7.0 Service Realization

QUALITY MANUAL

ISO 9001:2008

SERVICE REALIZATION (Clause 7 of ISO 9001 : 2008)

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I. PURPOSE & SCOPE This chapter presents an outline of Quality Management System related to

realization of services and execution of projects by various SBUs of RITES. The various services provided by SBUs have been covered under Chapter 2 and further elaborated with concerned SBUs.

II. POLICY 1. PLANNING OF SERVICE REALIZATION (Clause 7.1 of ISO 9001: 2008) 1.1 Major services provided by RITES through its various SBUs are as given

under Chapter 2, which shall be further, elaborated at SBU level through suitable documentation. Processes needed for realization of these shall be planned at SBU level in keeping with business requirements. Corporate / Support processes shall be planned to provide services / discharge functions in compatibility with other business processes.

A Process Flow chart for RITES as an organization is depicted at Annexure-A. Process Flow charts related to SBUs shall be documented at SBU level. The flow charts shall provide the overall planning for realisation of various services showing also the interfaces with other major processes within or outside RITES.

1.2 In planning service realisation, for any existing / new area of service, new

project following issues shall be determined as appropriate:

- Quality objectives and requirements for the service including customer expectations.

- The need to establish additional processes and documents and to provide the resources specific to the service / project.

- Required verification, validation, monitoring, measurement, inspection and test activities specific to the service / project and criteria for service acceptance.

- Records needed to provide evidence that realisation processes and resulting deliverables meet the requirements.

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The output of this planning is consolidated in the form of Procedures, Work Instructions, Check Sheets, Quality Plans etc and are made available for usage by relevant personnel.

1.3 The major processes for product realisation are the following:

a. Customer related processes including:

- determination of requirement related to service. - review of requirements related to service. - customer communication.

b. Design and development including

- design and development planning. - design and development inputs, outputs - design and development review, verification, validation. - control of design and development changes.

c. Purchasing including

- control over purchasing process - control over purchasing information - verification of purchase products/ services

d. Control over Service Provisions including

- control of project / service execution - process validation - identification and traceability - control over customer property - preservation of product

e. Control of monitoring and measuring equipment.

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The above processes have been outlined under various subchapters of Chapter 7.

QUALITY MANUAL

ISO 9001:2008

CUSTOMER RELATED

PROCESSES (Clause 7.2 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This chapter provides RITES policy related to business development,

determination & review of service requirements and Customer Communications. It applies to all areas of business of RITES, carried out by any SBU or through Corporate level marketing activities.

II. POLICY: 1. This Policy shall be implemented by all SBU Heads through their project

co-ordinators, activity heads responsible for business development and execution. At Corporate level, it shall be implemented by Head, M&CS.

2. Business Development: 2.1 Focus on business development exists all through the organisation. Each

Division / SBU shall make efforts towards achieving targets for new business development, turnover, operating ratio etc. laid down based on Corporate direction given from time to time. In addition business development activities shall also be pursued at corporate level from Marketing & Client Services.

2.2 Opportunities for business development shall be identified through various

possible means such as newspapers, business letters, personal contacts, Internet scan, references by customers, agents, funding agencies, concerned ministries etc. Proactive marketing shall also be undertaken on need basis through introductory letters, meetings and presentations. As needed presentations / marketing brochures shall be developed at Corporate / SBU level. Initial/preliminary information received by sources as above shall be further consolidated/augmented through various means including personal meetings at appropriate level, as may be required to determine client requirements.

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2.3 As a result of above, initial proposal may be made covering basic concepts and methodology of the project, relevant experience profile etc. for clients perusal. This may be in the form of an expression of interest (EOI).

2.4 Based on clients response to initial proposal / or directly after initial

interactions, as the case may require, an offer detailing terms of reference and price offer shall be sent to the client along with other necessary documents. In case of a tender the tender document shall be submitted to client incorporating various details as may be required. Wherever any specific formats are prescribed (e.g. In case of World Bank offers) the same shall be complied with along with any underlying rules / regulations applicable.

3. Determination of Requirements Related to the Service: (Clause 7.2.1 of

ISO 9001: 2008) All relevant requirements applicable to the service shall be determined

and considered including: - Requirements specified by the client, including requirements for

service delivery and post delivery activities. - Requirements not stated by the customer but necessary for to be

incorporated in the service to be executed for its stated or intended use.

- Statutory and regulatory requirements applicable to the service to be provided.

- Any additional requirement considered necessary by RITES. 4 Review of Requirements Related to the Service: (Clause 7.2.2 of ISO

9001: 2008) 4.1 Before submission of a tender / offer and/or the acceptance of contract /

order, the requirements related to the service / project to be executed, shall be scrutinized and reviewed to ensure that:

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a) The requirements are adequately defined. Where no written

statement of the requirement is available for an enquiry / order received by verbal means, it is ensured that requirements are documented at receiving end. In all cases it shall be ensured that requirements are agreed before acceptance

b) Any differences between the tender, offer, contract agreement and

the order are brought out, reviewed, discussed at appropriate level (if required with customer’s representative) and finally resolved to the satisfaction of both, RITES & client.

c) Before making any commitments, it shall be ensured that RITES

has the abilities to meet these requirements.

In order to match the requirements of the project, RITES has opted the approach of a flexible organisation. Technical and managerial capabilities required for the project shall be given due consideration and planned. As needed the expertise, resources needed may be planned to be provided from various sources such as:

- Within RITES (including other SBU’s) - Indian Railways on Deputation - Other Govt. / Public Sector organisations on deputation - Open market on permanent basis / short term contract basis - Other organisations with whom RITES has MOU’s / Agreements - Through joint ventures with other specialist organizations.

4.3 Amendments: The amendment to any proposal/offer or agreement shall be reviewed in

the same manner as the original order/contract.

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After any amendment is agreed to, the relevant changes shall be documented and information shall be passed on to all concerned promptly through defined channels of communication / reporting.

4.4 Records of scrutiny, review & amendment shall be suitably maintained in

client / concerned project file etc. 5. Necessary follow-up shall be kept for securing business at appropriate

level. As necessary negotiations shall be held, clarifications made and amendments made to reach a mutually acceptable and techno-commercially viable agreement resulting in a contract signed with the client.

6. Normally offers / contracts shall be made at the level of the co-ordinating

SBU / Division. However, in cases where multidisciplinary efforts are needed, such offers may also be made through Marketing directly, depending on the size / value / importance of the projects. Directions / advice may be taken from other higher functionaries including Divisional Heads / Functional Directors as needed in finalizing offers, accepting contracts (specially in case of overseas projects), project approvals shall be taken at appropriate level as per SOP.

While technical viability, methodology and logistics for the offer shall be assessed at the level of concerned SBU’s / senior level technical functionaries, for commercial offers, detailed guidelines exist which provide the basis for commercial offers. As may be necessary, offers shall be subjected to financial vetting / concurrence by concerned Finance.

7. On acceptance of the offer / bid and on award of work, a realistic work

plan shall be developed and potential impediments and risks on project execution shall be identified and contours of contingency plan devised. An inception report work plan / bar chart/ detailed methodology / resource utilizations/ reporting schedule etc. as per requirement shall be presented to the client.

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8. The relevant mechanism for business development, contract review, etc shall be covered in details in the Quality System Procedures relevant to SBUs.

9. Customer Communication: (Clause 7.2.3 of ISO 9001: 2008)

An organization exists because of its customers. Customer Communication is of essence to Customer satisfaction. Hence effective arrangements / means of Customer Communication shall be maintained.

All customer communication shall be treated with utmost care both at Corporate Level and at SBU level to ensure timely and effective response with necessary action.

- All communications with respect to service profile, capabilities and

strengths are handled as a part of Business Development efforts. Suitable Service Brochures, other publicity software / hardware shall be developed and updated from time to time. RITES web site shall also provide information on service profile of the organization.

- All communications with respect to enquiries, contracts handling and amendments shall be effectively handled at operational level and responded in a timely manner through personal discussions, letters, fax etc as suitable.

- All communications relating to customer feed back/complaints shall be effectively handled at the level of SBU Heads. These shall be analyzed and examined for prompt action. These communications can be made through personal meetings, in writing or through web site of RITES.

- All communications regarding modifications to contract shall be suitably attended and are suitably documented.

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Proactive efforts to maintain customer communication for determination of customer perception of the services shall be made through activities such as Customer meetings, customer liaison, feedbacks and questionnaires etc.

At Corporate level regular meetings are held with railway / other major clients by Senior Officers including quarterly review meetings with Railway Board which shall be used to maintain customer communication and determine customer perception of our service. Any actions arising from such interactions shall be communicated to concerned SBU head who shall ensure its implementation to enhance customer satisfaction.

III. REFERENCES:

SBU level contract review / marketing related procedures. F & A Procedure for preparation of project estimates (Procedure order No.3/2k dt. 26.12.2000, issued by COA) Schedule of Powers (SOP)

QUALITY MANUAL

ISO 9001:2008

Design and Development(Clause 7.3 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This chapter describes the policy to ensure controls on all design and

development activities so as to fully meet client requirements along with any other applicable requirements. This chapter covers all Design & Development activities carried out by RITES SBU’s including:

• Rolling Stock Design • Railway Civil Engineering Design • Highways Design • Ports and Water Resources • Airports • Architecture & Planning • Signals & Telecommunication • IT • Training • Mass Transport • Urban Engineering • Ropeway & Industrial Engineering

II. POLICY: 1. This policy shall be implemented by SBU Heads through concerned

Project Co-ordinator and design personnel involved. Documented procedures shall be implemented in all areas where design / development activity is carried out.

2. Design and development planning (Clause 7.3.1 of ISO 9001: 2008) For every project involving design, the design activity shall be planned

bringing out planning for design to be undertaken such as the relevant design stages, timeframe and requirements for verification, review & validation; responsibilities and authorities for design & development including involvement of consultants, experts and customer or his representative(s) etc. The design / development plans shall be suitably

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documented, revised / modified and updated as the design evolves. It shall be ensured that all design activities are assigned to competent personnel, groups or agencies.

The design & development planning shall bring out organizational &

technical interfaces amongst design groups, SBU’s, consultants, heads of technical wings, project co-ordinators and if necessary concerned contractors and customer and/or his representative(s), ensuring clear responsibilities and effective communication so that necessary documents/information is transmitted and regularly reviewed.

3. Design & Development Input (Clause 7.3.2 of ISO 9001: 2008) Design & development input requirements shall be established based on

contract review / further studies undertaken to establish the same. Design & development input shall include functional & performance requirements as applicable to the structure / infrastructure / facility / equipment / service to be designed. In addition, designer shall take into consideration the available previous data / information such as reports of survey relating to geotechnical, seismic, hydrological, rock & structure/level, other historical facts & other socio -environmental aspects and design input information / data based on past experience for similar designs. Applicable statutory legislation, regulations of the country concerned shall also be taken as design inputs.

All available inputs shall be reviewed for adequacy, applicability and

conflicting or ambiguous requirements shall be resolved. This data / information shall act as the basis for design activity and shall be recorded.

4. Design & Development Output (Clause 7.3.3 of ISO 9001: 2008) Design & development shall be carried out by competent technical

persons, well equipped with necessary data, information, equipment, software etc. Design & development output shall be documented in suitable fashion such as drawings, layouts, specifications, contracts,

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tenders etc, generated in a form that enables verification against design inputs. Design output shall ensure the following:

• Design & development input requirements are met • It contains / references relevant acceptance criteria. • Identification of critical design characteristics, for example, those

pertaining to safety & functional requirements. • Identification of characteristics of the product / service designed to

enable subsequent activities such as Purchasing / Tendering, project execution and service provisioning etc.

All design & development documents, calculations etc. shall be reviewed

before release. 5. Design & Development Review (Clause 7.3.4 of ISO 9001: 2008) At appropriate phase of the design, review(s) of design & development

results shall be carried out as planned,

• to evaluate the ability of the results of design & development to meet requirements

• to identify any problems and propose necessary action

Participants in these reviews shall include representatives from functions concerned with design & development being reviewed. Results of design review shall be recorded which shall address to practical difficulties likely to be encountered, in completing the design and adequacy of full or a part of design to meet design & development input requirements.

6. Design & Development Verification (Clause 7.3.5 of ISO 9001: 2008)

Verification of design & development shall be carried out as planned to ensure that design & development output meets the design & development input requirements. Results of design verification shall be recorded.

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7. Design & Development Validation (Clause 7.3.6 of ISO 9001: 2008) Design & Development is required to be validated in accordance with

planned arrangements to provide confidence that final design conforms to defined user needs and / or requirements at practical / site level. Wherever practicable validation shall be completed before implementation of the design / delivery of the product. For this, if required and practicable a prototype / draft report shall be made and test checked in accordance with agreed procedure and criteria. Client approval to design and development shall be taken, as needed.

Records of design and development validation shall be maintained

bringing out the actions to be taken. 8. Design & Development Changes (Clause 7.3.7 of ISO 9001: 2008) The objective of design change control is to identify, document & manage

changes in the requirements, drawings, specifications etc. after initial design has been authorized & released for implementation. The control shall ensure that the need for change is identified and records of change maintained. The change shall be reviewed, verified and validated, as appropriate and approved before implementation. The review shall include evaluation of the effect of change on other constituent aspects of the designed entity.

Customer or his representative shall normally be involved when design change is likely to affect functional performance.

III. REFERENCES:

i) SBU level relevant Design & Development control procedures.

QUALITY MANUAL

ISO 9001:2008

PURCHASING

(Clause 7.4 of ISO 9001 : 2008)

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I. PURPOSE & SCOPE: This chapter provides the policy to ensure that materials / services

required for execution of services / projects of RITES, which are required to be out sourced, are procured, conforming to specified requirements. These shall include:

• Hiring of experts / consultants / sub-consultants / advisors etc for

carrying out specific activities needed for execution of services and projects.

• Appointment of works contractors for project related works • Hiring of outside agencies for carrying out specific, specialized

assigned tasks / activities needed for execution of services and projects.

• Procurement of specific goods, materials, other items as per the requirements of services / projects

• Procurement of materials, equipment for office use.

II. POLICY: 1. Following shall be responsible for various purchase activities

a) Hiring of experts, consultants, sub-consultants etc. - Concerned SBU / unit Head through P&A.

b) Hiring of Services for projects and maintenance etc. – Concerned

project co-ordinator / activity head through SBU Heads with approvals as per SOP

c) Selection and Appointment of works contractors for projects -

Concerned project co-ordinator through SBU Heads with approvals as per SOP

d) Purchase of stores for execution of services / projects – Concerned

project co-ordinator through SBU Heads with approvals as per SOP

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PURCHASING

(Clause 7.4 of ISO 9001 : 2008)

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e) Purchase of Office Machinery, equipment, furniture, stationary etc. - Concerned unit Head with approvals as per SOP directly or through nominated agency.

2. Purchasing Process (Clause 7.4.1 of ISO 9001 : 2008)

Purchasing activities shall be carried out to ensure that purchased product / service conforms to the specified requirements, following a defined system. Purchasing is largely done through any of the following methods:

a) Single Tender

b) Limited Tenders c) Open Tenders

The mechanism of procurement shall be dependent on its value, requirements of the customers and requirements of funding agencies involved. Approval of competent authority as per SOP shall be obtained for all purchases.

As a policy the system of single tender shall be resorted to only in

exceptional circumstances following the existing guidelines. 2.1 Tenders shall be evaluated by duly constituted Tender Committees. The

criteria of evaluations and selection shall consist of considerations such as:

- Competence, Capability of tenderer to meet tender requirements

including Technical & financial capacity of the tenderers - Past Experience on similar Works - Technical & Financial Bids - Fulfillment of criteria laid down in the tender document including

pre-qualification, if any. - Technical Collaborations, if any as may be required.

- Ability to deliver the product / service in time

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ISO 9001:2008

PURCHASING

(Clause 7.4 of ISO 9001 : 2008)

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- Availability of necessary documents/ certificates as per the tender requirement

- Recommendations of client, consultant, statutory / regulatory authorities, if applicable

- Accreditation / Certification available as may be required. If required site visits by members of tender evaluation committee or any

other person / team designated for the purpose, may also be made. 2.2 For procurement of laboratory services in case of Quality Assurance

Division for third party inspections, a system of approval of labs exists based on the competence of the labs. The services of approved labs are obtained as per the need without any further tendering etc.

2.3 Hiring of consultants, experts, advisors etc to carry out project related

work shall be done based on their competence, qualification & experience against the project requirement through P&A. This shall be normally done based on recommendations of hiring SBU / database available with P& A.

2.4 Controls on suppliers / service providers as applicable shall be dependent

on the final deliverables and may include some or all of the following :

1. Approval of process / methodology / samples / examination of services carried out

2. Examination of past credentials, references 3. Incoming inspection / verification of materials / services 4. Clearance of work stages / hold points. 5. Inspection & supervision of works and ensuring conformity to

specifications during execution of project 6. Identification of defects / non-conformities & rectification there of. 7. Monitoring the progress of works & corrective and preventive

actions. 8. Verification of measurements & bills 9. Control on products / services procured by sub-contractors / works

contractors ( e.g. procurement from suppliers approved by client / RITES)

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ISO 9001:2008

PURCHASING

(Clause 7.4 of ISO 9001 : 2008)

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2.5 The Suppliers / service providers shall be re-evaluated as per the need

based on established criteria ensuring their continued suitability at the time of renewal /revalidation etc. Records of evaluations, re-evaluations and any actions arising from them shall be maintained in the form of file notings /case files, etc.

3. Purchasing Information (Clause 7.4.2 of ISO 9001: 2008) The purchase orders / other relevant documents for purchase of materials

and procurement of services such as LOI/ LOA shall describe the materials / services to be procured including, where appropriate:

a) Specification of the material / description of services to be procured

including requirements for approval of products, procedures, processes, equipment as required

b) Requirements for Qualification of personnel as may be applicable. c) Work Schedule / Delivery Schedules, if any. d) Quality Management System Requirements including quality

assurance scheme / plan, standard to be followed.

Purchase orders / applicable purchase documents shall be reviewed for adequacy before issue at defined level.

4. Verification of Purchased Product (Clause 7.4.3 of ISO 9001: 2008)

Verification / inspection / examination of outsourced services / products shall be done, as required, as per established procedures / project quality plans etc to ensure their conformity to tender/ contract requirements.

Where it is specified to perform verification at supplier’s premises, the intended verification arrangements and methods of product approval shall be established and communicated to the suppliers, appropriately.

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ISO 9001:2008

PURCHASING

(Clause 7.4 of ISO 9001 : 2008)

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5. Construction Projects: Detailed Guidelines for tendering for Construction Projects have been laid down in “Guidelines on Construction Project Management”. The Guidelines cover all necessary steps including preparation of estimates, preparation of tender documents and its publicity, standard forms for tendering, sale of tender documents, receipt, opening and acceptance of tenders, requirement of earnest money, performance guarantee and security deposit, essential features of agreements /contracts, payment to contractors, preparation, examination and verification of bills for passing, etc. The Guidelines also includes various mandatory tests, inspections and test procedure, frequency of testing, etc. thereof to be carried out on raw materials received for construction projects as well as at various stages during construction.

III. REFERENCES:

Schedule of Powers SBU level procedures on purchasing

Guidelines on Construction Project Management – February 2009

General conditions of contract for works – 2008

Guidelines of calling and accepting quotations instead of tenders (Annexure 6.1 of Guidelines on Construction Project Management).

Procedure for calling and acceptance of single tender (Annexure 6.2 of Guidelines on Construction Project Management). Tender and Contract Document – August 2009.

QUALITY MANUAL

ISO 9001:2008

CONTROL OF PROJECT /

SERVICE EXECUTION (Clause 7.5.1 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This Chapter provides RITES policy to ensure that all projects and

services of RITES in all areas of operation including consultancy, engineering, project management, export, procurement etc. are planned, defined and executed under controlled conditions. This chapter covers

i) All projects carried out by RITES for various clients. ii) All services executed by RITES for execution of various contracts

with clients. iii) Corporate and support processes needed for proper fulfillment of i)

& ii) above. II. POLICY:

1 All SBU Heads shall be responsible for execution of the requirements of

this chapter through concerned project coordinators / activity heads for execution of projects / services to clients. Unit Heads providing internal services within RITES shall be responsible for fulfillment of these requirements within their areas of control.

2 All SBU Heads / unit heads shall ensure that projects / services under them are planned and carried out under controlled conditions.

2.1 Planning for execution of all projects shall be carried through Project

Quality Plans, clearly bringing out details required such as:

a) Various project stages / sub-stages. b) Controlling documents (drawings, specifications, standards, codes,

special instructions, work instructions, guidelines, check sheets etc.) as applicable.

c) Responsibilities for RITES and contractors’ personnel. d) Review / verification activities including customer verification along

with Acceptance criteria

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e) Records to be maintained, reports to be submitted to customer / project management.

f) Completion schedules with identification of deliverables. g) Resources to be deployed (personnel, equipment, machinery etc.).

2.2 In cases where services of non-project nature are to be provided, it shall be ensured that the services to be provided are planned and defined through documented procedures / work instructions / check sheets etc.

2.3 It shall be ensured that all service in the area of operation of RITES

including consultancy, engineering and project management provided to external clients as well as internal services are executed under controlled conditions meeting the laid down requirements. The controls shall include: a) Availability of information that describes the nature and

requirements of the service to be provided i.e. Service deliverables and service requirements.

b) Availability of relevant documentation such as procedures / work

instructions / guidelines, etc. as necessary defining the manner of execution of various project stages, service processes, at pertinent locations.

c) Maintaining compliance to the above, through appropriate

supervision, monitoring activity. d) Use of suitable plant & machinery and equipment, software,

hardware & other resources for execution of project / service at each stage as needed including their suitable maintenance.

e) Availability & use of suitable monitoring & measuring equipment as

needed. f) Implementation of monitoring and measurements, of identified

important process parameters & service characteristics, ensuring

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fulfillment of acceptance criteria, maintenance of records and completion of projects and service processes as per time schedules.

g) Identification and planned & controlled implementation of release,

handover, delivery of project / service deliverables.

h) Identification and planned, controlled execution of post delivery activities.

i) Compliance to applicable statutory / regulatory requirements such

as those relating to safety, hazards, fire, material handling and movement / transfer, disposal etc. as well as administrative requirements brought out through SOP, Personnel Manual and internal circulars brought out from time to time.

2.4 Corporate processes which contribute for effective execution of services to

external clients by the SBUs include the following which shall be carried out effectively and efficiently ensuring fulfillment of objectives:

Finance and accounts processes including budgetary controls: - These

activities shall be carried out as per the documented Quality Management Systems of Finance. Guidelines shall be issued from time to time to various accounts offices to ensure statutory and budgetary controls based on these.

Personnel & administration processes: - These shall be carried out with due controls as per laid down Quality Management System of Personnel and Administration Groups.

Corporate planning: - Ten yearly Corporate Plan is developed under the control of ED(CS) to provide management vision and overall business directions for the organization which is reviewed periodically.

Annual target fixation: - Annual targets shall be fixed for organization based on MOU targets finalized with Ministry of Railways at the beginning of each financial year. SBU wise targets are fixed at the time of budget finalization based on next years budget estimates submitted by SBU in line with F&A procedures on the subject.

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Financial / Administrative sanctions of various types: - These shall be provided by competent authority at various levels based on SOP and further guidelines issued from time to time.

Corporate level policy directions, performance reviews, coordination and control: - This shall be done as per laid down procedure on corporate level review of performance.

Corporate marketing and Client services: - These shall be carried out with due controls as per documented Quality System of M&CS.

Corporate communication: - This shall be carried out based on documented procedure with M&CS on the subject ensuring effective communication of organizational vision, policies, achievements etc. to external and internal publics of RITES.

III. REFERENCES:

SBU level procedures on Process Control, Project, Service Execution. Operational Procedures related to Personnel Group. Operational Procedures related to Finance & Accounts Group. Operational Procedures related to Administration Group. Operational Procedure related to Marketing & Client Services Group. Procedure for Performance Review. Schedule of Powers

Guidelines for Construction Project Management.

QUALITY MANUAL

ISO 9001:2008

VALIDATION OF

PROCESSES (Clause 7.5.2 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This chapter provides the policy to ensure that all processes for service

provision which can not be verified by subsequent monitoring or measurement are pre- validated. This applies to all projects / services of RITES where such processes may exist.

II. POLICY: 1 This policy shall be implemented by concerned SBU Heads through

Project Co-ordinators / activity heads under them. 2. All such processes, required for execution of any project or service, which

can not be verified by subsequent monitoring or measurement and as a consequence, deficiencies will become apparent only after resulting product / structure / service / document comes in use, shall be identified.

All such processes shall be validated. Validation shall demonstrate the ability of these processes to achieve desired result even without subsequent verification activities, by maintaining defined process controls. As applicable, following shall be ensured for these processes: a) Review and approval / validation of the process based on defined

criteria for the same b) Approval of equipment and qualification of personnel to carry out the

process c) Controlled operation of the process under defined control and

establishment of specific methods / work instructions for execution of the process

d) Records of maintenance of defined controls e) Revalidation of the process at defined frequency

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ISO 9001:2008

VALIDATION OF

PROCESSES (Clause 7.5.2 of ISO 9001 : 2008)

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3. Examples of such processes include concreting, welding, heat treatment, etc for which RITES may be responsible as a part of project execution / supervision etc.

III. REFERENCES: SBU level procedures on Process Control, Project / Service Execution.

QUALITY MANUAL

ISO 9001:2008

IDENTIFICATION &

TRACEABILITY (Clause 7.5.3 of ISO 9001:2008)

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I. OBJECTIVE & SCOPE: This chapter provides the policy to maintain identification/ traceability and

status of products, works and activities, during execution of services and projects, meeting customer requirements, statutory / codal requirements and RITES own requirements. It is applicable to all projects and services of RITES.

II. POLICY: 1 This policy shall be implemented by all SBU Heads through Project Co-

ordinators / activity heads under them. 2. Where appropriate and required identification and traceability of the

products, materials, documents etc. handled during the execution of any project / service shall be maintained. Status of products, materials, documents etc. shall be also maintained with respect to monitoring and measuring requirements through out service realization process through suitable means.

2.1 The requirements for identification & traceability and status during service

/ project execution shall be identified based on contract review and service / project requirements.

2.2 These may arise due to:

a) Customer Requirements b) Statutory Requirements / applicable standard or codal requirements c) Requirements found necessary for overall management and control of

project / service.

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2.3 The mechanism for maintaining identification and traceability shall be planned and decided. As needed identification & traceability shall be maintained through reference members, markings, tagging, colour coding, code numbering etc. to:

a) Prevent mix-up during handling, processing and usage b) Ensure that only materials / documents / works which meet specifications

are used / cleared c) Enable recalling / other suitable corrections on the defective material /

documents / works activities d) Enable tracing back of defective material / consignments / documents /

process activities to their source wherever required contractually. 2.4 Traceability shall enable tracing back the history of the material /

documents / works through its records, markings, tagging, code numbering etc. Traceability requirements shall include the extent of traceability to be maintained. It shall be ensured that wherever traceability is a requirement, unique identification is provided to each batch / unit of material / document / work executed, for which records shall be maintained.

2.5 Identification & traceability relating to various documents shall ensure that

they are be kept identified / traceable / filed in well-identified folders / files, so that they are well connected, retrievable for usage. Various projects executed by RITES shall also be given a unique code for financial and administrative convenience.

2.6 The inspection & test status of inspected / tested / verified materials

handled shall be maintained through means such as stickers, markings, tagging, storage in identified areas or accompanying records etc. preventing any possibilities of loss of this status and mix up.

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2.7 The Inspection & Test /Review status of works / service executed as conforming / non-conforming / requiring modifications, repairs etc. throughout the service realization cycle shall be brought out through the relevant records in general. Where any specific mechanism for maintenance of this status is required, the same shall be included in the relevant Plans / documented procedure.

III. REFERENCES:

i) SBU level relevant procedures on Identification & traceability and Status.

ii) F&A Procedure on project coding.

QUALITY MANUAL

ISO 9001:2008

CUSTOMER PROPERTY

(Clause 7.5.4 of ISO 9001: 2008)

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I. OBJECTIVE & SCOPE: This chapter provides the policy to ensure that customer property received

for execution of projects / service are controlled with respect to their verification, storage, maintenance, etc. Customer property includes: a) Equipment, and machinery required to be installed, supplied by

customer. b) Machinery, instrumentation, material handling equipment and

laboratory facilities etc. made available for execution of the project. c) Infrastructural support facilities / services such as office

accommodation, logistics, transportation and other related services. d) Documents and intellectual property such as drawings, layouts,

reports, survey data etc. e) Representations, requests, Certificates, Bills, etc. received from

employees by Personnel, F&A and other internal services. II. POLICY: 1. The policy shall be implemented by all SBU Heads through Concerned

Project Coordinator / activity heads in line with their procedures on the subject.

2. All customer property including intellectual property received for the

execution of any project / service shall be suitably identified, preserved, protected and safeguarded to ensure their correct usage.

All customer property items required for execution of a service / project shall be identified as a result of contract review and during planning stage.

2.1 It shall be ensured that all customer property items which are directly

responsible for / related to the quality of service are controlled with respect to the following:

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ISO 9001:2008

CUSTOMER PROPERTY

(Clause 7.5.4 of ISO 9001: 2008)

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a) All such items on receipt are verified to ensure their conformity to the specifications, suitability / adequacy for the use and the quantities involved.

b) They are identified to maintain their status as customer property

items. Appropriate records of receipt are maintained. c) Any such item which does not meet the specifications, suitability /

adequacy / quantity requirements as needed are brought to the notice of the customer and necessary records are maintained. Mechanism for further disposal / use of any such item is decided.

d) Proper storage, maintenance and usage of customer property items

is ensured so that any damage, deterioration, loss of the same is avoided and the quality of the same is maintained. In case of any non-conformity occurring to the same, corrective / preventive action is identified and as required the same is informed to the customer. Appropriate records are maintained.

e) In case of items such as machinery, material handling equipment,

instrumentation and facilities such as workshop facilities supplied by the customer for executing the project, proper maintenance and suitability of the same is ensured before usage of the same.

f) In case of infrastructural facilities provided by the customer, at the

time of their handing over by the customer their suitability and adequacy is examined to ensure that they will serve the intended purpose during the project duration.

2.2 Responsibilities shall be designated and mechanism developed for usage

of customer property in line with service / project requirements under appropriate controls at SBU level.

III. REFERENCES:

i) SBU level relevant procedures on control of customer property.

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ISO 9001:2008

PRESERVATION OF

PRODUCT (Clause 7.5.5 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This chapter provides the policy to ensure appropriate preservation of

materials, products, documents during the execution of projects/ services. It applies to products / materials / documents needed for execution of

projects & services which directly affect the quality of work and are under the custody / supervision of RITES such as:

a) Construction material and other products directly used as project

requirements. b) Other products like Plant, Machinery, Components etc. to be fitted /

installed / commissioned / supplied. c) Work in progress at project. d) Documents such as reports, training course material etc. needed

for execution of consultancy projects. II. POLICY: 1. This policy shall be implemented by Concerned SBU Heads through

Project Coordinators / activity heads. These activities may involve activities carried out by RITES directly or through appointed contractors, as planned, for execution of project /service.

2. At various stages of execution of a project or service all materials,

products, equipment, machinery, components, documents, reports etc needed during the execution of any project / service shall be suitably preserved to maintain their fitness & suitability and prevent any damage / deterioration, through activities like identification, handling, storage, packaging & protection etc. as applicable, thereby ensuring their conformity to specified requirements.

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2.1 Identification:

All materials, products, equipment, machinery, components, documents etc. needed to be handled / considered during the execution of any project / service shall be maintained well identified & accounted ensuring their correct utilization.

2.2 Handling: It shall ensured that adequate means & methods are used and provided

for safe and secured handling of products / materials etc. so that no damage / deterioration to the same or to works takes place, safety in operations is maintained. As needed, project specific guidelines, work instruction or other documents shall be documented, suitable material handling equipment shall be provided and competent personnel deployed to use the same. Adequate supervision / monitoring shall be carried out during execution of Projects, activities of RITES to ensure proper handling.

2.3 Storage: Appropriate maintenance of stores, whether the stores are maintained by

RITES or by appointed contractors, shall be ensured through supervision / monitoring activities. Materials / products at various stages shall be provided suitably safe, secured storage so that no damage / deterioration to quality takes place, safe custody and accountals are maintained.

Verification of quantities, quality on receipt shall be ensured. Material

storage with appropriate storage conditions shall be ensured. Material receipt, issue activities shall be controlled and records maintained, as necessary. Identification, traceability during storage as per the requirements shall be maintained.

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2.4 Packaging: Any requirements for Packaging, Markings etc. required e.g. in case of

export of materials etc shall be identified and implemented to fully meet contractual / internally identified requirements. Supervision / monitoring activity shall ensure effective fulfillment of requirements.

2.5 Protection: Protection of materials, products shall be carried out on need basis to

maintain them against deterioration. The need for protection and the extent shall be identified during project planning stage and work instruction / guidelines shall be developed as per the specific requirements for compliance by RITES personnel / contractors. Monitoring, supervision activities shall ensure compliance to laid down requirements. It shall be ensured that work in progress at various stages is protected / maintained with adequate care during in-process stages so that quality is maintained.

2.6 Preservation of Documents, Reports etc.:

Various documents needed for execution of projects like training materials, reports etc. shall be handled, stored, protected, packaged with due care ensuring that they are kept safe, secured, identifiable and are prevented from being lost, damaged or spoiled during above activities.

III. REFERENCES:

SBU level relevant procedures on Preservation and related aspects.

QUALITY MANUAL

ISO 9001:2008

CONTROL OF

MONITORING & MEASURING EQUIPMENT (Clause 7.6 of ISO 9001 : 2008)

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I. OBJECTIVE & SCOPE: This Chapter brings out the policy related to control, calibration &

maintenance of all monitoring and measuring equipment used during the execution of project / service for monitoring and measurement of identified product / process characteristics. This includes all such equipment whether owned by RITES, on hire or belonging to contractors used for the purpose of the execution of project / service and affecting the quality of project / service deliverables.

II. POLICY:

1. All SBU Heads shall be responsible to implement this policy through

concerned Project Co-ordinators / Activity Heads in line with their own procedures on the subject. Monitoring and measurements to be undertaken as a part of the project / service, shall be determined along with the equipment required for the same.

2. The measurements / monitoring to be undertaken, during the execution of

any project / service, shall be determined and suitable Monitoring & Measuring Equipment shall be made available for providing evidence of conformity to the identified product / process requirements.

2.1 Depending on the project / service requirements the monitoring and

measuring devices used may be:

a) owned by RITES. b) owned by suppliers / service providers such as instruments in site

laboratory maintained by contractor. c) made available by the client. d) hired.

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2.2 Controls shall be exercised on all monitoring and measuring equipment used to ensure the following:

a) Monitoring and measuring equipment / Instruments used shall be

capable of making measurements consistent with the required measurement capabilities. They shall be selected and used based on their accuracy and precision vis-a-vis required measurement capabilities.

b) In case where calibration responsibility rests with RITES (e.g. for

instruments owned by RITES) the process of calibration shall be established with defined acceptance criteria, calibration frequencies, calibration method. In all such cases monitoring and measuring equipment shall be calibrated or verified or both at specified intervals or prior to use.

c) Monitoring and measuring equipment used shall be identifiable to

their calibration / verification records. Before use it shall be ensured that Monitoring and measuring equipment to be used are within their valid calibration period. All calibrations shall be traceable to national / international standards, where no such standards exist, the basis used for calibration shall be recorded.

d) Calibration status of the Monitoring and measuring equipment shall

be maintained / available through suitable indicator or shall be verifiable through record of calibration and identification. Calibration status shall be ensured before usage.

e) Calibration records shall be maintained / kept available / and

verified by project personnel as needed.

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f) Environmental condition required for calibration, inspections measurements shall be maintained at the time of their calibration or usage.

g) Handling, preservation & storage of instruments shall be done in

such a way that their accuracy & fitness for use are maintained. h) Security of setting / adjustments & safeguard against wrong,

unauthorized use shall be ensured, verified before usage. i) Where instruments are found out of calibration, assessment of

validity of previous measurements done with them shall be done.

j) When used in the monitoring and measurement of specified requirements, the ability of computer software to satisfy the intended application shall be confirmed. This shall be undertaken prior to first usage and re-confirmed as necessary.

2.3 Wherever services of outside labs are taken for tests / evaluations, such

labs shall be evaluated ensuring control and calibration of instruments & validity of measurements.

III. REFERENCES:

SBU level relevant procedures on Control of monitoring and measuring devices / inspection, measuring & test equipment.