AGENDA ITEM: 07
MEETING:
DATE:
SUBJECT:
SPONSOR:
AUTHOR:
1.
RSSB Board Meeting
09 January 2014
Railway Industry Supplier Approval Scheme Stewardship Report
Len Porter
John Abbott
Purpose
This paper is the 2013/14 stewardship report for the Railway Industry Supplier
Approval Scheme (RISAS). The paper summarises the operational performance of
the scheme over the past 12 months, identifies issues and opportunities to be
addressed over the next year and introduces how the scheme is going to develop
over the next 3 years to form a component of the new industry supplier assurance
framework.
2.
Background
2.1
RISAS was authorised by the RSSB board in May 2006 to undertake the assessment
and certification of suppliers of critical products and services, initially for rolling stock.
The scheme was set up by members in response to the Cullen Public Inquiry
recommendation (see Annex A) and is consistent with International Accreditation
and Conformance Certification requirements.
The scheme is based on competent third party assessment bodies (RISABs Railway Industry Supplier Assessment Bodies) being appointed by RSSB to assess
candidate suppliers’ capability to meet industry’s specification. The scheme also
includes formal arrangements for monitoring, feedback, appeals and continuous
improvement.
An overview of the scheme is contained in Annex A.
3.
Operational performance
3.1
Under the direction of the RISAS board, the scheme is designed to efficiently support
Safety Management System (SMS) holder management of supply chain risk though
the rigorous assessment of critical suppliers’ capability to reliably meet contractual
requirements. The operational scheme management and accreditation of RISABs to
deliver this, continues to be provided by RSSB, with the resulting assessment from
this process recognised by all rail clients. This serves to reduce the need for
duplicate audits and frees clients to focus on ‘added value’ supplier performance
management including measures to address culture, behaviour and teamwork.
Today there are 61 RISAS certified suppliers against 128 modules, representing over
75% of the rolling stock heavy maintenance market, whilst 96% of suppliers whose
certification was due to expire have gone on to renew over this period. During the
year the scheme has delivered the following:
 39% increase in number of newly certified suppliers
 28% increase in number of certified product group modules
 Increase in registered applicant suppliers
RSSB Board Meeting Final : 09 January 2014
Page 1 of 4

AGENDA ITEM: 07
Replaced the longstanding Railway Group Standard covering the approval of
wheelset suppliers

Secured agreement with the Rail Industry Supplier Qualification Scheme
(RISQS) board to cease separate Link-up audits of wheelsets, wheelset
components and bogie overhaul

Completed certification of all three Rolling Stock Leasing companies (ROSCOs)

Four TOC rolling stock maintenance depots have now secured certification
(including three in the last year)

Letter of continued encouragement and support received from the ORR

Increased engagement with TOCs through the new ATOC Supply Chain Forum
with 1:1s taking place with TOCs/Parent Companies

Instigated Quarterly newsletters to stakeholders and other interested parties
Further information on the development scheme can be found in Annex B and C
3.2
Progress is broadly in line with the RISAS Business Plan which sets out milestone
targets for development of the scheme by supplier and product module and the
scheme has gone some way to meeting the intent of the Cullen Public Inquiry
recommendation that led to the scheme’s creation. However, on re-examination of its
wording it is also clear that much remains to be done and therefore the industry
needs to move forward with implementation of the board sponsored supplier
assurance project. What is apparent is that the capability of RISAS is going to
continue to be required to assess safety critical suppliers and that there is potential
for it to take a wider role in this respect.
3.3
An important milestone was achieved with the implementation of all
recommendations that arose from the independent ‘lessons learnt review’ that was
commissioned in the aftermath of the termination of a RISAB. As a consequence, all
scheme documentation has been completely overhauled.
3.4
Railcare Limited, a key supplier to the industry, entered into administration over this
period and the scheme was tested in terms of its ability to address this kind of
challenge.
Maintenance of RISAS certification was stated by the Administrators as being key to
the sale of the company as a going concern. The scheme intervened immediately to
ensure that the efficacy of this certification was maintained following the
announcement of significant redundancies and to ensure that despite this, the
necessary staff competences remained in place and to the standard required.
An action plan and additional management controls were agreed and put in place in
order to monitor and ensure that this situation was maintained throughout
Administration, the transfer of responsibility on point of sale to the new owners Knorr
Bremse and integration of the company into their organisation. The RISAB
responsible for this continues to work with the new owners and to oversee this
process, with formal RISAS re-assessment due early in 2014.
3.5
The resourcing and capability of the scheme’s management, Accreditation Agency
and its RISABs remains critical to the continued success and sustainability of the
scheme, but it is anticipated that in the future their ‘expert resources’ will need to be
replaced and/or be limited in terms of their availability. Steps are therefore being
taken to address this, particularly as it is also anticipated that the current scope of the
products and services covered by the scheme will widen significantly beyond
RSSB Board Meeting Final : 09 January 2014
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AGENDA ITEM: 07
overhauled commodities as it responds to both the RISQS developments and other
stakeholders’ requirements, e.g. GSMR, ERTMS, brake pads and other critical
consumables. Furthermore, the recent announcement by the ORR of its decision to
transfer responsibility for Entities in Charge of Maintenance (ECM) delivery to the
United Kingdom Accreditation Services (UKAS), subject to technical resource support
from RISAS, places further demands on these scarce resources (see 4.1).
3.6
Issues identified by RISABs with suppliers’ operation of competence management
systems during assessments were addressed and new guidance developed and
issued to all RISABs, certified suppliers, applicant suppliers and other interested
parties. One year on, this guidance has been well received and the return on
experience by RISABs when undertaking supplier assessments suggests that
through its adoption into suppliers’ quality systems it is supporting enhancement of
competence management.
More information on the guidance is available in the following link:http://www.risas.co.uk/RISAS/RISAS_Marketing/EngineeringExcellenceIntoCompete
nce.pdf
3.7
In addition to the programme of regular meetings between RSSB and the RISABs,
held to follow up on the above matters and to maintain progress; RISABs now
formally meet with the RISAS board to take the opportunity to directly and openly
discuss scheme operations and its future development.
3.8
The RSSB Scheme Management and Accreditation Agency budgets for RISAS
delivery in 2012/13 is £201k, a small cost relative to the overall cost to industry of
assurance.
4.
Issues and opportunities
4.1
ECM and UKAS
European legislation has been developed in the form of ECM to implement consistent
procedural controls in each member state for the maintenance of freight vehicles
which can be ‘touched’ by many parties during a single journey across Europe. ECM
is being implemented in GB under the governance of the ORR and scope exists to
use the RISAS approach both in this context and in the event its adoption is extended
to passenger operations.
The board are invited to note that RISAS scheme product group SO1 which has
already been applied to ROSCOs, meets these requirements.
As stated at 3.5, following an approach by the ORR in October 2013, UKAS is to take
on the responsibility for ECM delivery and with the ORR confirming at that time that it
would regard RISAS as providing suitable functionality to support UKAS in delivering
this obligation, the Accreditation Agency is currently engaging with UKAS and the
ORR in respect of this development.
4.2
Procurement and logistics suppliers
Third party suppliers of procurement and logistics services play an important role in
the provision of rolling stock spares. Many of the products and services they provide
to industry are of a critical nature and can import significant risk. This has therefore
been identified as a prime example of where RISAS has a part to play in assuring
suppliers’ capability in meeting industry’s specification for this service.
Following a pilot exercise with one of the leading companies in this sector, an
assessment module has been developed and it is planned to make this available for
application by RISABs in 2014.
RSSB Board Meeting Final : 09 January 2014
Page 3 of 4
4.3
AGENDA ITEM: 07
The RISAS board has been determined to enhance engagement and to make sure
that the current capability of the scheme is understood and properly utilised by SMS
holders. It has worked closely with all stakeholders in order to achieve this, with a
new quarterly RISAS newsletter issued to publicise scheme performance and
developments. Liaison also takes place with ATOC’s new Supply Chain Forum and
its buyer/supplier community membership in order to ensure their requirements are
taken into account in scheme operations, delivery and future scoping of the scheme.
5.
Business Plan and the transition to new industry supplier assurance
arrangements
5.1
The RISAS board are developing a new business plan commencing in April 2014 for
CP5. The plan is expected to address the following:
a) Maintain effective operational delivery of the current scheme until it migrates into
the new supplier assurance arrangements for rail
b) Develop the functionality of the scheme to meet additional requirements of
stakeholders
c) Work with ORR and UKAS to efficiently meet ECM requirements
d) Obtain UKAS accreditation
e) Work with the RISQS board and industry to develop and implement new supplier
assurance arrangements for rail
f) Stakeholder engagement and support
g) Risk register and mitigation actions including resource sustainability
The RISAS board responded to the RSSB Strategic Plan consultation and the CP5
business plan will define the RSSB roles, resources and funding necessary to deliver
the scheme.
5.2
As referenced in the earlier paper, the RISAS board recognise that coordinated plans
are now required for the development and implementation of new supplier registration,
qualification and assurance arrangements to efficiently and effectively support the
modern rail industry as identified in the board sponsored supplier assurance project.
Work to develop these new arrangements has commenced in conjunction with the
RISQS board and is expected to see the 2 schemes converge towards the end of the
Plan period to provide an integrated and risk based control framework to support both
buyers and suppliers. These plans will include defining the role to be played by RSSB
and the appropriate means of funding.
5.3
The RISAS board chairman will expand on paragraphs 3.2, 5.1 and 5.2 at the meeting.
6.
Recommendations
The board is asked to:

NOTE the significant developments over the last 12 months and the
intended direction of its new 3 year plan from 2014.

SUPPORT the RISAS board’s approach to work with the ORR and
UKAS in respect of recognition for RISAS within the ECM regime.

ENCOURAGE greater use of RISAS by duty holders.

SUPPORT continued good engagement of duty holders with the RISAS
board to ensure that needs are met in support of SMS compliance.
RSSB Board Meeting Final : 09 January 2014
Page 4 of 4
AGENDA ITEM: 07
Annex A
Cullen Recommendation 24 states that:“Suppliers of products or services of a safety-critical kind for use on, or in
regard to, the railways of Great Britain should be required to hold an
accreditation as a condition of being able to engage in that activity”
RISAS is organised as follows:-
RSSB Board Meeting Final : 09 January 2014
ANNEX A Page 1 of 1
Annex B
RISAS Business Plan Supplier Targets
Chart 1: Growth of New Suppliers
Chart 2: Growth Suppliers’ scope of approval
A description of Product Groups is contained in Table 1 of Annex C
RSSB Board Meeting Final : 09 January 2014
ANNEX B Page 1 of 1
Annex C
RISAS Certified Suppliers
Table 1: Scheme Product Group Listing
Code
Product group name
M01
M02
M03
M04
M05
M06
M07
M08
M09
S01B
S01C
S01D
S01E
S04B
S04C
S04D
S04E
Running Gear
Brakes and Pneumatics
T&RS Mechanical Equipment
T&RS Electrical Equipment
T&RS electric traction equipment
T&RS diesel traction equipment
T&RS Transmission
Trainborne safety/ monitoring equipment
Doors and Windscreen Equipment
Procurement of Vehicle System Maintain & Overhaul
Procurement of vehicle Mileage based overhaul
Procurement of vehicle Time based overhaul
Procurement of Vehicle System Modification
Delivery of vehicle System Maintenance & Overhaul
Delivery of vehicle Mileage Based Overhaul
Delivery of vehicle Time Based Overhaul
Delivery of vehicle System Modification
Table 2: Suppliers newly certified in the past 12 months
Suppliers Newly Certified (in the past 12
months)
Company
Alstom Transport - Parts & Modernisation
Bombardier - Ilford
Bombardier Transportation GmbH
David Brown Gear Systems Ltd
DCD Ringrollers
Faiveley Transport Ltd - Tamworth
Firth Rixson Metals Limited
Gutehoffnungshtte Radsatz GmbH
Merseyrail Electrics 2002 Ltd
Northern Rail Ltd - Allerton TMD
Northern Rail Ltd - Newton Heath TMD
Porterbrook Leasing Co Ltd - & Porterbrook
Maintenance Ltd
Sabre Rail Services Ltd
RSSB Board Meeting Final : 09 January 2014
Number
of
product
groups
Product Groups
1 M05
4 M03, M09,
S04C, S04D
1 M01
2 M01, M07
1 M01
5 M02, M04, M05,
M08, M09
1 M01
1 M01
3 M1, M02, M03
1 S04B
2 S04B, S04D
4 S01B, S01C,
S01D, S01E
3 M01, M02, M05
Certification
Start Date
20/05/2013
16/05/2013
16/10/2013
03/06/2013
30/10/2013
22/02/2013
01/10/2012
26/01/2013
11/12/2013
06/12/2013
06/12/2013
13/11/2013
31/01/2013
ANNEX C Page 1 of 3
Swasap pty ltd
Taiyuan Heavy Industry Railway Transit
Equipment Co.,Ltd
Valdunes - Dunkerque
Valdunes - Valenciennes
Voith Turbo GmbH & Co.KG
ZF Services UK Ltd
1 M01
1 M01
28/02/2013
28/11/2013
1
1
2
2
M01
M01
M01, M07
M01, M07
06/05/2013
06/05/2013
24/07/2013
25/10/2013
Product Groups
Certification
Start Date
3 M01, M02, M05
27/03/2013
4 S01B, S01C,
S01D, S01E
1 M01
1 M01
1 M01
31/08/2012
4 M01. M02, M05,
M07
6 M01, M02, M04,
M05, M07,
S04C
1 M01
1 M01
1 M01
3 M01, M05, M07
12/07/2013
3 M01, M03. M07
31/10/2013
2
1
1
3
07/08/2013
08/11/2013
28/11/2013
21/12/2012
Table 3: Suppliers re-certified in the past 12 months
Company
Alstom Transport - Manchester Traincare
Centre
Angel Trains Limited
Brush Traction
DB Regio Tyne & Wear Ltd
Jinxi Axle Co., Ltd
KLW INTERPIPE NTRP
Knorr-Bremse RailServices (UK) Ltd –
Springburn
Knorr-Bremse RailServices (UK) Ltd –
Wolverton
Lucchini UK
Masteel
MWL BRASIL RODAS & EIXOS LTDA
Northern Rail Ltd - Heaton TMD
C
Certification renewed in past 12 months
Axiom Rail
Bahntechnik Brand-Erbisdorf GmbH
Bochumer Verein Verkehrstechnik GmbH –
Ilsenburg
Bombardier - Crewe
Number
of
product
groups
Plasser & Theurer
Plasser UK Ltd - West Ealing
Robel - Bahnbaumaschinen GmbH
Siemens AG Austria - Graz
South Devon Railway Engineering
Tecforce Ltd
Voith Turbo Limited - Croydon
Voith Turbo Limited - Greenford
1
2
1
1
1
1
2
4
Wabtec Rail Scotland
1
RSSB Board Meeting Final : 09 January 2014
M01, M07
M01
M01
M02, M03,
S04C
M01
M01, M02
M01
M01
M01
M02
M01, M07
M01, M03, M06,
M07
M01
01/04/2013
11/11/2013
11/11/2013
10/01/2013
20/03/2013
08/11/2013
30/08/2013
27/04/2013
30/08/2013
30/07/2013
27/06/2013
15/08/2013
15/12/2012
31/07/2013
24/04/2013
24/04/2013
28/06/2013
ANNEX C Page 2 of 3
Table 4: Suppliers with ongoing certification
Company
Faiveley Transport Ltd - Birkenhead
Knorr-Bremse Rail Systems (UK) Ltd
L H Group Services Ltd
Existing Suppliers
Existing Suppliers
AKS Machining Ltd
Bochumer Verein Verkehrstechnik GmbH Bochum
BONATRANS GROUP a.s.
CAF,SA
Eversholt Rail (UK) Ltd
L H Group Wheelsets Ltd
LUCCHINI RS S.p.A.
Nippon Steel & Sumitomo Metal Corporation
Pullman Rail
Rail Door Solutions Ltd
Riley & Son (Electromec) Ltd
Unipart Rail
Vossloh Kiepe UK Limited
Wabtec Rail Limited
Wabtec Rail Scotland
RSSB Board Meeting Final : 09 January 2014
Number
of
product
groups
Product Groups
Certification
Start Date
1 M01
1 M01
01/03/2012
01/03/2012
1 M01
1 M01
4 S01B, S01C,
S01D, S01E
3 M02, M03, M08
3 M02, M08, M09
4 M01, M05, M06,
M07
2 M01, M07
1 M01
1 M01
4 M01, M02, M05,
M07
3 M09, S04B,
S04E
1 M01
3 M01, M02, M05
1 S04E
6 M01, M02, M05,
M07, S04C,
S04D
1 M07
30/03/2012
20/02/2012
11/10/2012
29/03/2012
07/02/2012
25/10/2011
25/10/2011
28/09/2012
01/03/2012
15/12/2011
07/08/2012
01/07/2012
31/05/2012
26/10/2012
31/10/2012
29/06/2012
ANNEX C Page 3 of 3