risas.co.uk

1. www.risas.co.uk Welcome to RISASThis presentation aims to introduce you to RISAS, Explain what it is and how you can be involved in it.

2. Railway Industry Supplier Approval SchemeWhat is it?How does it work?Who pays?Why should I join it?

3. What is it? RISAS is a cross-industry scheme which provides ORR supportedtransferable assurance of the quality of safety critical products and services suppliers for rolling stock overhaul.It provides a third party assessment process which assesses the shop floor attitudes as well as processes of suppliers.It is managed, on behalf of the industry by a Board with senior cross-industry representation.

4. How does it work? • Instead of each stakeholder auditing each supplier separately – • Accreditation Agency accredits Approval Body • Approval Body certifies supplier for specific scope • Stakeholder accepts certification of supplier for that scopeSee diagram

5. Who pays? • Supplier pays Approval Body for assessment • Approval Body pays Accreditation Agency (RSSB) for accreditation • RSSB pays for administration costs of scheme

6. Why should I join it? • Stakeholder – • Assurance without need for individual audits • Accountability through RSSB support • Scheme approved by ORR • Supplier – • Reduces audit burden • One robust assessment saves money in the longer term

7. Detailed Content BackgroundExplaining the Scheme Buyers SuppliersRISABsThe RISAS BoardAccreditation AgencyRISAS IT ApplicationScheme Administrator Documentation Product GroupsFAQ

8. Background • Cullen Report recommended that the industry improve control over criticalcomponent overhaul – Cullen 24. • Industry was given 24 months to develop a process, or the alternative would be legislation. • ATOC with the RSSB managed a cross industry working group that developed RISAS. • The working group was made up of TOCs, FOCs, ROSCOs, NR, RSSB and RIA. • RISAS was formally launched on 23rd May 2006

9. ORR have stated that: HSC decided not to regulate in this area as,“Industry has since developed the Rail Industry Supplier Approval Scheme (RISAS). RSSB has taken the lead in developing a system comprising an accreditation body, approvals bodies, an IT application to facilitate the process, and a Board to oversee the scheme”.“We therefore consider adequate action to have been taken to regard this recommendation as completed”.

10. Explaining the Scheme • Instead of each stakeholder auditing each supplier separately – • The Accreditation Agency accredits Approval Bodies against the product groups • The Approval Body certifies suppliers for a specific scope chosen from the product groups • The Stakeholder accepts the RISAS certification of the supplier for that scope • The scheme is administered using an IT application on this websiteSee diagram to show how the scheme works and the role of the players

11. Explaining the Scheme RISAS Board Oversees Oversees Scheme Administrator AccreditationAgency Accreditation Agency Oversees Accredit View public data Register Visitors I.T Application ApprovalBodies Database of Product Groups Find Certificated suppliers Assess Certificate Customers Suppliers i. Standard ii. Engineering change ' PlaceContracts

12. Buyers The assurance provided by RISAS, along with an appropriate monitoring regime, replaces the need for buyers, to conduct general audits of SuppliersRISAS is the only supplier approval scheme recognised by the ORRYou can buy from RISAS Approved suppliers Safe in the knowledge that they have been approved to the highest standardBy purchasing from RISAS certified suppliers you are doing everything reasonably practicable to ensure safety within your procurement process

13. What RISAS means to a Buyer: • Assurance – the stakeholders can depend on the RISAS scheme to support the safety regime without the need for individually managed audits. • Accountability – RISAS has been set up under the auspices of the RSSB which provides a formal independent framework for the governance of the scheme. • ORR approved scheme

14. Suppliers • Suppliers are certified by RISABs • Suppliers apply to a RISAB for certification via the RISAS IT Application - www.risas.co.uk. • The Supplier Assessment Module sets out the assessment process - RISAS/003/01. • Supplier and RISAB hold a preliminary planning meeting which includes agreeing the product group(s). • The RISAB conducts on-site assessment. • Supplier and RISAB hold close-out meeting to agree non-conformities.

15. Suppliers • The RISAB prepares assessment report, which is signed off when nonconformities are closed-out. • RISAB lodges final assessment report on the RISAS IT Application. • The Supplier’s RISAS certificate is then listed on the RISAS IT application for its period of validity.

16. What RISAS means to a supplier: • Offers ‘one’ route for certification. • Reduces audit burden. • Facilitates continuous improvement for responsible suppliers. • Focuses dialogue with industry

17. RISABs • RISABs carry out the RISAS supplier Certification process. • A potential RISAB must first apply for accreditation via the RISAS IT application - www.risas.co.uk. • The Accreditation Agency will conduct a preliminary assessment of the applicant, which includes agreeing the product group(s). • Following initial acceptance the potential RISAB submits details of how it will meet the requirements of RISAS/004/01.

18. RISABs • 'The Accreditation Agency will carry out a detailed assessment of the potential RISAB’s systems, processes and personnel' • Successful accreditation for a defined product group(s) including any conditions, limitations and surveillance requirements will be granted by the Accreditation Agency • RISAB Accreditation will be listed on the RISAS IT Application.

19. What RISABs deliver to RISAS: • RISABs have assessment competence. • RISABs have product knowledge. • RISABs have railway industry knowledge. • RISABs deliver structured, professional judgement leading to dependable Certification.

20. The RISAS Board • Act as the custodian of RISAS and manages it on behalf of industry. • Promote the use of RISAS across the industry. • Oversee the Accreditation Agency. • Oversee the Scheme Administrator. • Operate the process for handling appeals. • Report to the RSSB Board overall performance. • Identify changes to RISAS which might have an effect on RSSB’s liabilities.

21. Accreditation Agency • The Accreditation Agency role is performed by the RSSB. • The Agency accredits the Railway Industry Supplier Approval Bodies (RISABs). • The Agency is the sponsor for the RISAS documentation. • Accreditation is carried out in accordance with document RISAS/004/01

22. IT Application • The IT Application holds details of all RISAS Certified suppliers and Accredited RISABs including their applicable product group(s). • The application can be found at www.risas.co.uk • All applications for RISAS Certification and RISAB Accreditation are made via the IT Application. • Product Groups can be identified on the IT Application. • All scheme documents can be down loaded from the IT Application.

23. Scheme Administrator • Is a central point of contact for Users of the RISAS IT Application. • Processes new user account requests. • Receives and actions feedback raised by users. • Progresses appeals lodged through the IT application. • Reports to the RISAS board on the usage of the IT Application. • The Scheme Administrator can be contacted on 0207 904 7676 or at risas.admin@rssb.co.uk

24. Documentation • Additional documentation to accompany this presentation. RISAS001/01 RISAS002/01 RISAS003/01 RISAS004/01 Product Groups Frequently asked questions • The most up-to-date versions of all documents are available on the RISAS website www.risas.org.uk

25. Product Groups • RISAS product groups are broken down into 3 levels. • The breakdown of the product groups provide logical divisions for supplier assessments. • Product Groups document is available. RISAS • Is currently about the overhaul of material that is removed from a vehicle. • At present, it does not include the running repair or maintenance that is typically carried out at depots. • Items which are only bought new or scrapped at overhaul are not listed.