same but model has

been discontinued/upgraded- If the firm is already approved for a Machine with

particular engine/Motor of a OEM and desires to change

engine/Motor different model with same OEM, due to

13.2.2 13.2.3 13.2.4 13.3 13.3.1

existing model discontinued/upgraded, Then-

(i)The firm has to submit a Certificate from OEM that the

existing model of engine/Motor has been

discontinued/upgraded.


details of Engine/motor changed that their machine meets all

parameters as per existing specifications and functionality of

machine is not affected by changing the

engine/motor/component due to existing model of

engine/Motor/Component has been discontinued/upgraded.

(iii) Engine/Motor matching test certificate from OEM if

applicable.


stipulated timeframe (45 days from the submission) and

after having satisfied, the firm will be advised about

prototype testing which will be carried out as per Para no.

8.0.




If approved, the above case will not affect the Status of the

Firm and status will remain same as part-I/Part-II/Trail

Order as the case may be. Otherwise Paa no. 8.2 will be

followed.

Case-3- OEM of Engine /motor was having Joint

venture/Technical collaboration/Partnership/or any

other shareholding with other Firm/Company and they

are separated/bifurcated- If the firm is already approved for a Machine with

particular engine/Motor of a OEM which was having Joint

venture/Technical collaboration/Partnership/or any other

shareholding with other Firm/Company and they are now

separated-

(i)The firm may continue with engine/motor manufactured

13.3.2 13.3.3 13.3.4 13.3.4

by its principal technology provider of the Joint


shareholding however it has to submit a Certificate from its

principal technology provider that they were the principal

Technology provider and the existing Joint


shareholding with other firm/company is broken and the

model of engine/Motor now manufactured under their Brand

Name has same specifications and performance parameters

are same and not affected in any way .


details of Engine/motor/component changed that their

machine meets all parameters as per existing specifications

and functionality of machine is not affected by changing the

engine/motor/component.


stipulated timeframe (45 days from the submission) and

after having satisfied, the firm will be advised about

approval.




The above case will not affect the Status of the Firm status

will remain same as part-I/Part-II/Trial Order as the case

may be.

However if the firm desires to change

engine/motor/component manufactured by other than its

principal technology provider, the case will be dealt as the

case will be dealt as Fresh/New registration case and firm

shall be accorded Part-II status with new

Engine/motor/components.

Case-4- OEM of Engine /motor is changed

13.4 13.4.1 13.5 13.5.1

If the firm is already approved for a Machine with

particular engine/Motor of a OEM and wants to change the

engine with different OEM, then-

(i) It will be treated as Fresh/New registration case and firm

shall be accorded Part-II status for same machine the new

Engine/motor/components.

However, QAP and machinery and plant, 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 would be required for

manufacture of the item.

(ii) The charges as applicable are to be paid by the firm.

Case-5- Firm wants to supply similar machine with

two/more type of Engine/motor/components-

If the firm is already approved for a Machine with

particular engine/Motor of a OEM and wants to supply

similar machine with two/more type of

Engine/motor/components with different OEM, then-

(i) The firm will continue to be approved in same status with

existing engine/motor. However the case of additional

engine/motor will be treated as Fresh/New registration case

and firm shall be accorded Part-II status for same machine

with new Engine/motor/components.

However, QAP and machinery and plant, 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 would be required for

manufacture of the item.

(ii) The charges as applicable are to be paid by the firm.

12.0 Type of vendor list:

14.0 Type of vendor list:

Same as clause no 12.0

12.1

Track Machine & Monitoring Directorate shall

maintain a master list of approved vendors in

two categories

(i) for regular supply (i.e. for Part-I & Part-II)

and

(ii) for trial orders

14.1 Track Machine & Monitoring Directorate shall maintain a

master list of approved vendors in two categories

(i) for regular supply & Development order (i.e. for Part-I &

Part-II) and

(ii) for New machine/Machine under trial

12.2 The vendors approved and included in Part-I are

for regular supply and are eligible for getting an

order for full quantity of the tender whereas the

vendors approved and included in Part-II are for

developmental order and eligible for getting an

order for a part quantity (upto 20%) of the tender

quantity as per the extant rules of store tendering

system.

14.2 The vendors approved and included in Part-I are for regular

supply and are eligible for getting an order for full quantity

of the tender whereas the vendors approved and included in

Part-II are for developmental order and eligible for getting

an order for a part quantity as per stores procurement policy

as amended time to time.

Recommendation of

STM Standing

Committee

Vig .Cell SI no. 0lof

9/2013

13.0

Withholding / Suspension of approval of the

vendor:

15.0 Withholding / Suspension of approval of the vendor:

13.1

Suspension and de-listing of approval of the

vendor:

a. Performance reports/Complaints from

Users/Adverse Performance Report:

Upon receiving such an adverse report from

zonal railways which must be issued with the

approval of SAG officer nominated for looking

after STM and signed by an officer not below the

15.1 Suspension and de-listing of approval of the vendor:

a. Performance reports/Complaints from Users/Adverse

Performance Report:

Upon receiving such an adverse report from zonal railways

which must be issued with the approval of SAG officer

nominated for looking after STM and signed by an officer

not below the rank of JAG, RDSO shall investigate the


rank of JAG, RDSO shall investigate the matter

and undertake inspection of the defective/under

performing machine/tool duly notifying the

vendor.If the defects/under performance are

established during the inspection, ED/TMM will

be competent to suspend the vendor from

approved list and will inform all Zonal railways

besides placing such suspension on website. The

deficiencies shall be notified to the vendor for

rectification within a stipulated time of 6 months.

If the vendor fails to rectify the deficiencies

satisfactorily, RDSO will put up the case to Small

Track Machine Committee (STMC) for delisting.

All cases of adverse performance reports and

vendors under suspension shall be reviewed by

STMC in their meeting and wherever necessary,

appropriate recommendations shall be given.If the

vendor rectifies the deficiencies/takes requisite

corrective action within stipulated period,

suspension can be revoked by EDTMM/RDSO.

b. Suspension/delisting may also be

initiated by RDSO after serving a show cause

notice seeking time bound reply and considering

the response of the firm to the notice in case of

other non- conformities as per extant vendor

approval policy of RDSO. However, all such

cases shall be put up in ensuing meeting of

Standing Committee on Small Track Machine for

their review and necessary recommendation for

continuation of suspension or de-listing etc.

matter and undertake inspection of the defective/under

performing machine/tool duly notifying the vendor.If the

defects/under performance are established during the

inspection, ED/TMM will be competent to suspend the

vendor from approved list and will inform all Zonal railways

besides placing such suspension on website. The

deficiencies shall be notified to the vendor for rectification

within a stipulated time of 6 months. If the vendor fails to

rectify the deficiencies satisfactorily, RDSO will put up the

case to Small Track Machine Committee (STMC) for

delisting. All cases of adverse performance reports and

vendors under suspension shall be reviewed by STMC in

their meeting and wherever necessary, appropriate

recommendations shall be given. If the vendor rectifies the

deficiencies/takes requisite corrective action within

stipulated period, suspension can be revoked by

EDTMM/RDSO.

b. Suspension/delisting may also be initiated by RDSO

after serving a show cause notice seeking time bound

reply and considering the response of the firm to the

notice in case of other non- conformities as per extant

vendor approval policy of RDSO. However, all such

cases shall be put up in ensuing meeting of Standing

Committee on Small Track Machines for their review

and necessary recommendation for continuation of

suspension or de-listing etc.

13.2 Deletion of vendors name from approved list

(i) The vendors can be de-listed from

approved list by competent authority in

case of one or more of the below

mentioned conditions considering the

15.2 Deletion of vendors name from approved list

(i) The vendors can be de-listed from approved list by

competent authority in case of one or more of the

below mentioned conditions considering the

seriousness & nature of deficiencies and its effects


seriousness & nature of deficiencies and its

effects on quality of products:

a. Major non-compliance of the QAP.

b. Deficiencies/non-functioning of major

machinery & Plants affecting the

quality.

c. Premature withdrawal of

support/collaboration by the collaborator.

d. During course of time, if the

specification is amended and the vendor is

not

upgrading/providing the additional

requirements within a specified time

frame.

e. Any other situation leading to adverse

effect on the quality of production.

f. The entire factory or part of it is reported

closed/shut down/lockout.

g. Information provided by the firm is

found to be incorrect.

h. The vendor is black listed/or business

dealing is banned by Govt. of India or

its offices on communication by the

Board.

i. If at any time after approval, some

machinery is found deficient without

intimation to RDSO, firm’s approval

will be withdrawn immediately.

(ii) De-listing shall be communicated in

writing to the vendor. All concerned as

per distribution of the vendor list shall also

be advised.

on quality of products:

a. Major non-compliance of the QAP.

b. Deficiencies/non-functioning of major machinery &

Plants affecting the quality.

c. Premature withdrawal of support/collaboration by the

collaborator.

d. During course of time, if the specification is amended

and the vendor is not upgrading/providing the additional

requirements within a specified time

frame.

e. Any other situation leading to adverse effect on the

quality of production.

f. The entire factory or part of it is reported closed/shut

down/lockout.

g. Information provided by the firm is found to be incorrect.

h. The vendor is black listed/or business dealing is banned

by Govt. of India or its offices on communication by the

Board.

i. If at any time after approval, some machinery is found

deficient without intimation to RDSO, firm’s approval will

be withdrawn immediately.

(ii) De-listing shall be communicated in writing to the

vendor. All concerned as per distribution of the vendor list

shall also be advised.

15.3 a) Preface/lnstructions/lnformation given at the beginning of

vendor directory issued by RDSO should contain the

following:

"If due to any oversight/Typographical error /any other

reason, a vendor has been wrongly placed in Part I or

Part-II for a particular item without actually being

issued approval certificate by RDSO, then vendor

should immediately:

i) Inform RDSO about the wrong status

ii) The vendor should not accept any purchase order or

P.O. quantity more than that allowed for Part-II (as

the case may be) from Railways against the wrong

status. In case, it is found that vendor has taken more

order quantity against wrong status without having. a

valid certificate for that status (Part I/Part II)

stringent action of permanent delisting shall be taken

besides other legal action.

iii) In case of accident etc. on this account i.e. taking

orders for an item for which he is not approved or

taking more order quantity than allowed as per his

actual status the firm shall also be taken up against

relevant provisions of IPC for causing accidents

/injury to passenger etc".

b) In Approval Certificate following should be added:

Approval shall be withdrawn and firm permanently

delisted in case of following:

i) Taking purchase order or taking P.O. quantity more

than that allowed for Part-II(as the case may be )

against wrong status (i.e. Part-II / Part-I) in vendor

Vigilance note no.

9/2013 dated 01.05.2013

directly for an item due to over site / typographical

error by RDSO for which approval certificate has not

been issued by RDSO.

ii) Tampering of documents based on which

approval/upgradation/renewal.

14.0 Re-Instatement of status of vendor de-listed:

Once the firm is de-listed, the firm shall be

considered for re-instatement treating it as fresh

approval and the procedures as followed for

fresh approval shall be applicable after satisfying

following:

a) The firm applies after complying the

deficiencies.

b) The request for re-instatement shall be

considered only after a period of one year

from the date of de-listing.

c) The case shall be considered as for fresh

approval and the procedures as followed

for fresh approval shall be applicable.

d) After being satisfied with the above

criteria, the case shall be put up to

ensuing meeting of Standing Committee

on Small Track Machine for its

consideration and recommendation.

16.0 Re-Instatement of status of vendor de-listed:

Once the firm is de-listed, the firm shall be considered for

re-instatement treating it as fresh approval and the

procedures as followed for fresh approval shall be applicable

after satisfying following:

a) The firm applies after complying the deficiencies.

b) The request for re-instatement shall be considered

only after a period of one year from the date of de-

listing.

c) The case shall be considered as for fresh approval

and the procedures as followed for fresh approval

shall be applicable.

d) After being satisfied with the above criteria, the case

shall be put up to ensuing meeting of Standing

Committee on Small Track Machine for its

consideration and recommendation.


15.0 Up-gradation of vendor’s status from Part-II

to Part-I:

(i) The vendors who are in Part II shall be

upgraded 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 shall have supplied minimum

17.0 Up-gradation of vendor’s status from Part-II to Part-I:

(i) The vendors who are in Part II shall be upgraded 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 shall have supplied minimum specified

quantity as laid down. For the items already

approved, these quantities are specified by TMM


specified quantity as laid down. For the

items already approved, these quantities

are specified by TMM Dte.. Small Track

Machine Committee (STMC) shall review

these quantities from time to time and

submit its recommendations for changes,

if any.

c) A minimum period of 12 months has

elapsed from the date of first successful

supply to zonal railway before

consideration by STMC committee.

d) No adverse report attributable to

unsatisfactory quality/workmanship or

performance of the product has been

received from the Railways and assessed

prima facie substantiated by RDSO till

time of consideration for up-gradation or

such report, if any, has been disposed off

after satisfactory compliance.

e) Approval of firm is still valid.

After being satisfied with the above criteria, the

case shall be put up to ensuing

meeting of STMC for its deliberations and

recommendations to Railway Board.

Dte.. Small Track Machines Committee (STMC)

shall review these quantities from time to time and

submit its recommendations for changes, if any.

c) A minimum period of 12 months has elapsed from

the date of first successful supply to zonal railway

before consideration by STMC committee.

d) No adverse report attributable to unsatisfactory

quality/workmanship or performance of the product

has been received from the Railways and assessed

prima facie substantiated by RDSO till time of

consideration for up-gradation or such report, if any,

has been disposed off after satisfactory compliance.

Performance Report from minimum two zonal

railways will be required for this purpose. However if

the qualifying quantity as per Para no. 17.0/(i)/b is

one number, then the performance Report from only

one zonal railways will be sufficient for this purpose.

e) Approval of firm is still valid.

f)

After being satisfied with the above criteria, the case shall

be put up to ensuing meeting of STMC for its deliberations

and recommendations to Railway Board.

16.0 Change in name of the vendor: 18.0 Change in name of the vendor: Same as clause no.16.0

New If a firm intends to change name of the firm, Inspection of

the machine will be stopped immediately till following -

16.1

If a firm intends to change name of the firm, it

shall make available an undertaking by the new

firm for liability of the old firm, resolution by

Board of Directors, partnership deed etc. which

will be scrutinized by RDSO / Lucknow. In this

connection inspection of the firm may also be

carried out by RDSO/Lucknow, if considered

necessary.

18.1 If a firm intends to change name of the firm, it shall make

available an undertaking by the new firm for liability of the

old firm, resolution by Board of Directors, partnership deed

etc. which will be scrutinized by RDSO / Lucknow. In this

connection inspection of the firm may also be carried out by

RDSO/Lucknow, if considered necessary.


16.2 If change of name is done as a result of

bifurcation of the existing works premises, in

addition to checking of documents , re-

assessment will also be carried out by RDSO

official before effecting the change in name of

firm.

18.2 If change of name is done as a result of bifurcation of the

existing works premises, in addition to checking of

documents , re-assessment will also be carried out by RDSO

official before effecting the change in name of firm.


16.3

The same policy as mentioned above shall also

be applicable in case of the change in name of

the production co-units of the approved vendor,

the approved vendor shall be responsible for

necessary formalities and submission of for new

location related documents.

18.3 The same policy as mentioned above shall also be applicable

in case of the change in name of the production co-units of

the approved vendor, the approved vendor shall be

responsible for necessary formalities and submission of for

new location related documents.


16.4

Competent authority shall grant approval for

change of name and necessary change of name

shall be advised to all copy holders of vendor’s

list.

18.4 Competent authority shall grant approval for change of

name and necessary change of name shall be advised to all

copy holders of vendor’s list.


17.0

Change of location/address of works/firm:

19.0 Change of location/address of works/firm:


17.1

On receipt of request from the vendor for

change of work-site, the RDSO official shall

verify that.

19.1 On receipt of request from the vendor for change of work-

site, RDSO official shall verify that-


17.2

The office of Works, Plant, establishment etc.

has been totally shifted.

19.2 The office of Works, Plant, establishment etc. has been

totally shifted.


Note:

Vendors on approved list will inform Executive Director, Track Machine & Monitoring Directorate of RDSO regarding changes in

correspondence address, telephone numbers, Fax Nos. and E- mail at the earliest.

********************************************

17.3

The Machinery & Plants have been totally

shifted, set up and commissioned.

19.3 The Machinery & Plants have been totally shifted, set up

and commissioned.


17.4

The testing and laboratory facilities have been

shifted totally setup and commissioned.

19.4 The testing and laboratory facilities have been shifted totally

setup and commissioned.


17.5

The certificate from Small Scale Industries /

registrar of companies or equivalent authority is

available for new location of works.

19.5 The certificate from Small Scale Industries / registrar of

companies or equivalent authority is available for new

location of works.


17.6

The name of the firm is same. 19.6 The name of the firm is same.


17.7

Certificate for power connection from State

Electricity Board is available.

18.7 Certificate for power connection from State Electricity

Board is available.


20.0

NEW Empowerment of EDTM- ED/TM is empowered to consider any deviations /

discrepancies in procedure laid down above on case to case

basis and merit of the case by giving specific remarks.

However, the deviations so considered shall not violate the

vendor approval procedure. The items which are not covered

in this document ED/TM may decide the procedure to be

followed giving specific remarks.

To address any

unforeseen circumstances

which may arise as

special case.

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