PROCEDURE ORDER FOR CROSS ACCEPTANCE/APPROVAL OF...

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Prepared By: SSE/D/Signal Checked By : ADE/Signal-EI Issued By: Director/Signal-EI of

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PROCEDURE ORDER FOR CROSS ACCEPTANCE/APPROVAL OF SOFTWARE EMBEDDED ELECTRONICS SYSTEMS AND NEW/IMPORTED TECHNOLOGY PRODUCTS FOR RAILWAY

SIGNALLING

(Applicable from 06.03.2014)

(Ref. RB’s letter No. 2003/SIG/SGF/7 dt. 3/8.10.03 , 03.01.2006, 14.09.2006, 12.01.2007,11.07.2007,31.08.2007,03.06.2010 & Ref. RB’s letter No. 2012/SIG/SGF/7 dt. 06.03.2014)

I. Preface These guidelines are meant for evaluating software embedded electronic systems and

new/imported technology products for Railway signaling, which are already in use on a passenger carrying service anywhere in the world at speed more than 100KMPH, for uniform adoption on Indian Railways using the concept of cross acceptance/cross approval. These form part of the type approval guidelines already being followed by RDSO. The procedure outlined in relevant CENELEC or any other equivalent standards to define and verify the safety requirements form the basis of these guidelines.

II. Object:

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

III. Responsibility of Safety Assurance: (a) RDSO shall be responsible for the overall safety of the system. For proper installation,

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

(b) RDSO shall be responsible for giving safety clearance adopting the guidelines pertaining to Cross Acceptance/Cross Approval for uniform adoption on IR. This will include the System Hardware & Software Platform, Application software for implementing Safety Functions, Communication Interfaces, Input/Output modules, Power Supply (vital) Systems & other related equipment. RDSO may grant (a) General Approval to the system for uniform adoption (b) Approval for Specific Application. Name of such approved suppliers for such imported Signalling systems shall be included in the RDSO’s approved list.

IV. Type of Approvals: (a) General System Approval:

This approval for a particular product/system will be requested by the manufacturer of the system, who will be responsible for submission & authenticity of the documentation. The documentation should be as per procedure laid down. RDSO will evaluate & grant this cross acceptance/approval.

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(b) Approval for specific application:

CSTE may be authorized to give such approvals for specific applications at a few locations for the purpose of trials on his Railways.

Note: In each of these cases, the safety case will have to be made. Safety Case is documentary evidence that the safety system is conforming to and complies with the laid down safety requirements for it. Therefore, General System Approval Safety Case & specific application Safety Case will have to be prepared in accordance with relevant CENELEC or equivalent standards & submitted to RDSO or CSTE as the case may be for assessment.

V. Applications:

These guidelines shall be applied for evaluation & acceptance of all Software Embedded Electronic Safely Systems and New/Imported Technology Products for Railway Signalling for provision on IR. Some of these systems are Universal Fail Safe Multiplexer, Digital Axle Counter, Electronic Interlocking, TAWD, TPWS (a variant of AWS), AFTC (Audio Frequency Track Circuit) etc.

VI. Procedure: 1. The manufacturer/supplier seeking approval on the basis of cross acceptance/cross

approval for software embedded electronic system and new/imported technology products for Railway signaling shall have to purchase a Registration Booklet from RDSO & duly filled-up Booklet shall be submitted to Sr. ED/Signal/RDSO along with all the support documents in compliance to all provisions of this procedure order. A Xerox copy of the money receipt shall also be submitted.

2. Based on the information furnished by manufacturer/supplier, capability assessment

shall be done, if required, by RDSO. Manufacturer/ supplier shall submit all the necessary papers in support of their credentials including financial status. Copy of agreement for tie up with original manufacturer shall be submitted.

3. Manufacturer/supplier shall depute his technical personnel for technical clarifications

when required by RDSO. 4. The manufacturer/firm shall submit a Safety Plan to RDSO for evaluation of the

system/equipment for Cross Acceptance/Approval. All documents shall be prepared in English language, checked & verified & marked appropriately indicating their version number, no. of alterations, etc.

5. (a) Safety plan shall be prepared and submitted. This will include:-

(i) System description, which includes the system architecture /configuration, system design & safety principle adopted for hardware & software.

(ii) Safety Integrity Level of the system (iii) Safety case

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(b) Manufacturer shall check and verify that the system being offered meets the requirement of safety integrity laid down by Railways.

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

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

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

(iii) Details of agencies, which have done software/hardware validations. (iv) Criteria adopted and assumption made. (v) Documentation of these approvals, including trials, tests & measurements and

simulation carried out. (vi) Restrictions, precautions, conditions or limitations imposed while giving clearance

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

(viii) Details/documents related to installation, functional operation, maintenance &

modifications. Part list, wiring diagram, cable requirement, and list of tools and measuring equipments along with specification shall be given.

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

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

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

(xii) Routine tests (which must be carried out on each equipment by the manufacturer) and acceptance tests (which are to be carried out on the equipment in the firm’s premises before delivery) formats with test procedures and its significance for safety/reliability assessment of equipment. Sample routine test report/ factory acceptance test reports shall be submitted

(xiii) Details of climatic/EMI (Electro Magnetic Interference)/EMC (Electro Magnetic Compatibility) tests undergone by the equipment. Test reports of an accredited test laboratory (third party) shall be submitted. (The equipment shall also be subjected to environmental tests as per RDSO specification if not already done by some other reputed agency to the specified severity).

(xiv) Clause wise compliance statement to the existing IRS/RDSO specification and statement whether system is suitable for Indian Railway application or will require modifications.

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(xv) Updated history of application has to be submitted in the format as per Annexure ‘B’ for use in passenger carrying service at speeds of more than 100 kmph.

6. The Safety Integrity Requirement/Level for all vital applications for LC gates, station & Block Signaling & Interlocking systems / equipment / Track Circuits to be used on Indian Railways, shall be SIL-4. In case, any system is required to have an SIL other than Safety Integrity Level-4 (SIL-4), RDSO shall obtain the approval of the Railway Board before evaluating the system for Cross Acceptance.

7. Based on the recommendations of RDSO, Railway shall establish all relevant procedures,

system and safety requirements for training, installation testing & commissioning, functional operation, maintenance & modifications for the system. IRISET shall develop courses on the subject and organize training.

8. The evaluation for Cross Acceptance shall normally be in compliance to the relevant

RDSO specifications. In case, RDSO specifications are not available, then, Railway Board’s approval will be obtained for adopting any other specifications to which the equipment/system conforms to. In case of any major deviations from RDSO specifications observed during the process of Cross Acceptance/Inspection, the same shall be referred to Railway Board for obtaining dispensation.

9. (i) Provenness criteria of equipment usage of same Type/Make & Model/Version shall be as

under: -

Sl. No. Category of Equipment/System Minimum no. of Equipment

Equipment Hours in use

1. Digital Axle Counter/AFTC 50 4,32,000

2. AWS (i) On Board Equipment (ii) Track Equipment Balise

25 100

2,16,000 8,64,000

3. Electronic Interlocking i) For wayside station upto 50

Routes ii) For medium & large yards of more

than 50 Routes

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

(b) based on totally new design

approach

25

25

10

2,16,000 2,16,000 86,400

Note 1: For items at S.No. 1,2, 3(i )& 3(ii)(a): At least 20% of the equipment/system, with a minimum of 10, should be in continuous operation for a minimum period of 720 days.

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Note 2: Additional for item at S .No. 3(ii)(a): 25 Nos. is the total equipments commissioned as sub-systems(for wayside stations) as well as built up systems(for medium/large stations). Out of these, a minimum of 10 should be in continuous operation for a minimum period of 180 days as built up systems for medium/large stations.

Note 3: For item at S.No. 3(ii)(b), At least 20% of the equipment/system, with a minimum of 5 should be in continuous operation for a minimum period of 720 days.

Note 4: If the offered equipment has undergone minor hardware/software upgradation to improve functionality/safety of the equipment in recent past, then the equipment utilisation of the earlier version (prior to minor modifications) can be considered for the provenness. However, in such cases, a minimum of 10 (Ten) upgraded equipments should be in continuous operation for a minimum period of 180 days.

10. Indigenization of Equipment:- (a) While applying for cross acceptance, the firm shall clearly state whether it agrees to

indigenize the manufacturing as per details given in following sub-paras (b) to (e), with acceptance of any one of the option in (b) with necessary details.

(b) Indigenization policy to be based on formal acceptance of any one of following options by the manufacture/Vendor:- Option-A:- Stipulating the % Quantity of the Modules &

Parts of the SEERSS for the period of currency of the Cross Acceptance/Approval.

i) 1st three years – 10% of the modules/parts of the approved item. ii) Next two years - 30 % of the modules/parts of the approved item. iii) Next two years - 30 % of the modules/parts of the approved item.

Option B -: Indigenization based on the Quantity Supplied as proposed below for EI, MSDAC & SSDAC:

(i)

Phase Quantity of Equipment Installed % Electronic Modules to be indigenized

EI (No. of Equipment)

MSDAC (No. of Detection Points)

SSDAC(No. of Detection Points)

I 25 1000 500 10% in the next one year after installation of equipments,

II 75 3000 1500 Additional 30% in the next one year after installation of equipments,

III 150 6000 3000 Additional 30% in the next one year after installation of equipments,

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ii) Any further indigenization (Beyond 70%) as stipulated above shall be based on

Manufacturer's/Vendor's proposal with clearance of Signal Directorate of RDSO with regard to evaluation of Capacity and Capability of the Manufacturing Facility, Quality Assurance Testing and Certification Process to be deployed and approval of Director General RDSO.

(c) This policy shall be applicable for all new proposals as well

as vendors, who were approved earlier under cross approval procedure and have not been able to fulfill 100 % indigenization criteria (on or before 06.03.2014). Such vendors shall have to approach RDSO for such an approval.

(d) Stipulations for Indigenization

i) Setting up infrastructure facilities for designing, simulation, testing, modifications and training.

ii) Setting up of an inventory and spare parts support system in India.

iii) Setting up of centre for repair and required level of service.

iv) Indigenization of modules having low level of reliability in local environment conditions.

v) Modules, which cannot be indigenized on account of consideration of IPR, Complex Technology, Volumes etc., may be allowed to be sourced from other countries with the approval of Director General RDSO, till such time facilities are available in the India keeping in view the manufacturing strategy driven by commercial and technical considerations.

(e) When all the requirements of RDSO (other than performance bank guarantee) are

fulfilled, a provisional approval subject to submission of valid performance bank guarantee shall be issued to the firm. The reference number of that approval shall be mentioned in first para of performance bank guarantee enclosed at Annexure ‘D’.

11. The supplier shall have adequate skilled and trained manpower with good expertise in

relevant fields of manufacturing, installation, training, maintenance support etc. Details of these personnel with name, educational qualification, training undergone & experience shall be furnished at the time of approval.

12. Supplier/manufacturer seeking approval shall guarantee for supply of spares during life

of the equipment & extend maintenance support, if required by the Railway/purchaser. 13. The firm shall provide all necessary test facilities to Railway / RDSO’s representative in

their premises in India as prescribed by their principals at the time of approval.

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14. RDSO shall assess the safety case & prepare the assessment report clearly recommending whether the system/equipment is permitted for:-

(a) Fresh trials (b) Extended trials (c) Use on a specific section (d) Uniform adoption / use on Indian Railways (IR)

15. After RDSO is satisfied with the documents submitted by the firm and the firm has

submitted performance guarantee bond for indigenizing the manufacturing, provisional/regular approval shall be given as under:

(a) If minimum 10 numbers of equipments are already working on Indian Railways,

performance of the same for minimum of 50 equipment months shall be evaluated. If this performance is found satisfactory, regular approval shall be granted.

(b) If less than 10 equipments are already working on Indian Railways, performance of these

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

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

(c) If the offered equipment is not already working on Indian Railways, then the provisional

approval shall be given to the firm to deliver first 10 numbers of the equipment. Out of these 10 equipments, initially one number shall be permitted to be provided in parallel. After its satisfactory working for 90 days, it shall be commissioned for regular use. After its satisfactory performance for 90 days, balance 9 systems shall be permitted to be provided and performance of the same shall be evaluated. If the same is found satisfactory as per sub para (a) above, regular approval shall be granted.

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

16. If a safety case certificate is withdrawn or if any problem with the product arises, the

supplier shall inform RDSO immediately. 17. Railways and IRISET may take further action in accordance with approval given by RDSO.

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Annexure’A’ Format for Performance Feedback

1. Name of System/Equipment :

2. Make :

3. Model/Version No. :

4. User Railway & Section :

5. Maximum Sectional Speed :

6. Arrange number of Trains per day :

7. Application of System/Equipment :

8. Problems faced and solutions evolved :

9. Failure data may be submitted as per format given below :

Location No. of System/ Eqpt.

Date of commi-ssioning

Total hours in use

No. of safe side failures

No. of unsafe failures

MTBF MTBWSF MTTR

Total

Annexure ’B’ Format for History of Application

Sl NO

Hardware version No.

Software version No.

Model No.

User Rly.

Station/ Section

No. of Eqpts. In use

In use from date

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Annexure ‘C’

UNDERTAKING FOR INDIGENISATION OF EQUIPMENT

1. I, …………………… authorized signatory of the firm M/s …………… (hereinafter called “the firm”) execute this Performance Guarantee Bond on behalf of the firm.

2. The firm understands that as a result of an application made to the Research Design & Standards Organization, Ministry of Railways, Lucknow (hereinafter called RDSO) we have been granted type approval on cross acceptance basis for our Universal Fail Safe Multiplexer/Digital Axle Counter/ Electronic Interlocking/Train Actuated & Warning Device/Train Protection & Warning System/AFTC having trade name as ……… manufactured & supplied by our principal……………………………………………………………………………….. .

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

4. The firm understands that it has to indigenize the said equipment for which we got type approval in phased program.

Indigenization policy to be based on formal acceptance of any one of following options by the manufacture/Vendor:-

Option-A:- Stipulating the % Quantity of the Modules &

Parts of the SEERSS for the period of currency of the Cross Acceptance/Approval.

i) 1st three years – 10% of the modules/parts of the approved item. ii) Next two years - 30 % of the modules/parts of the approved item. iii) Next two years - 30 % of the modules/parts of the approved item.

Option B :- Indigenization based on the Quantity Supplied as proposed below for EI, MSDAC & SSDAC:

(i)

Phase Quantity of Equipment Installed Electronic Modules to be indigenized

EI (No. of Equipment) Detection Detection Points) Points)

MSDAC (No. of Detection Points)

SSDAC (No. of Detection Points)

I 25 1000 500 10% in the next one year after installation of equipments,

II 75 3000 1500 Additional 30% in the next one year after installation of equipments,

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III 150 6000 3000 Additional 30%

in the next one year after installation of equipments,

I understand that to guarantee this phased indigenization programme, I, on behalf of my firm will submit a bank guarantee in favour of Executive Director/Finance/RDSO/Lucknow (hereinafter called “the Government”) with following details:

i) Guarantee No. : ii) Amount of Guarantee : Rs. 50 lac iii) Issue by Bank : iv) Guarantee cover for 04 years : from …. …..to …. …….(Dates)

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

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

Signed by me /us on …………………. Day of …………… Two thousand ….. Signature with Date & Seal In presence of 1. ……………………………..

…………………………….. ……………………………..

2. …………………………….. …………………………….. ……………………………..

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ANNEXURE-D

PERFORMANCE BANK GUARANTEE (On stamp paper of requisite value)

Ref…………… Date …….. Bank Guarantee No. …………. To THE PRESIDENT OF INDIA Acting through the Executive Director(Finance), Research Designs & Standards Organization, Ministry of Railways, Manak Nagar, LUCKNOW-226011 (U.P.) INDIA 1. Against advance cross acceptance approval letter No. ……… dated ……. (hereinafter called the approval) for the …………… (Name of equipment) offered by M/s ……………….. (hereinafter called the firm) vide their letter no. ……… dated ………., this is to certify that at the request of the firm we…………………………………… …………………… ………… ………… Bank Ltd., are holding in trust in favour of the President of India, the amount of ………………………(write the sum here in words) to indemnify and keep indemnified the President of India (Govt. of India) against any loss or damage that may be caused to or suffered by the President of India (Govt. of India) by reason of any breach by the said firm of any of the terms and conditions of the said approval and/or the performance thereof. We agree that the decision of the President of India (Govt. of India), whether any breach of any of the terms and conditions of the said approval and /or in the performance thereof has been committed by the said firm and amount of loss or damage that has been caused or suffered by the President of India (Govt. of India) shall be final and binding on us and the amount of the said loss or damage shall be paid by us forthwith on demand and without demur to the President of India (Govt. of India). 2. We…………………………………………………………… Bank Ltd., further agree that the guarantee herein contained shall remain in full force and effect during the period that would be taken for satisfactory performance and fulfillment in all respects of the said approval by the firm i.e. till ……. ……………..hereinafter called the said date and that if any claim accrues or arises against us …………………………………………………. Bank Ltd., by virtue of this guarantee before the said date, the same shall be enforceable against us……………………………………………………………… Bank Ltd., notwithstanding the fact the same is enforced within six months after the said date, provided that notice of any such claim has been given to us ……. ………………………………………………………Bank Ltd., by the President of India (Govt. of India) before the said date. Payment under this letter of guarantee shall be made promptly upon our receipt of notice to that effect from the President of India (Govt. of India).

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3. It is fully understood that this guarantee is effective from the date of the said approval and that we…………… ………. …………………… …………….Bank Ltd., undertake not to revoke this guarantee during its currency without the consent in writing of the President of India (Govt. of India). 4. We……………………………………………………… Bank Ltd., further agree the President of India (Govt. of India) shall have the fullest liberty without affecting in any manner our obligations hereunder to vary any of the terms and conditions of the said approval or to extend time of performance by the firm from time to time or to postpone for any time or from time to time any of the powers exercisable by the President of India (Govt. of India) against the said firm and to forbear or enforce any the terms and conditions relating to the said approval and we……. …………………………………….Bank Ltd., shall not be released from our liability under this guarantee by reasons of any such variation or extension being granted to the said firm or for any forbearance and/or omission on the part of the President of India or any indulgence by the President of India to the said firm or by any other matter or thing whatsoever which, under the law relating to sureties, would but for this provision have the effect of so releasing us from our liability under this guarantee. 5. We……………………………………………………….. Bank Ltd., further agree that the guarantee herein contained shall not be affected by any change in the constitution of the said firm. Date ……………….. Signature ……… Place ………………. Printed Name ……………….. Witness …………… ………………………………… (Designation) ………………………….. (Bank’s Common Seal)

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Annexure’E’

Performance of Equipment in Indian Railways

S.No. Name of Division/ Railway

Name of Station

Model & Version No.

Date of installation

No of failures*

Remarks

* Analysis of cause of failures to be attached.

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