Bible of Vendor Audit

SUPPLIER EVALUATION, APPROVAL & REVIEW PROCEDURE 2010
Including Amendment 01 dt: 12.04.2010, Amendment 02 dt: 16.08.2010, Amendment 03 dt: 11.09.2012
Corporate MM
BHARAT HEAVY ELECTRICALS LIMITED
New Delhi
Chapter- III Supplier Registration and Assessment Procedure
Document No. Revision No. Page No.
AA:MM:SR:01 01 06 of 23
SUPPLIER REGISTRATION AND ASSESSMENT PROCEDURE

1.0 INTRODUCTION The system aims to select reliable and quality conscious suppliers. The formats for assessment of supplier are based on numerical rating to minimize subjectivity. 2.0 SUPPLIER REGISTRATION AND ASSESSMENT 2.1 The suppliers shall fill up the following Supplier Registration forms (SRF) as applicable: Category of Supplier (A) a) Indigenous Annexure II FORM Page no. 1-10 11-12 13 1-10
b)
c) (B)
Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal Foreign Contractor
II
Type OS QS TC OS
III VI
1-2 1-10
Parameters marked with * in SRF carry scores. 2.2 Supplier Registration Process The process of source selection consists of following stages: 2.2.1 2.2.2 2.2.3 3.0 Information Stage Assessment Stage Registration Stage Information stage The information about suppliers is received in Supplier Development Cell. Some of the sources of data are as follows: a) Supplier approaches directly. b) Information received through various disciplines of organisation such as Engg./MM/ Technology etc. c) Through Web search/ News papers/ Magazine/ Business Catalogue / Exhibitions/ Seminars / Electronic media etc. d) Suppliers technically qualified in Open Tenders e) Customer/ collaborator recommendation 3.1 Recommended guidelines for dealing against each of above situation.
3.1.1 For S. N. 3.0 (a), (b) and (c), the documents sent by suppliers will be scrutinized by SDC/SRC and referred to Convener of the concerned MISCC for review by MISCC. The MISCC may recommend any of the following: a) The item is not required.
AA:MM:SR:01 01 07 of 23
b) There are sufficient numbers of suppliers and the applicant supplier is not required. The unsuccessful applicants shall be accordingly communicated within five days of the MISCC recommendation by SDC. c) In case item is required, supplier may be advised to download the Supplier Registration Forms from www.bhel.com and submit the same to SDC/SRC. 3.1.2 4.0 For S.N. 3.0 (d) and (e), in case of un-registered supplier, the necessary Supplier Registration Form may be got filled up from the supplier by concerned MM group and submitted to SDC/ SRC. Assessment Process: The supplier under 2.1 (A) (a) & (b) shall fill the Supplier Registration Forms given in Annexure II for assessment on the basis of following three criteria: a) Organisational Soundness b) Quality System c) Technical Competence - Part A - Part B - Part C - specific Technical Competence, if required, to be filled later on when sent to supplier by BHEL.
The parameter with * marks shall be the scoring parameters. The registration of suppliers shall be based on the marks scored. 4.1 Organisational Soundness will be judged on the basis of information furnished by the supplier on the following aspects: General information about organization, which includes:a) Ownership information; b) Financial information; c) Registration particulars d) General Manufacturing facilities e) Industrial relations The forms placed at Part-A of Annexure II relate to Organisational Soundness. Supplier must answer all questions 4.2 Quality System will be judged on the following aspects: a) Incoming material control b) Process Control c) Control of Non-conformance d) Control of measuring & monitoring device e) Conformance to safety requirement f) Customer Supplier communication The forms placed at Part-B of Annexure II relate to Quality System. Supplier must answer all questions 4.3 Technical Competence For jobs to BHEL design & technology: The technical competence of supplier will be judged on the basis of his understanding about BHEL product specification and its criteria, the process capability of the machines available with the supplier and the experience of the manpower For jobs procured on the basis of performance specification (Design & Technology is of supplier): As design and technology is of supplier, BHEL cannot give the dimensional tolerances but only specify the performance specifications in following manner:

a) Critical performance specifications b) Major performance specifications c) Minor performance specifications
AA:MM:SR:01 01 08 of 23
While assessing the supplier for performance specification, following should be examined: (i) Design capability for the product to achieve the desired performance specification (ii) Quality Control Plan & verification of its implementation & acceptance criteria (iii) Process capability to produce critical components & major components (iv) Adequacy of final product testing Part C of Annexure II relates to technical competence assessment. If specific technical competence is not required, then 15 marks may be distributed on pro-rata basis to Common Technical Competence so as to arrive total of 25 marks for evaluation. 5.0 5.1 Assessment Stage On receipt of filled-up Supplier Registration Forms, SDC will send an acknowledgement to the supplier within five working days. MISCC shall scrutinize the registration forms, if required, with the help of TCA. If the supplier, prima facie, is found suitable/ required, MISCC will send the product specific Technical Competence form (along with specification, standard, drawing etc, if necessary) directly/ through SDC to the supplier for his response. Subsequent to receipt of the suppliers response, MISCC / TCA will assess the reply along with the SRF and complete the marking as per Score Sheet (Part D) in Annexure II. On the basis of suppliers score and other information given by supplier, MISCC will give any of the following recommendations within one month. If supplier is not found up to the mark at any stage during process of registration, SDC will be intimated accordingly for onward communication to the supplier.
5.2
5.3
5.3.1
5.3.2 5.3.3
Supplier can be considered provided he makes improvements in the indicated areas. Supplier can be considered but visit to suppliers works is required for assessment. For this purpose, SDC will coordinate formation of Supplier Evaluation Team consisting of members from concerned purchase, quality and engineering / technology / indenting departments. The team shall comprise minimum two members, one of whom shall be a certified Assessor. The members of the Supplier Evaluation Team will verify the information given by the supplier in the SRF, Technical Competence form and any other issues necessary to register the supplier. The team will give marks in the Score Sheet Part D and sign the same. MISCC will review the assessment report of the Supplier Evaluation Team and give final approval to SDC.
5.3.4
It is decided to develop the supplier through development indent route for which Development code shall be approved by MISCC. Based on the details submitted/supplier visit made, if the supplier qualifies for registration, the supplier shall be approved by MISCC for permanent code / trial code. Registration stage: Based on the approval of MISCC, registration of the supplier shall be done as per procedure in ChapterIV.
5.3.5 6.0
7.0
Numerical rating is assigned for each parameter. Scoring will be done as per Part-D (Score Sheet) of Annexure II.

8.0 Assessment Criteria
AA:MM:SR:01 01 09 of 23
Assessment criteria shall be as per the numerical rating assigned to each parameter and scoring will be done as per Part D (Score sheet) of Annexure II. 9.0 Cycle Time for Supplier/ Contractor Registration: On receipt of a Supplier Registration Form, the SDC, within one month, shall seek any information on the missing Annexures and details only once. This complete registration form will be sent by SDC to concern MISCC(s). MISCC(s) may seek (if required) clarifications from the supplier only once. Seeking repetitive clarifications is not allowed unless further clarifications relate to reply received against earlier clarification. After receipt of complete Supplier Registration Forms (with relevant annexure and details), the evaluation shall be completed within three months (including visit, if required). SDC shall raise an exception report on half yearly basis on the supplier applications pending b eyond the stipulated time frame, and submit the report to respective MISCCs for review. For Contractor registration in PS-Regions, role of SDC & MISCC would be performed by SRC.
Chapter- IV SUPPLIER REGISTRATION
AA:MM:SR:01 01 10 of 23
SUPPLIER REGISTRATION
1.0. Type of Registration Considering the total business operations of BHEL involving purchase of raw material/ components/ capital equipments from different type of business organizations like manufacturer, stockist/ authorized agent etc., following categories of registration are recommended to differentiate one time, development, trial or permanent code supplier. 1.1.1 i. ii. iii. iv. One time code can be allotted to suppliers who have not been assessed and registered for the following: Capital Equipment Spares of Machine Tools from OEM Customer specified supplier Items to be procured on urgency basis (as per the norms specified in the Purchase Policy under single tender).
In all the cases of above procurement, the methodologies of open tender/ limited tender/ single tender shall be followed, inline with the policy provisions. Further, bidders (if not registered earlier) who have been techno-commercially qualified, against the stated pre-qualification requirements, and are the successful bidder(s) in an Open tender, shall also be allotted a one time code, to enable placement of order. Subsequent purchase orders (against open tenders only) for the same material category can also be placed on such supplier(s) with one time code allotted against open tender, provided earlier order, if due, has been successfully executed by the supplier. Note: i. The data of one time codes allotted for (a) open tender, (b) limited tender and (c) single tender, shall be maintained online separately by SDC, for review by respective MISCCs, who shall assess and register capable suppliers. In all cases where one time code has been allotted to a supplier against a limited/ single tender for a given material category, one time code shall not be allotted the second time to the same supplier for the same material category, save for spares of machine tools from OEM and Customer specified suppliers. The data for such one time codes shall be maintained online and there shall be a system lock to prevent re-allotment of one time code to such suppliers. ii. All suppliers who are allotted a one time code shall be assessed and considered for registration, as per respective SRF within the time frame specified at clause 9.0 of Chapter-III. However, one time codes allotted for non PMD items purchased through personal enquiry (as per clause 9.4 of Chapter-II), shall be exempted from above provisions (i) and (ii). 1.1.2 For one time code, approval of Unit MM Head or official nominated (not below the rank of AGM) by Unit Head will be required. Suppliers with one time code shall not be included in PMD.
1.1.3
1.2 (i) Development code: Development code shall be given to a supplier where an item or product is to be developed by the supplier with the assistance of BHEL through development indent route only. 1.2 (ii) Trial Code Trial code can be given to a supplier for the purpose of judging his capabilities for supplying the given product/ item. MISCC shall approve allotment of trial code to the supplier, based on supplier assessment as per respective SRF.
Chapter- IV SUPPLIER REGISTRATION

1.2 (iii) Treatment of Development/ trial codes:
AA:MM:SR:01 01 11 of 23
A. Though Suppliers with development/ trial code shall be included in the PMD, they shall not be considered for regular purchasing action. B. Development/ trial order shall be placed within 90 days of allotment of development/ trial code else reasons for not ordering shall be recorded and put up to Product Manager. C. Development/ trial orders shall be for a minimum possible quantity (quantity to be decided by MISCC) and shall not be linked to any specific project requirements. However, the developed items may be linked to subsequent project requirements on successful completion. Maximum three development/ trial orders can be placed for a given material category. Second/ Third development/ trial order can be placed only after completion of the previous order. On completion of one development/ trial order, MISCC will recommend within three months any of the following: (a) may approve updation of the development/ trial code to permanent code if the supply is acceptable and accordingly reassess the SRF, or (b) may reject the supplier if the supplies are not acceptable, or (c) shall recommend placement of another development/ trial order in case the supplies are `not satisfactory and the supplier has to be developed/ tried again for recorded reasons. If three such orders are completed by the supplier, MISCC shall clearly decide either to allot a permanent code or to reject the supplier within 3 months of execution of third order. Note: The term completion (referred above) will mean inspection clearance before dispatch/ receipt of supply against previous order/ any milestone after supply of last trial/ development order. Completion of the milestone shall be pre-decided by MISCC at supplier assessment stage. 1.3 MISCC shall approve allotment of permanent code to the supplier based on supplier assessment as per respective SRF and inform the same to SDC for updation of records. All suppliers allotted permanent code shall be placed in the PMD and shall be considered for regular purchasing action. One time code, Development code, Trial code and Permanent code may be allotted to suppliers covered under Chapter V Registration of other categories of suppliers too as per specific approval of MISCC. Treatment of existing suppliers a) Existing development code/ trail code suppliers in PMDs : Suppliers with development/ trial code shall be included in PMD, and MISCC shall process their updation to permanent code as per the provisions spelt out at 1.2(iii) above. b) Allotment of additional material category/ Deletion of material category already allotted to existing suppliers in PMD: In case a supplier is already registered in some material category in PMD and necessity arises to add/ delete material category, within the same generic type of material, MISCC shall examine suppliers request. The technical competence of the supplier for the new material category/ item shall be assessed as per norms and if the supplier is found technically acceptable, MISCC shall send the approval for the relevant code, to SDC for addition/ deletion of the supplier in the recommended material category/ item. In case the new item/ material category is not of the same generic type of material for which supplier is already registered, assessment of technical competence and quality systems by MISCC shall be required. 3.0 Treatment of existing suppliers of Power Sector This aspect has been dealt in detail at clause no. 10 of Chapter II.
1.4
2.0
Chapter- V Document No. REGISTRATION OF Revision No. OTHER CATEGORIES OF Page No. SUPPLIERS
AA:MM:SR:01 01 12 of 23
REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS

1.0 There may be other categories of suppliers such as sister-unit registered suppliers, foreign suppliers, stockists, agents, dealers, ancillaries and sub-contractors etc. who may require different treatment. The approach for registration of such suppliers is as follows: Sister Unit Registered Suppliers (SURS) Registered suppliers of sister units having a permanent code shall be exempted from detailed registration procedure and shall be directly included in the list of approved suppliers for the same/ similar class of item provided the suppliers past performance at sister unit is satisfactory. Approval of MISCC shall be required. Supplier Registration Forms shall be got filled up for records and hence no TCA assessment is required. In case a foreign supplier registered with a sister unit is being considered, care may be taken to ensure the third party business rating report. However, in case of different item, review of Technical Competence must be done by MISCC. 3.0 Collaborator Registered Suppliers Suppliers approved by collaborators may be exempted from detailed registration procedure and directly included in the list of registered suppliers. Approval of MISCC shall be required. Supplier Registration Forms shall be got filled up for records and hence no TCA assessment is required. Sister Units Sister units / divisions shall be exempted from detailed registration procedure and directly included in the list of registered suppliers. Registration of suppliers of national/ international reputation Many a times, we may come across a situation where it becomes essential to procure item/ component/ material from reputed suppliers due to customer specifications, critical requirement or similar other considerations. Normally, such suppliers should also follow our supplier registration route. It is, however, experienced that certain suppliers of national/ international reputation, corporate giants or those who enjoy monopolistic status do not evince interest in filling up our Registration Form and follow our guidelines. In view of organizational interest, the following steps are suggested for registration of such exceptional suppliers: 5.1 The concerned Product Head/Functional Head shall prepare a proposal indicating the description of item, PMD/ SD material category and other relevant details, name and complete details of the proposed supplier with justification for seeking registration of the supplier under this provision. However, statutory details like PAN No., Excise control no. etc. shall be obtained from such suppliers for our records. The above proposal, with recorded reasons, shall be concurred by MISCC and got approved from Head of Unit. Registration of suppliers, as explained above, shall be done on exception basis. Registration of Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal: All such suppliers shall fill up registration form as per Annexure II (page 1 to 10). For registration under above category, the registration criterion shall be the assessment of organizational soundness by MISCC / TCA and Principals authorisation letter and approval by MISCC. In case of Indian Agents of foreign principals, the deed of agency agreement between the foreign principal and the agent should be necessarily ensured.
2.0
4.0
5.0
5.2
5.3 6.0
7.0 7.1 Registration of Foreign Suppliers
AA:MM:SR:01 01 13 of 23
Foreign suppliers shall fill up registration form as per Annexure III. The assessment of foreign suppliers shall be on the soundness of organizational and financial parameters & manufacturing and testing facilities. The details of experience/ performance certificate offered by the supplier should be properly scrutinized. A report of the supplier shall be solicited by BHEL from a reputed third party business rating agency like Dun & Bradstreet, Creditreform etc. If any supplier does not submit this report, same should be obtained by BHEL. This report shall be mandatory for registration of foreign suppliers. If required, business information of the supplier can also be solicited by BHEL from Indian Missions/ Local Chamber of Commerce or Industry/ reputed bank and this information can be used to supplement the report from the third party business rating agency. A reputed bank is one who is a member of consortium banks of BHEL or has a correspondent relation with any of BHELs consortium banks having operations in the country where the supplier is existing.
7.2
The visit to supplier for assessment is not a normal feature of the system. However, visit to foreign supplier for assessment may be recommended by MISCC in exceptional cases based on the following: critical nature of item involved or other similar consideration Large volume of anticipated or committed business by BHEL with the foreign supplier. Non availability of performance report from the customers of the foreign supplier.
MISCC shall clearly record the reasons for which the visit is necessary. 7.3 The forms and the documents submitted by the supplier along with the mandatory Business rating report will be reviewed and assessed by MISCC/ TCA. Such assessment which is without marking should be duly approved by MISCC for allotment of permanent/ development/ trial code. All suppliers who have been techno-commercially qualified in the open tender, may also be assessed by MISCC for their registration for allotment of permanent/ trial code. However, all such suppliers after successful execution of the purchase order have to be given permanent code for that item irrespective of SRF assessment. The SRF is to be taken for record purpose. Enlistment of Sub-Suppliers In case of systems/ main packages, the order is placed on main supplier registered with BHEL, for complete system/ main package covering engineering, BOI, site erection and commissioning. The main supplier in turn may place order on sub-supplier for certain components/ sub-systems and BOI etc. Depending on customers requirement or criticality of system/ sub -system/ packages, it may be necessary to approve the sub-suppliers of identified critical systems and packages. For this, following procedure will be followed: 1. 2. Identification of critical systems and packages by concerned MISCC/ SRC. Necessary information as identified by engineering shall be obtained from the sub-supplier through main supplier along with support documents. The information required shall focus on technical capacity and quality capability of sub-supplier. Registration forms need not be filled. The documents shall be reviewed by Engineering/ Quality. Based on the review, the sub-suppliers will be approved by concerned engineering Head. The sub-supplier shall not form part of PMD/ SD.
8.0
9.0 9.1
9.2
3. 4. 5. 6.
The above enlistment is only a mechanism to ensure that competent sub-suppliers are approved by BHEL. There shall be no registration of sub-suppliers and orders shall not be placed on sub-suppliers.
10.0 REGISTRATION MATRIX
AA:MM:SR:01 01 14 of 23
The registration matrix is given on the next page for easy understanding of procedure of registration for various types of suppliers. The abbreviations used are indicated below: MISCC SRC SRF TCA MI MF MC SU SURS NA UNITS Material Identification & Supplier Control Committee Supplier Registration Committee (for Power Sector Regions) Supplier Registration Form Trained & Certified Assessor Manufacturer (Indigenous) Manufacturer (Foreign) Manufacturer recommended by Collaborator Sister Unit. Sister Unit Registered Supplier Not Applicable All manufacturing units, PS-Regions, PEM, TBG, ISG, ROD etc. As defined in 3.1 of Chapter-I
Constituting Authority (CA)
Chapter-V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS
AA:MM:SR:01 01 15 of 23
REGISTRATION MATRIX FOR SUPPLIERS OF VARIOUS TYPES

Sl no. Type of Supplier Authority for initial recommen dation MISCC / SRC Assessment Criteria Authority to decide assessment criteria MISCC / SRC Authority for assessment Final recommendation for registration MISCC / SRC Approving authority for registration
Chairman MISCC/ Constituting Authority SRC
Remarks.
MI 1.
MF 2 SU SURS
-do-
SRF, Technical Competence & team visit, if reqd. SRF & team visit, if reqd
MISCC / SRC, Supplier Assessment Team
Permanent code or Development code or Trial code
-do-
-do
-do-
-do
-do
-do-do-
5.
Reputed Suppliers (Clause 5.0 of Chapter V)
MISCC / SRC
Not Applicable Same item (Size / application) / same class of material, performance feedback Justification for seeking registration
Not Applicable MISCC / SRC
Not Applicable MISCC / SRC
-do-do-
-do -do-
Permanent Code SURS with permanent code can only be considered. Technical Competence to be verified/ assessed
MISCC / SRC
SRF not required, however, statuary details shall be asked for.
MISCC / SRC
Head of Unit
Exceptional cases only
Chapter-V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS

Sl. No. Type of Supplier Authority for initial recommen dation MISCC/ SRC -doAssessment Criteria Authority to decide assessment criteria MISCC / SRC

Authority for assessment of Supplier Registration Form MISCC / SRC Final recommendation for registration MISCC /SRC Approving authority for registration
Chairman MISCC/ Constituting Authority SRC
AA:MM:SR:01 01 16 of 23
Remarks.
6.
MC
7.
Stockist / trader/Distributor
/Dealer/Authorised
8.
agent / Channel partner / Indian sales office or subsidiary of foreign principal Petty Item Suppliers
OEM for Capital Eqpt, supplier for (a) spares of m/c tools (b)customer specific items (d) Rare or urgent direct materials
Collaborator document / confirmation Assessment of Organisation Soundness and principal's authorisation letter -
MISCC / SRC
MISCC / SRC / TCA
MISCC / SRC
-do-
Registration of Agents to be discouraged and avoided to the extent possible.
Product MM Head Product MM Head
No registration recommended No formalities required for irregular requirements
MM Head/ Nominee of Unit Head -do
One time code will be allotted One time code will be allotted.
10
11
Customer Specific Suppliers Contractors for PS-Regions
MISCC/ SRC SRC SRF
--do-
MISCC/ SRC Chairman SRC
-do
One time code will be allotted.
SRC
SRC
Constituting Authority for SRC
Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM
AA:MM:SR:01 01 17 of 23
SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM

1.0 The Supplier Performance Rating can be used for assessing the performance of a supplier in comparison with other suppliers with a view to decide whether or not to continue to procure the products from the supplier if the Supplier Performance Rating is below a certain limit. Supplier Performance Rating (SPR): Supplier performance shall be assessed taking into account the following main factors and calculated for each consignment / purchase order: Rating Quality Delivery Service Total 2.1 Quality Rating (QR): Quality rating is based on acceptable quantity of material offered for inspection or delivered by supplier and shall be calculated as: Quality Rating (QR) = (Q1 + 0.75 x Q2 + 0 x Q3) x 60 Q Weightage 60 30 10 100
2.0
Q Q1 Q2 Q3 2.2 Delivery Rating (DR)
Quantity inspected Quantity accepted Quantity accepted with concession/ deviation/ rectification Quantity rejected
Supplier will be rated on delivery parameters wherein Delivery rating shall be 30 in case of adherence to PO delivery. For non-adherence to PO delivery (i.e. delay in supply), marks to be deducted in proportion of delay to PO delivery. Deduction = 30*delay in days/PO delivery in days Note: 1. 2. 3. Delay is calculated on the date of GR/RR basis for indigenous items and date of inspection/ shipment (BL/AWB) etc. for imported consignments. In cases, where delay is on account of BHEL in providing raw materials/ tools/ any other input, the delivery shall be extended with amendment to PO. In case of rectification/replacement of item, the delivery is to be reckoned from the original supply date. Units to put a system in place to capture such data.
Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM

2.3 Service Rating (SR) 10% weightage:
AA:MM:SR:01 01 18 of 23
The criteria for service rating shall be based on the Demerit factor (negative rating) to be updated by the User/ Quality/ MM group. The service rating shall be 10 in case there is no negative feedback against the supplier for the given supply. Else, the service rating should be reduced proportionally based on the Demerit factor. In case negative feedback (substantiated by documentary evidence) is received from Shop Floor/ Site on the supplies made, at a later date, demerit factor should be applied again accordingly. Units shall decide on the mechanism for updation of the Demerit factor. Supplier Performance Rating (SPR) = QR + DR + SR 2.4 SPR shall be calculated for the period of previous year plus elapsed period of current year or average of last three executed purchase orders, which ever is more as the case may be. In case no PO has been executed by the supplier, SPR will be taken as NOT ASSESSED. Usage of Supplier Performance Rating: The following action is recommended based on SPR score:SPR Score >95 >90 <=95 >75 <=90 >=60 <=75 < 60 Grade A1 A B C D Action BHEL may consider award appreciation/ commendation letter Supplier can be considered for self certification or for reduced witness points during inspection No action in normal course. If any deterioration comes to notice on analysis, the supplier may be informed (i) Thorough analysis for identification of areas for improvement (ii) Enquiry to be sent only after concerned MM head approval To be dealt in accordance with the extant guidelines on Suspension of Business Dealings with Suppliers/ Contractors
2.5 3.0
4.0
Feed back to suppliers regarding performance rating: The feedback to the supplier shall be posted every quarter as per Annexure ID on unit website in the first fortnight of every quarter. The supplier shall be allowed access to view his performance rating. In addition, the annual SPR rating should also be intimated to the supplier by registered post/ fax/ e-mail. In case, the supplier does not contest the SPR ratings within 30 days of posting of the SPR ratings on the unit web site, it shall be construed that the supplier has accepted the SPR ratings provided on the unit website.
5.0
The above SPR procedure is basically applicable for purchases being done by manufacturing Units, PEM, TBG and ISG. Considering the nature of work/ system purchases being carried out by PS regions, SPR procedure as detailed in Annexure VIII may be followed.
Chapter- VII
SUSPENSION OF BUSINESS DEALINGS WITH SUPPLIERS/ CONTRACTORS
AA:MM:SR:01 01 19 of 23
Suspension of Business dealing with suppliers/ contractors will be dealt in accordance with the Guidelines no. AA:MM:SB:01 issued from time to time by the management.
Chapter- VIII TRANSPARENCY
AA:MM:SR:01 01 20 of 23
TRANSPARENCY
1. 2 Supplier Registration Procedure and relevant formats are available on www.bhel.com. Status of supplier registration applications (as per Annexure IC Part E) shall be displayed online by each unit on their website to enable the suppliers to see the status of their applications. The acknowledgement of receipt of application, feed back of registration or rejection, performance rating and reasons for putting on hold/ delist/ ban (as per guidelines issued for suspension of business dealings issued from time to time by the management) are to be conveyed to the supplier.
3.
Chapter- X REGISTRATION OF CONTRACTORS FOR PS REGIONS AND SIMILAR WORK IN UNITS/ DIVISIONS
AA:MM:SR:01 01 22 of 23
REGISTRATION OF CONTRACTORS FOR PS REGIONS AND SIMILAR WORKS IN UNITS/ DIVISIONS

1.0 The procedure aims to register reliable and quality conscious Contractors for Power Sector Regions and similar works in Units/ Division. 2.0 The registration of Contractors starts with identification of packages along with groups for which registration is to be done based on categories like MW Ratings, Tonnage, Estimated Value Range etc. (refer Annexure IV for sample categories for Contractor registration). For every category, relevant codes to be given for easy identification. 3.0 Each Power Sector Regions to define Basic requirements like similar previous jobs, qualification of personnel, turnover, related industry experience etc. for various categories/ codes as defined in point 2.0 above as per Annexure V. 4.0 Before registration, Contractors to fill up registration form and send to respective Power Sector Region along with relevant supporting documents on following parameters: Section I: Company Profile and General information Section II: Resources owned by the company Section III: Work Experience The guideline to Contractors for filling up the registration form is defined in Annexure VI. 5.0 Once the filled in registration form along with supporting documents are received from Contractors, the SRC will evaluate them based on: Part A: Organisational Soundness Part B: Quality Systems Part C: Technical Competence Part D: Final Recommendation Contractor Evaluation format will be as per Annexure VII. 6.0 Registered Contractors will be continually evaluated for their performances every quarter on aspects like quality, delivery, manpower, Tools & Plants (T&Ps), Inspection Measuring and Test Equipments (IMTEs), site infrastructure and services, health safety etc. as laid down in Annexure VIII. This performance evaluation will be on net weighted score calculated for evaluation and monitoring purposes and will be informed to the concerned Contractor.
Chapter-XI MAJOR ACTIVITY MATRIX

Sl. No. ACTIVITY Acknowledgement of receipt 1. of SRF Initial Scrutiny of SRF, 2. seeking details of missing annexures/ information Scrutiny of SRF, sending 3. Technical competency forms, seeking Clarifications. Visit of suppliers works, if 4. required 5. Recommendation of MISCC Completion of Registration 6. Communication to Supplier regarding registration/ regret Communication of SPR to Suppliers System Audit System review
AA:MM:SR:01 01 23 of 23
RESPONSIBILITY TIME FRAME SDC/ SRC Five Days SDC/ SRC One month
MISCC/ SRC
MISCC/ SRC/ TCA MISCC/ SRC
Three months after receipt of complete registration form including all annexures and details Within Five working days of completion of process As per cl. 4.0 of Chapter VI. Every Year Three Year
7. 8. 9. 10.
Note:
SDC/ SRC SDC/ SRC CQ/ Unit QM CQ
Response time for suppliers for replying to the queries/ clarifications asked by BHEL shall be two weeks for Indigenous Suppliers and three weeks for Foreign Suppliers. If Supplier does not respond/ send requisite clarifications & information within this period, MISCC depending on the merit of case may decide about rejection of his application.
Annexure IC
SUPPLIER REGISTRATION STATUS REPORT

Unit: Qtr Ending:
Part E: Status of supplier application for registration *

Month Ending: Name of the Company Item/ Services Date of receipt of application Status** Remarks
* To be updated Every month and put on Unit's website ** Status to be given as either of the following: 1. Registered 2. Under Process 3. Clarification Sought from Supplier 4. Visit being planned to Supplier's work 5. Regretted
Annexure-ID
SUPPLIER RATING FEEDBACK FORM

Name of Supplier: Supplier Code: Item / Package: Matl. Category :
The supplier performance rating (SPR) is evaluated by considering the following weightage; 60% for quality rating (QR) & 30% for delivery rating (DR) and 10% for service rating (SR). The performance rating is shown below : -
Rating factor
QR (Max 60)
DR (Max 30)
SR (Max 10)
SPR= QR + DR+SR (Max. 100)
Points Obtained
Note:
In case supplier needs any assistance from BHEL for improvement they can contact the MM Department.
General Remarks, if any :
Signed by SDC
Annexure-II
GUIDELINES TO INDIAN SUPPLIERS FOR FILLING-UP SUPPLIER REGISTRATION FORM
1.
Document No. AA:MM:SR:01 Revision No. Page No. 01 I of II
Prospective Suppliers may also visit our web site www.bhel.com (link Supplier Registration -> New Supplier Required) to know more about the requirement of new suppliers for various items in our units. Registration Form may be obtained from BHEL website www.bhel.com. Application for registration, with a covering letter detailing where your products can find application (if possible) in BHEL unit(s), should be sent to: Supplier Development Cell Unit Name: Bharat Heavy Electricals Ltd. City: India
2. 3.
4. 5.
In case registration is being sought in multiple units of BHEL, please send the separate application to each unit. Any clarification with respect to procedure for registration may be obtained from the Supplier Development Cell of respective BHEL unit. The Supplier Registration Form has four parts: Part A Part B Part C Part D Organisational Information Quality System Technical Competence Score Sheet (to be filled by BHEL) Form no. SRF(I)01 page 1 to 10 Form no. SRF(I)01 - page 11 to 12 Form no. SRF(I)01 page 13 (if sent by BHEL) Form no. SRF(I)01 page 14 to 17
6.
The set of formats to be filled by different category of suppliers is as follows: Sl.No 1. Supplier Category Indian Suppliers ( manufacturers ) Formats - Organisational Information - Quality System - Technical Competence - Organisational Information SRF(I)01- Part A (page 1 to 10 except Sl. No. 5.1, 5.2, 6.6, 6.7, 7 & 8) 7. All columns are to be filled up properly in the space provided for. Wherever it is not applicable, please mention Not Applicable. The form is to be signed by the authorised signatory. A separate sheet may be attached if the space provided is insufficient or additional information is to be given. Please put proper identification tag on the separately attached sheet. Please ensure that all required enclosures are attached with the filled up Supplier Registration Form and all enclosures are numbered & list of enclosures is given as required. As multiple copies of the application forms are required for processing at our end, please do not spiral bound the application forms or its enclosures and instead send them in two hole clip flat file. Incomplete forms will be rejected. Any information / clarification required by BHEL during evaluation must be given expeditiously. Please note that if you are registered and participate in Tender process and qualify to get order from BHEL, your performance based on Quality of your product, delivery performance and service rendered will be evaluated inline with Chapter VI. Please fill up the check- list given on next page and send along with the Supplier Registration Forms to BHEL. If you are attaching a document in a language other than Hindi/ English, a self attested Hindi/ English translated document may please be also attached.
2.
Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal
8.
9.
10.
11. 12. 13.
14. 15.
Annexure-II
Check List for Indian Supplier Registration Form
Sl.No. 1. Check-Point
AA:MM:SR:01 01 II of II
Yes/No
Information against all points under Organizational Information (Part-A) has been given.
2.
All enclosures and supporting documents have been enclosed.
3.
Summary list of enclosures has been furnished as per S.N.10 of Organisational Information form no. SRF (I) 01 & S.N 12 of Quality system form no. SRF (I) 01.
4.
Are you an ISO 9001accredited supplier? If yes, have you enclosed "Table of Contents of your Quality Manual and copy of ISO 9001 accreditation certificate?
5.
6.
Have you filled up Quality System format given in Part B?
7.
Technical requirements, specifications, drawings, standards have been received from BHEL before filling up Technical Competence, Part C.
8.
All the parts of the form & enclosures have been signed by Authorised Signatory.
9. 10.
Have you attached EFT details? (In original, Certified by the bank) If you are seeking registration for a MSME company (as per MSME Act of Government of India), have you attached requisite certificate as per Act?
Signature & seal Date : (Authorised Signatory) Note: This check list is to be attached with the filled up Supplier Registration Form.
BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM

FORM NO. SRF(I) 01 (INDIAN SUPPLIER)
INFORMATION WITH * MARKS IS SCOREABLE.
ANNEXURE-II
Page 1 of 17
PART- A : ORGANISATIONAL SOUNDNESS

ALL COLUMNS SHOULD BE PROPERLY FILLED IN THE SPACE PROVIDED FOR, WHEREVER IT IS NOT APPLICABLE, PLEASE WRITE NOT APPLICABLE. INCOMPLETE OR INCORRECT FORMS MAY NOT BE CONSIDERED. PLEASE ATTACH SEPARATE SHEET, IF SPACE AVAILABLE IS INADEQUATE. ALL THE PAGES OF THE FORM ARE TO BE SIGNED ALONGWITH SEAL BY THE AUTHORISED SIGNATORY
ORGANISATIONAL INFORMATION NAME AND CORRESPONDENCE ADDRESS OF THE SUPPLIER SEEKING REGISTRATION :-
1.0 PRODUCTS / SYSTEMS / SERVICES FOR WHICH REGISTRATION IS APPLIED FOR : SL. NO. DESCRIPTION SIZE & RANGE MFG. STD/ IS / DIN /BS ETC.
SUPPLIERS AUTHORISED SIGNATORY
BHEL CERTIFIED ASSESSOR

FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ORGANISATIONAL INFORMATION ANNEXURE-II
Page 2 of 17
2.0 GENERAL INFORMATION :

2.1
NAMES OF THE WORKS/DIVISION (Products manufactured at each works to be mentioned : ADDRESS E - Mail TELEPHONE : : : Landline Mobile FAX :
2.2
NAME OF CHIEF EXECUTIVE / PROPRIETOR / PARTNER & ADDRESS :
2.3 DETAILS OF AUTHORISED SIGNATORY FOR SEEKING CLARIFICATION : NAME DESIGNATION E - Mail TELEPHONE : : : : Landline Mobile FAX :

FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II
Page 3 of 17
ORGANISATIONAL INFORMATION 3.0 OWNERSHIP INFORMATION : DOCUMENTS TO BE FURNISHED
3.1 GOVT. OF INDIA UNDERTAKING: OR STATE GOVT. UNDERTAKING : OR LIMITED COMPANY, : OR PRIVATE COMPANY OR CO-OPERATIVE SOCIETY, OR PARTNERSHIP FIRM, OR PROPRIETORSHIP,
MEMORANDUM AND ARTICLES OF ASSOCIATION MEMORANDUM AND ARTICLES OF ASSOCIATION SOCIETY RULES AND BYE LAWS PARTNERSHIP DEED PROFESSION TAX REGN. AND MUNICIPAL REGN.
: :
ANY OTHER (SPECIFY)
3.2 NATURE OF BUSINESS : (MANUFACTURING UNIT/ ENGG CONSULTANT/ EPC CONTRACTOR) (AGENTS/ DISTRIBUTORS/STOCKISTS/DEALERS/ TRADERS/ INDIAN SUBSIDIARY/ CHANNEL PARTNER attach authorization certificate of principal)
3.3
YEAR OF ESTABLISHMENT
* 3.4 YEAR OF COMMENCEMENT OF BUSINESS :

FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ORGANISATIONAL INFORMATION 4.0 REGISTRATION PARTICULARS
( FURNISH DETAILS AND ENCLOSE COPY OF CERTIFICATE FOR THE FOLLOWING)
ANNEXURE-II
Page 4 of 17
4.1 PERMANENT ACCOUNT NO 4.2 CENTRAL SALES TAX REGN NUMBER 4.3 STATE SALES TAX / TIN NUMBER 4.4 EXCISE DUTY REGN NUMBER 4.5 EXCISE CONTROL CODE NUMBER 4.6 SERVICE TAX REGN NUMBER 4.7 CATEGORY AS PER MSMED ACT REGN NO.
: : : : : : : MICRO/ SMALL/ MEDIUM :
VALID UPTO : (Attach Certificate) 5.0 TOTAL ORGANISATIONAL STRENGTH : (ATTACH ORGANISATION CHART)
GRADUATE DIPLOMA SKILLED NON-SKILLED
ENGINEERING MANUFACTURING QUALITY
: : :
COMMERCIAL / SERVICE AFTER SALES : OTHERS TOTAL * 5.1 POWER BACKUP (GIVE DETAILS) : : : YES/ NO
* 5.2 DOES THE COMPANY SELL ITS PRODUCT DIRECTLY : YES/ NO

Page 5 of 17
ORGANISATIONAL INFORMATION 6.0 OTHER PARTICULARS : ( FURNISH DETAILS AND ENCLOSE DOCUMENTARY EVIDENCE/ COPY OF CERTIFICATE FOR THE FOLLOWING) * 6.1 IF THE COMPANY IS ALREADY REGISTERED WITH ANY OF BHEL UNITS, GIVE : 6.1.1. BHEL UNITS NAME : 6.1.2. SUPPLIER REGN. CODE NO. : 6.1.3. ITEMS FOR WHICH REGISTERED & THEIR SPECIFICATION ( ENCLOSE PROOF OF SUCCESSFUL EXECUTION OF ONE OR MORE PURCHASE ORDERS ) : * 6.2 IS THE COMPANY APPROVED BY ASME / NTPC / NPC / EIL / DGS&D / RAILWAYS / IBR / LLOYDS ETC FOR INTENDED MATERIAL CATEGORY? : (ENCLOSE DOCUMENTARY EVIDENCE) IS THE COMPANY ISO 9001 APPROVED? : (ENCLOSE CERTIFICATE & TOC OF QUALITY SYSTEM) : IS THE COMPANY AN ISO 14000 APPROVED? : (ENCLOSE CERTIFICATE) : IS THE COMPANY OHSAS - 18000 APPROVED?: (ENCLOSE CERTIFICATE) TECHNICAL COLLABORATOR : (FOREIGN OR INDIGENOUS) (ENCLOSE DOCUMENTARY EVIDENCE) R&D SET UP DIRECTORS / PARTNERS, IF RELATED TO ANY BHEL EMPLOYEE. NAME : STAFE NO. : DESIGNATION : Unit & DEPARTMENT : RELATIONSHIP :
YES / NO
* 6.3
YES / NO
* 6.4
YES / NO
* 6.5
YES / NO
* 6.6
* 6.7 6.8

Page 6 of 17
ORGANISATIONAL INFORMATION 6.9 IF ANY EX-BHEL PERSONNEL IS EMPLOYED BY THE COMPANY, MENTION HIS / HER DETAILS OF LAST POSTING. NAME STAFF NO. DESIGNATION UNIT & DEPARTMENT DATE OF LEAVING SERVICE : : : : : : OFFICE
6.10 COMPANYS WEEKLY HOLIDAYS WORKS 6.11 EXPERIENCE LIST:
(ATTACH LIST OF PRESENT CUSTOMERS WITH NAME & ADDRESS FOR OFFERED / SIMILAR TYPE & SIZE OF ITEM / EQUIPMENT FOR WHICH REGISTRATION HAS BEEN SOUGHT AND WITH WHOM YOU HAVE CONTINUOUS BUSINESS SINCE LAST THREE YEARS . ALSO ATTACH PERFORMANCE CERTIFICATES ISSUED BY ANY TWO CLIENTS FOR SUCCESSFUL EXECUTION OF THE CONTRACTS FOR LAST TWO YEARS- FOR PEM) *6.12 DETAILS OF PENDING LEGAL ISSUES ON CONTRACTUAL ASPECTS WITH CUSTOMER , IF ANY 6.13 The following information of Bank Account of the Company, duly endorsed by the Bank (required for Electronic Fund Transfer EFT/RTGS) is to be submitted 1. Name of the Company 2. Name of Bank 3. Name of Bank Branch 4. City/Place 5. Account Number 6. Account type 7. IFSC code of the Bank Branch 8. MICR Code of the Bank Branch 9. Details of other Bankers (for reference purpose only) NOTE : (i) Suppliers who have already submitted the above information are requested to submit a copy of the same.

Page 7 of 17
ORGANISATIONAL INFORMATION
7.0 MANUFACTURING FACILITIES: *7.1 LIST OF MANUFACTURING FACILITIES/EQUIPMENTS (INCLUDING MATERIAL HANDLING FACILITY) SL. NO DESCRIPTION OF MACHINE/EQUIPMENT QUANTITY MAKE & YEAR OF REMARKS INSTALLATION
IN CASE OF SPACE LIMITATION, PLEASE ENCLOSE ANNEXURE / CATALOGUE WITH TAG
* 7.2 IF IN-HOUSE MFG FACILITIES NOT AVAILABLE, INFORM SOURCE OF MFG. DETAILS ALONGWITH THEIR FACILITIES & EXPERIENCE SL. NO PROCESS OUTSOURCED NAME OF THE COMPANY DESCRIPTION OF MACHINE / EQUIPMENT REMARKS
IN CASE OF SPACE LIMITATION ENCLOSE ANNEXURE / CATALOGUE WITH TAG
* 7.3 RATIO OF OUTSOURCED COST TO TOTAL PRODUCTION VALUE:

Page 8 of 17
ORGANISATIONAL INFORMA TION 8.0 INSPECTION & TESTING FACILITIES:
* 8.1 LIST OF INSPECTION & TESTING FACILITIES / EQUIPMENT SL. NO DESCRIPTION OF FACILITY/ EQUIPMENT & CAPACITY NOS. MAKE & YEAR OF LAST DATE OF MANUFACTURING CALIBERATION
* 8.2 IF IN-HOUSE TESTING FACILITIES NOT AVAILABLE, INDICATE SOURCE OF TESTING ALONGWITH THEIR FACILITIES & EXPERIENCE SL. NO TEST SOURCE OF TESTING DESCRIPTION OF FACILITY/ EQUIPMENT & CAPACITY APPROVAL OF EQUIPMENT/ PROCESS/PERSONNEL QUALIFICATION
Note: In case of outsourcing of major testing such as NDT, Electrical & Mechanical Testing, no marks will be awarded. However, material composition testing by chemical method from recognized laboratory shall not attract negative marking

FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ORGANISATIONAL INFORMA TION
9.0
ANNEXURE-II
Page 9 of 17
* 9.1 9.2 * 9.3
FINANCIAL INFORMATION FOR THE PREVIOUS FOUR YEARS Year 2 Year 3 Year 4 Year 1 Parameter (Years in ascending order, Money value in Rs. Lakhs ) NET WORTH (Share Capital +Reserves) Growth over previous year (%) LONG TERM DEBT / LOAN DEBT EQUITY RATIO Long term Debt (9.2) Net worth (9.1) INVESTMENT IN: Land & Building Plant & Machinery Other Fixed Assets NET CURRENT ASSETS a) Cash on hand 1 b) Account receivable c) Inventories ----------
9.4
9.5*
Total CURRENT LIABILITY a) Sundry creditors b) Interest accrued but not due 2 c) Other liabilities Total * QUICK RATIO CA - INVENT. {9.5(1)-9.5(1)c} 3 Current liability {9.5 (2)} SALES
* 9.6 * 9.7
Growth over previous year (%) PROFIT BEFORE TAX Growth over previous year (%)
-------------------
---------YES / NO
* 9.8
* 9.9
Whether the supplier has been referred to BIFR / NCLT / any other Govt agency ( If YES , enclose details)
Whether the supplier is a potential sick company.( If YES , YES / NO enclose details) NOTE: 1. Copies of annual accounts (Balance Sheet) for the last four years (or from date of incorporation which ever is less) along with audit report are to be submitted. The above details shall be highlighted in the Balance Sheet. 2. Status of Tax assessments done under various laws (Income Tax, VAT/Sales Tax, Excise & Service Tax, Custom) and details of disputes pending, if any, with these authorities to be submitted.

Page 10 of 17
ORGANISATIONAL INFORMATION
10. LIST OF ENCLOSURES (Tags to be put on enclosures) :
(i) (ii)
(iii) (iv)
(v) (vi)
(vii) (viii) (ix) (x) (xi)
MEMORANDUM AND ARTICLES OF ASSOCIATION / SOCIETY RULES AND BYE LAWS / PARTNERSHIP DEED/ PROFESSION TAX REGN & MUNICIPAL REGN. Copy of certificate of following: PERMANENT ACCOUNT NO CENTRAL SALES TAX REGN NUMBER STATE SALES TAX / TIN NUMBER EXCISE DUTY REGN NUMBER EXCISE CONTROL CODE NUMBER SERVICE TAX REGN NUMBER REGN NUMBER OF CATEGORY AS PER MSMED ACT ORGANISATION CHART If registered with any other BHEL Unit, LETTER OF REGISTRATION WITH BHEL UNIT PROOF OF SUCCESSFUL EXECUTION OF ONE OR MORE PURCHASE ORDERS Letter of approval from ASME / NTPC / NPC / EIL / DGS&D / RAILWAYS /IBR / LLOYDS ETC Accreditation certificate for ISO: 9001 TOC of Quality System Manual ISO : 14000 OHSAS , ISO 18000 Letter regarding technical collaboration Experience List / Performance certificate Balance Sheet for the last four years along with audit Report Principals authorization in case of dealers/ agents EFT Banks certificate
: YES / NO
: YES / NO : YES / NO : YES / NO : YES/ NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO : YES / NO
I /WE GIVE THE UNDERTAKING THAT BHEL DRAWINGS & SPECIFICATIONs SHALL NOT BE USED IN ANY WAY DETRIMENTAL TO THE INTEREST OF BHEL AND/ OR FOR SUPPLY OF ANY MATERIAL, PRODUCT OR SERVICES DIRECTLY OR INDIRECTLY TO ANY OTHER CUSTOMER.
Maximum Marks = 50 Negative Marks = -13 Minimum Qualifying marks = 30

Page 11 of 17
FORM NO. SRF(I) 01 Part B (QUALITY SYSTEM):

Sl. No PARAMETERS SYSTEM IN EFFECT (Tick if exists & provide evidences if ticked in written procedure) Written Practice Procedure RECORDS (Tick if available & submit evidences) REMARKS
1* 2*
Incoming Material Control System In process control
3*
Manufacturing / Testing Procedure Qualification Personnel qualification for 3 above. Calibration system System of Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. System of Storage, Preservation , Painting & packing System of NCR disposition & corrective preventive action Customer complaints handling system
4*
5* 6*
Furnish a copy of system and organization. Furnish at least one work instruction & record of process control parameter Procedure Qualification specification may be submitted Record of Personnel qualification (PQR) to be submitted Submit list of instrument & their calibration status Copy of procedure to be submitted
7*
Copy of procedure to be submitted Two copies of NCR & CAPA Submit list of customer complaints & status for the last three years Submit copy of safety system & Record of accidents for last three years
8* 9*
10* Safety measures
11
Any other quality initiative

Page 12 of 17
FORM NO. SRF(I) 01 Part B (QUALITY SYSTEM):

12. LIST OF ENCLOSURES (i) Copy of system of ontrol incoming materials and organization chart (ii) Copy of at least one process control work instruction (iii) Record of process control parameter (iv) Copy of at least one Procedure Qualification specification (v) Record of Personnel qualification (PQR) (vi) List of instrument & their calibration status (vii) Copy of procedure for Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. (viii) Copy of procedure for Storage/ preservation/ painting & packing (ix) Copies of two NCRs and their CAPA. (x) List of customer complaints & status for the last three years (xi) Copy of safety system (xii) Record of accidents for last three years Maximum Marks = 25 Minimum Qualifying marks = 15

Page 13 of 17
FORM NO. SRF(I)01 Part C : TECHNICAL COMPETENCE

Technical competence shall be evaluated in two parts viz. common competence and product/ material category specific competence. (i) COMMON TECHNICAL COMPETENCE (Max Marks: 10) MARKS BY BHEL MARKING SUPPLIER RESPONSE TECHNICAL COMPETENCE RANGE (ALONG WITH ( where design specification is given by BHEL ) SUPPORTING
DOCUMENTS)#
1. Supplier understands the product specification. 2. Supplier understands the inspection requirements. 3. Supplier has process capability to achieve the product specification/dimensional requirement. 4.Supplier has experienced manpower to carry out the job. TOTAL MARKS OUT OF POSSIBLE (10 ) = ---
(0-3) (0-2) (0-3) (0-2)
OR
PROCEDURE
SUPPLIER RESPONSE (ALONG WITH SUPPORTING DOCUMENTS)#
SYSTEM IN EFFECT
RECORDS
MARKING RANGE
MARKS BY BHEL
MARKS BY BHEL
TECHNICAL COMPETENCE ( where performance specification is given by BHEL ) 1. Design capability 2. Adequacy of quality assurance plan 3. Process capability for components 4. Adequate of testing TOTAL MARKS OUT OF POSSIBLE (10) Average of Total (Total/3) = ---------
(0-3) (0-2) (0-3) (0-2)
(ii) PROUCT/ MATERIAL CATEGORY SPECIFIC TECHNICAL COMPETENCE (Max Marks: 15) Unit MISCC to structure the parameters to be considered for the technical competence depending on material category. The score of individual parameter selected is to be decided by MISCC. MISCC shall identify the requirement of enclosures to be furnished by supplier Product: Sl. Material Tech Parameter Suppliers Remarks No category response
To be filled up only on receipt of technical requirements/ specification, drawings, standards from BHEL and to be sent to BHEL for further scrutiny. Enclose documentary evidence where ever required.
LIST OF ENCLOSURES: Maximum Marks = 25 Minimum Qualifying marks = 15 # No marks is to be given by the supplier. Only supplier response along with supporting documents,
MARKS BY BHEL

Page 14 of 17
Part D : SCORE SHEET

1. ORGANISATIONAL SOUNDNESS (for Manufacturers):
S.N. 1. 2. PARAMETER Whether all relevant information like ownership, PAN no., sales tax no., excise duty no., etc. submitted 3.4 YEAR OF COMMENCEMENT OF BUSINESS CRITERIA Yes: 2 No: 0 More than 5 years : 2 1-5 years : 1 Less than 1 year : 0 Yes :1 No :0 Yes :1 No :0 Yes (same item) : 2 Yes (another item) : 1 No : 0 Yes : 2 No : 0 Yes : 3 No : 0 Yes : 1 No : 0 Yes : 1 No : 0 Yes : 1 No : 0 Yes : 1 No : 0 Yes : -5 No : 0 Adequate :3 Substantial :2 Inadequate :0 Less than 10% :2 10 to 30 % :1 More than 30% :0 Adequate :2 Substantial :1 Inadequate :0 Yes : 0 No : 1 Maxm. Marks 2 2 1 1 2 Marks Awarded
3. 4. 5.
5.1 POWER BACKUP 5.2 DOES THE COMPANY SELL ITS PRODUCT DIRECTLY 6.1 REGISTERED WITH ANY OF BHEL UNITS 6.2 APPROVAL BY ASME/ NTPC/ NPC/ EIL/ DGS&D/ RAILWAYS/ IBR/ LLOYDS ETC 6.3 ISO 9001 ACCREDITATION 6.4 ISO 14000 ACCREDITATION
6. 7. 8. 9. 10. 11. 12. 13.
2 3 1 1 1 1 0 3
6.5 OHSAS - 18000 ACCREDITATION 6.6 TECHNICAL COLLABORATOR : (FOREIGN OR INDIGENOUS) 6.7 R & D SET UP 6.12 PENDING LEGAL ISSUES ON TECHNO COMMERCIAL ASPECTS WITH CUSTOMER 7.1 & 7.2 MANUFACTURING FACILITIES INCLUDING OUTSOURCING 7.3 RATIO OF OUTSOURCED COST TO TOTAL PRODUCTION VALUE 8.1 INSPECTION & TESTING FACILITIES 8.2 OUTSOURCING OF MAJOR TESTING FACIILTY (Refer Note) TOTAL
14.
15.
16.
1 25
1. ORGANISATIONAL SOUNDNESS (for Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal):
S.N. 1. PARAMETER Whether all relevant information like ownership, PAN no., sales tax no., etc. submitted (clause 6.0 of chapter V to be referred in this regard) 3.4 YEAR OF COMMENCEMENT OF BUSINESS CRITERIA Yes: 7 No: 0 More than 3 years : 1-3 years : Less than 1 year : Yes (same item) : Yes (another item) : No : Yes : No : Yes : No : Yes : No : 2 1 0 2 1 0 2 0 2 0 -5 0 Maxm. Marks 7 Marks Awarded
2.
2 2
3.
6.1 REGISTERED WITH ANY OF BHEL UNITS 6.2 APPROVAL BY ASME/ NTPC/ NPC/ EIL/ DGS&D/ RAILWAYS/ IBR/ LLOYDS ETC 6.3 ISO 9001 ACCREDITATION 6.12 PENDING LEGAL ISSUES ON TECHNO COMMERCIAL ASPECTS WITH CUSTOMER
4. 5. 6.
2 2 0

Page 15 of 17
Part D: SCORE SHEET

2. FINANCIAL INFORMATION (for Manufacturers):
S.N. 1. PARAMETER 9.1 Growth of Net Worth over previous year (%) Average of three years to be worked out CRITERIA More than 20 % 10 20 % 5 10 % >0 & < 5% 0 or below 1:1 1.1 upto 1.5 : 1 1.6 upto 2.0 : 1 2.0 & above : 1 1:1 1 : 1 upto 1.5 1 : 1.5 upto 1.75 1 : 1.75 upto 2.5 1 : > 2.5 More than 35% 20 -35 % 10 20 % 5 10 % >0 & < 5% 0 or negative More than 20 % 10 20 % 5 10 % >0 & < 5% 0 or below Yes: -5 No : 0 Yes: -3 No : 0 : : : : : : : : : : : : : : : : : : : : : : : : : 5 4 3 2 0 5 4 3 2 5 4 3 2 0 5 4 3 2 1 0 5 4 3 2 0 Maximum Marks 5 Marks Awarded
2.
9.3 DEBT EQUITY RATIO Long term Debt (9.2) Net worth (9.1) 9.5 QUICK RATIO CA - INVENTORIES {9.5(1)-9.5(1)c} Current liability {9.5 (2)} 9.6 Growth in Sales over previous year (%) Average of three years to be worked out
3.
4.
5. 9.7 PROFIT BEFORE TAX Growth over previous year (%) 6. 7. 9.8 Whether the supplier has been referred to BIFR / NCLT/ any other similar Govt agency 9.9 Whether the supplier is a potentially sick company TOTAL
0 0 25
Note: If the supplier is new in business and does not have past data, then the evaluation will be done on the basis of information provided by him and will be decided by MISCC. 2. FINANCIAL INFORMATION (for Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised
Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal): S.N. 1. PARAMETER 9.6 Growth in Sales over previous year (%) Average of three years to be worked out CRITERIA More than 35% : 20 -35 % : 5 - 20 % : >0 - 5 % : 0 or negative : More than 20 % : 5 20 % : >0 5 % : 0 or below : 5 4 3 2 0 5 4 3 0 Maximum Marks 5 Marks Awarded
2.
9.7 PROFIT BEFORE TAX Growth over previous year (%)

Page 16 of 17

3. QUALITY SYSTEM :
S.N. 1. PARAMETER Incoming Material control System CRITERIA System availability : Yes: 1 No : 0 Availability of Organisation chart Yes: 1 No : 0 Work instruction available: Yes: 1 No : 0 Record of process Control : Available : 2 Partial record : 1 Not available: 0 Procedure Qualification Specification : Adequate : 3 In adequate: 1 Not available : 0 Record of PQR: Adequate : 3 In adequate: 1 Not available : 0 Adequate : 3 In adequate: 1 Not available : 0 Procedure available : Adequate : 2 In adequate: 1 Not available : 0 Procedure available : Adequate : 2 In adequate: 1 Not available : 0 Two copies of NCR & CAPA Available :2 Not available : 0 System available : Yes: 1 No : 0 Complaints registered & resolved : 2 Complaints registered & partially resolved :1 Complaints not registered or not resolved :0 System available : Yes: 1 No : 0 Record available : Yes: 1 No : 0 Maxm. Marks 1 1 Marks Awarded
2.
Process control
3.
Manufacturing / Testing Procedure Qualification
4.
Personnel qualification
5.
Calibration system
6.
7.
System of Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. System of Storage/ preservation/ painting & packing
8.
System of NCR disposition & corrective preventive action Customer complaints handling system
9.
1 2
10.
Safety measures
1 1 25
TOTAL

Page 17 of 17

4. TECHNICAL COMPETENCE
Column no. 1 to 4 to be filled by MISCC before sending to supplier. Column no. 5 to be filled by BHEL certified Assessor after evaluation of supplier response. Sl. No (1) Parameter (2) Scoring criteria (3) Maximum Marks (4) Marks obtained (5)
TOTAL SUMMARY: Sl. No 1. 2. 3. Criteria Organisational Soundness Financial Information Quality System Technical Competence TOTAL Maxm Marks 50 25 25 100 Qualifying marks * 30 15 15 60
25
Marks obtained
Recommendation for registration Recommended : Permanent code /Development code/ Trial code Not recommended
*Minimum Qualifying Score in Each category shall be 60%.

REGISTRATION CRITERIA: Sl. No 1. 2. 3. Score More than 90 >75 <=90 >=60 <=75 Less than 60 Recommendation Supplier is to be registered and given Permanent code, Normally no visit is called for. Supplier may be visited if recommended by MISCC or to be registered and given permanent code. Supplier may carry out suggested improvements if advised by MISCC Suppliers visit is mandatory. Trial/ Development code may be given. Not to be registered
4.
Note: Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales
office or Subsidiary of registered foreign principal are to be awarded marks on pro-rata basis and registered accordingly.
Signatures: MISCC and Suppler Evaluation Team (in case of visit)

1) 2) 3)
4)
5)
6)
Annexure-III GUIDELINES TO FOREIGN SUPPLIERS FOR FILLING UP SUPPLIER REGISTRATION FORM

1. 2. 3.
AA:MM:SR:01 01 I of II
Prospective Suppliers may also visit our web site www.bhel.com (link Supplier Registration -> New Supplier Required) to know more about the requirement of new suppliers for various items in our units. Registration Form no. SRF(F)01 may be obtained from BHEL website www.bhel.com. Application for registration, with a covering letter detailing where your products can find application (if possible) in BHEL unit(s), should be sent to: Supplier Development Cell Unit Name: Bharat Heavy Electricals Ltd. City: India
4.
In case registration is being sought in multiple units of BHEL, please send the separate application to each unit. Any clarification with respect to procedure for registration may be obtained from the Supplier Development Cell of respective BHEL unit. All columns are to be filled up properly in the space provided for. Wherever it is not applicable, mention it as Not Applicable. The form is to be signed by the authorised signatory and submitted in original. Please attach separate sheet if the space provided is insufficient. For any other information also, separate sheet may be attached. Any information / clarification required by BHEL during processing of registration must be given expeditiously. Please ensure that all required enclosures are attached with the filled up Supplier Registration Form and all enclosures are numbered & list of enclosures is given as required.
5.
6.
7.
8.
9.
10. As multiple copies of the application forms are required for processing at our end, please do not spiral bound the application forms or its enclosures and instead send them in two hole clip flat file. 11. Please fill up the check- list given on next page and send along with the Supplier Registration Forms to BHEL. 12. Please note that if you are registered and participate in Tender process and qualify to get order from BHEL, your performance based on Quality of your product, delivery performance and service rendered will be evaluated inline with Chapter VI. 13. If you are attaching a document in a language other than English, a self attested English translated document may please be also attached.
Annexure-III CHECK-LIST FOR FOREIGN SUPPLIERS REGISTRATION FORM
AA:MM:SR:01 01 II of II
S.N.
Check-Point
Yes/No
1.0
Information against all points in the Supplier Registration Form has been given.
2.0
Authoristion letter has been enclosed (in case of Indian representative) Banker's certificate has been enclosed Are you an ISO: 9001 accredited supplier?
3.0 4.0
4.1
If yes, have you enclosed copy of ISO 9001 accreditation certificate & "Table of Contents of your Quality Manual?
4.2
If no, have you enclosed written down procedure / manual of Quality Management System? Have you enclosed experience list/ performance certificate ( as per sl. 3.0 of the form SRF(F) 01 ) List of enclosures has been furnished ( as per Sl 5.0 of the form SRF(F) 01) All the parts of the form & enclosures have been signed by Authorised Signatory. D&B Report/ Creditreform report etc. has been attached.
5.0
6.0
7.0
8.0
Signature & seal Date : (Authorised Signatory) Note : This check list is to be attached with the filled up Supplier Registration Form.
BHARAT HEAVY ELECTRICALS LIMITED , INDIA

ANNEXURE- III
FORM NO. SRF(F)01 : (FOREIGN SUPPLIER)
Page 1 of 2
ALL THE PAGES OF THE FORM ARE TO BE SIGNED ALONGWITH SEAL BY THE AUTHORISED SIGNATORY SUPPLIER REGISTRATION FORM 1.0 GENERAL INFORMATION : 1.1 NAME OF SUPPLIER : (TO BE REGISTERED) 1.2 SUPPLIER ADDRESS : (TO BE REGISTERED)
E - Mail TELEPHONE WEB SITE
: (Landline):
Mobile
1.3 DETAILS OF FACTORY / WORKS : ADDRESS :
E - Mail TELEPHONE
: (Landline)-
Mobile
1.4 DETAILS OF MARKETING REPRESENTATIVE ( OUTSIDE INDIA , IF ANY ) ADDRESS :
E - Mail TELEPHONE
: (Landline)-
Mobile
1.5 DETAILS OF INDIAN REPRESENTATIVE, IF ANY : ( Attach authorisation letter ) NAME : ADDRESS :
E - Mail TELEPHONE
: (Landline)-
Mobile
1.6 CHIEF EXECUTIVE : 1.7 YEAR OF ESTABLISHMENT :
BHARAT HEAVY ELECTRICALS LIMITED , INDIA

ANNEXURE-III
FORM NO. SRF(F)01 : (FOREIGN SUPPLIER)

1.8 YEAR OF COMMENCEMENT OF BUSINESS :
Page 2 of 2
1.9 PRODUCTION CAPACITY PER ANNUM (details of major manufacturing/ testing facilities to be given) : 1.10 PARTICULARS OF PRODUCTS INCLUDING SPECIFICATION AND RANGE OFFERED FOR REGISTRATION : ( ATTACH BROCHURES AND CATALOGUES ) 1.11 NAME (S) OF BANKERS :
1.12 BANKERS CERTIFICATE AS TO CREDITWORTHINESS OF THE CLIENT (Enclose Certificate ) : 1.13 PORT OF LOADING 1.14 NEAREST AIRPORT : :
1.15 Report from D&B/ Creditreform etc. (As per Cl. 7.1 of Chapter V) (MANDATORY): 2.0 FINANCIAL INFORMATION : (FOR LAST 3 YEARS) PARAMETER ANNUAL TURN OVER PROFIT AFTER TAX YEAR -1 YEAR -2 YEAR -3
( COPY OF AUDITED ANNUAL ACCOUNTS FOR LAST 3 YEARS TO BE ENCLOSED) 3.0 QUALITY MANAGEMENT SYSTEM : 3.1 3.1.1 3.1.2 IS THE COMPANY ISO:9001 CERTIFIED : YES / NO IF YES, ENCLOSE COPY OF CERTIFICATE & TABLE OF CONTENTS OF QUALITY MANUAL. IF NO, ENCLOSE QUALITY MANANGEMENT SYSTEM OR WRITTEN DOWN PROCEDURE
4.0 EXPERIENCE LIST/ PERFORMANCE CERTIFICATE FOR OFFERED / SIMILAR ITEMS : (ATTACH LIST OF PRESENT CUSTOMERS WITH NAME & ADDRESS FOR OFFERED / SIMILAR TYPE & SIZE OF ITEM / EQUIPMENT FOR WHICH REGISTRATION HAS BEEN SOUGHT AND WITH WHOM YOU HAVE CONTINUOUS BUSINESS SINCE LAST THREE YEARS ) 5.0 ANY OTHER INFORMATION : 6.0 LIST OF ENCLOSURES : (BROCHURES, CATALOGUES, TECHNICAL LITERATURE ETC.)
Signature & Seal

AUTHORISED SIGNATORY E Mail NAME :
TELEPHONE : (Landline):
DESIGNATION
Mobile :
DATE :
Annexure VI
Annexure-VI
AA:MM:SR:01 01 I of II
Guidelines to Contractors filling up the Registration Form

1. 2. 3.
Registration Form may be obtained from BHEL website www.bhel.com. Any clarification with respect to procedure for registration may be obtained from the Supplier Development Cell of respective BHEL unit/ Power sector Region. The Contractor Registration Form has three sections: Section-I: COMPANY PROFILE AND GENERAL INFORMATION Section-II : RESOURCES OWNED BY THE COMPANY Section-III : WORK EXPERIENCE For each of the Work experience format filled up, the following needs to be attached: i) Self attested Copy of Work Order/Award letter and allied documents containing interalia (a) Brief Description of work, (b) Value of Contract (c) Time schedule ii) Completion Certificates (Any one of the following): a) Self attested copies of Work Completion Certificates issued by Owner or agency who has awarded the contract. BHEL reserves the right to verify the autheticity of the document from the originator. Hence kindly see that all contractual details are available in the completion certificates to lend easy verification if required. b) Self attested copies of Protocol signed by Client and Owner, indicating the completion/achievement/execution of the Milestone achieved c) Self attested copies of Final Bill verified by Client/Customer which indicates the Quantum of work not less than that specified in Basic QR d) Documentary evidence issued by Owner/Client, indicating the progress of Work achieved not less than that specified in the Basic QR even if the total contract is not completed/closed iii) Relevant documents for each WORK EXPERIENCE format being filled up are to be submitted.
4.
5.
6. 7. 8. 9.
All columns are to be filled up properly in the space provided for. Wherever it is not applicable, please mention Not Applicable. The form is to be signed by the authorised signatory. A separate sheet may be attached if the space provided is insufficient or additional information is to be given. Please put proper identification tag on the separately attached sheet. Any information / clarification required by BHEL during evaluation must be given expeditiously. Please ensure that all required enclosures are attached with the filled up Supplier Registration Form and list of enclosures is given as required. Incomplete forms will be rejected. Please fill up the Forms to BHEL. check- list given below and send along with the Supplier Registration
10.
Please note that if you are registered and participate in Tender process and qualify to get order from BHEL, your performance based on Quality of your product, delivery performance and service rendered will be evaluated inline with Annexure VIII (page 4 of 4).
11.
If you are attaching a document in a language other than English, a self attested English translated document may please be also attached.
Annexure VI
Annexure-VI
Check List for Contarctor Registration Form
AA:MM:SR:01 01 II of II Yes/No
Sl.No. 1.
Check-Point Information against all points under Organizational Information has been given. All enclosures and supporting documents have been enclosed. Technical requirements, specifications, drawings ,standards have been received from BHEL before filling up Technical Competence. All the parts of the form & enclosures have been signed by Authorised Signatory.
2. 3.
4.
Signature & seal Date : (Authorised Signatory) Note: This check list is to be attached with the filled up Contractor Registration Form.
Annexure VI
Page 1 of 10
SECTION-I: Company Profile & Organisational Information 1.1 GENERAL INFORMATION Sl No Detail/Particulars 1.1.1 Name of Company seeking Registration:-
BHARAT HEAVY ELECTRICALS LIMITED CONTRACTOR REGISTRATION FORM

Remarks by BHEL, if any
1.1.1a
Work description/package for which registration is sought. Date of Incorporation/Establishment :(Please attach Certificate of Incorporation) Registered Office Address:-
Package code to be given by BHEL
1.1.2
1.1.3
1.1.4
Tel No : Fax No : Email ID: Web site : Head Office Address:-
1.1.5
Tel No : Fax No : Email ID: Web site : Mailing Address:-
1.1.6
Tel No : Fax No : Email ID: Web site : Officer to be contacted for clarification on CONTRACTOR Empanelment:Name & Address
Tel No : Fax No : Email ID:
Annexure VI
Page 2 of 10
SECTION-I: Company Profile & Organisational Information

1.1.7 i

Branches:Address:-
ii
Contact Person: Tel No : Fax No : Email ID : Address:-
iii
Contact Person: Tel No : Fax No : Email ID : Address:-
1.1.8 i
Contact Person: Tel No : Fax No : Email ID : Sister Concerns if any:Address: Contact Person: Tel No : Fax No : Email ID : Web site : Address: Contact Person: Tel No : Fax No : Email ID : Web site :
ii
Annexure VI
Page 3 of 10
SECTION-I: Company Profile & Organisational Information 1.2 OWNERSHIP INFORMATION 1.2.1 TYPE OF COMPANY Documents to be submitted (please tick any one applicable) i ii iii iv v vi vii viii Govt of India Undertaking State Govt Undertaking Public Limited Company Private Limited Company Co-operative Society Partnership Firm Proprietorship Any Other (specify)

Memorandum and Articles of Association Memorandum and Articles of Association Society Rules and Byelaws Partnership deed Professional Tax Registration & Municipal Registration Supporting docuemnts
1.2.2
DIRECTOR/PARTNER/OWNER/PROPRIETOR Position Held In Company INFORMATION
ii
iii
iv
Annexure VI
Page 4 of 10
SECTION-I: Company Profile & Organisational Information 1.3 REGISTRATION PARTICULARS Sl Description ( PLEASE INDICATE PARTICULARS No Required for IN THE SPACE PROVIDED FOR EACH) a All categories INCOME TAX (PERMANENT AC NO):b

Documents to be submitted
Copy of Certificate
SERVICE TAX REGISTRATION Sales Tax VAT Registration Number and Date : 1 2. 3. 4. 5. PF Registration CPWD/Government Organisation Geological Survey Of India/Equivalent IBR Contractorship License for Electrical Works (from any State/Union Territory of India) 1.4 A B MANPOWER Organisation Strength ( In number): (please submit Organisation Chart) List of Key Persons on rolls of the Company Category i ii iii iv v vi vii Resident Managers/Resident Engineers Site Engineers (Erection & Commissioning) Site Engineers (Quality) Site Safety Co-ordinators Site Supervisors Skilled Workmen Others
All Categories
Copy of Certificate
As applicable As applicable All categories As applicable As applicable All categories As applicable For Geo Tech Investigationsetc For Boiler and IBR Piping For Electrical Works
Copy of Certificate Copy of Certificate Copy of Certificate Copy of Certificate Copy of Certificate Copy of Certificate Copy of Certificate
d e
Copy of Certificate
Copy of Certificate
Copy of Certificate
No of persons in the Company
Qualification
Total work experience
Annexure VI
Page 5 of 10
1.5 A i ii iii iv v
SECTION-I: Company Profile & Organisational Information OTHER PARTICULARS Registration with BHEL Registration/ Empanelment and Other Firms
Number BHEL/Northern Region BHEL/Eastern Region BHEL Southern Region BHEL Western Region Electricity Boards
Registration/ Empanelment valid upto
Document to be submitted Documentary evidence Documentary evidence Documentary evidence Documentary evidence Documentary evidence
vi
NTPC/other Public Sector/Private Sector
Documentary evidence
vii
PWD/Railways
Documentary evidence
BANKING DETAILS OF COMPANY

Information of Bank Account of Company The following information of Bank Account of the Company, duly endorsed by the Bank (required for Electronic Fund Transfer EFT/RTGS) is to be submitted 1. 2. 3. 4. 5. 6. 7. 8. 9. Name of the Company Name of Bank Name of Bank Branch City/Place Account Number Account type IFSC code of the Bank Branch MICR Code of the Bank Branch Details of other Bankers (for reference purpose only) Document to be submitted Information of Bank Account of the Company, duly endorsed by the Bank Remarks by BHEL, if any
NOTE :
(i) CONTRACTORs who have already submitted the above information are requested to submit a copy of the same
Annexure VI
Page 6 of 10

SECTION-I: Company Profile & Organisational Information 1.6 A B C D QUALITY SYSTEMS Accreditation to ISO 9001 Accreditation to ISO 14000 Accreditation to OHSAS 18000 In House Quality Systems
Certificate Number and Valid upto Document to be submitted
Copy of accreditation certificate OR Copy of Table of Contents of Quality Manual Copy of accreditation certificate OR Copy of Table of Contents of Quality Manual Copy of accreditation certificate OR Copy of Table of Contents of Quality Manual Copy of quality mannual .
1.7 FINANCIAL INFORMATION FOR THE PREVIOUS THREE YEARS Financial Value in Rupees in Lakhs (Audited) Sl No Financial Information
Year
Value in Rupees in lakhs
i ii
NET WORTH (Latest) Paid up Share Capital# + Reserves SALES/TURN OVER (Last three Financial Years)
Average
iii
CASH PROFIT (PAT + Non Cash Expediture viz Depreciation) (Last three Financial Years)
iv v vi vii
Whether CONTRACTOR has been referred to BIFR/NCLT/ any other similar Govt. Agency (If YES enclose details) Whether CONTRACTOR is a potential sick Company (If YES enclose details)
YES/NO YES/NO
Copies of Audited Annual Accounts (Balance Sheet, P&L Account, Cash flow statement) for the last three (3) years to be submitted.
Status of Tax assessments done under various laws (Income Tax, VAT/Sales Tax, Excise & Service Tax, Custom) and details of disputes pending, if any, with these authorities to be submitted.
Legend: # : Share Capital OR Partnership Capital OR Proprietor Capital as the case may be
Annexure VI
Page 7 of 10
SECTION-II: Resources owned by the company
RESOURCES A) TOOLS & PLANTS, MACHINERY OWNED BY COMPANY SL NO Description of T&P, Machinery Make Capacity Year Quantity Remarks
1. Please indicate all important T&Ps, Machinery owned by Company 2. Please use additional sheets if required
Annexure VI
Page 8 of 10
SECTION-II: Resources owned by the company B)
INSPECTION, MEASURING AND TESTING EQUIPMENTS OWNED BY COMPANY SL NO Description of T&P, Machinery Make Capacity Year of make Quantity Next Calibration due Remarks
1. Please indicate all important Inspection, Measuring and Testing Equipments owned by Company 2. Please use additional sheets if required
Annexure VI
Page 9 of 10
SECTION-II: Resources owned by the company C) SL NO
TIEUPS or RATE CONTRACTS ENTERED INTO BY THE COMPANY FOR PROVIDING VARIOUS SERVICES WHICH THE COMPANY PROPOSES TO INDICATE SERVICES FOR WHICH TIEUPS / RATE CONTRACTS ENTERED FOR PROVIDING SERVICES PLEASE INDICATE WHETHER SHORT TERM ( 1 YEAR) OR LONG TERM (ABOVE 1 YEAR) Remarks
1. Please indicate all important Tie Ups enterd by Company for providing various services 2. Please use additional sheets if required
Annexure VI
Page 10 of 10

SECTION III: Work Experience
(use separate sheet for each CATEGORY/CODE)
WORK EXPERIENCE (in the last 5 years period ending on the date of submission of Application)
( use additional sheets if required)
GROUP
PACKAGE
CATEGORY
CODE
Sl no
Full Postal Address of Client and Officer in Charge
Brief description of Work & Quantities
Work Order No and date
Value of Contract in Rupees in Lakhs
Time schedule (in months)
Contractual Actual Present Date of date of Status Completion completion (of ongoing job)
Documents attached in support of columns (i) to viii)
(i)
1
(ii)
(iii)
(iv)
(v)
(vi)
(vii)
(viii)
(ix)
Annexure VII
CONTRACTOR EVALUATION Part A : ORGANISATIONAL SOUNDNESS

Sl. No.
1
Page 1 of 4
PARAMETER
NET WORTH: (from audited figures for the LATEST FINANCIAL YEAR) SALES/TURN OVER : (from Audited Accounts of last three FINANCIAL YEARS)
QUALIFICATION CRITERIA (MANDATORY)

Positive networth
EVALUATION BY BHEL (MARKS)

Criteria Yes :30 No :00 Maximum Marks 30 Marks awarded Marks awarded
Average annual turnover of last 3 years should be more than 30% of estimated value of work
Criteria Avg. TO >= 50% : 60 Avg. TO<50% >= 30% : 50 Avg. TO < 30% : 00 Code & Category: i ii iii iv v vi vii viii
Maximum Marks 60
3 Current Ratio = (Current Assets/ Current Liabilitites) OR Quick Ratio = {(Current Assets Inventories)/ Current Liabilitites} 4 BIFR/NCLT case OR SICK Current Ratio
Criteria (=>1.5:1) :10 (=>1.25 < 1.5:1) :05 (<1.25:1) :00 OR
Maximum Marks 10
Marks awarded
OR Quick Ratio
Should NOT have been referred to BIFR/NCLT or declared SICK by any Statutory Authority
(=>1.25:1) :10 10 (=>1:1) :05 (<1:1) :00 Note: Please take maximum marks obtained out of the above parameters. If yes, then not qualified. If no, marking as per above parameters
5 6
Remarks, if any : Signature of evaluation committee:
QUALIFIED
(Total Marks: 100) (Min. Qualifying Marks: 60)
NOT QUALIFIED
Annexure VII
CONTRACTOR EVALUATION Part B: QUALITY :
Page 2 of 4
Sl. No.
1
PARAMETER
Ability to deliver Quality Services in terms of Evidence of Quality Assuarance within the Organisation on the basis of various information available in the application OR on reports from existing Sites OR reports from Previous Works.
QUALIFICATION CRITERIA
1. 2. 3. 4. 5. Submission of Completion Reports/ certificate Worked satisfactorily with any BHEL Units/Power Sector Regions for similar jobs/works CONTRACTOR having business with 3 or more Customers Having continuous business in the last 3 years ISO 9001/ 14000 and OHSAS 18000 accreditation
EVALUATION BY BHEL (MARKS)

Criteria YES :20 No :00 YES :20 No :00 YES :20 No :00 YES :20 No :00 YES :20 No :00 Maximum Marks 20 20 20 20 20 Marks awarded
NOTE: If any of the above 3 Qualification Criterias are met, the Contractor can be treated as Qualified for Part B. CONTRACTOR evaluation for QUALITY (tick which ever applicable)
QUALIFIED
(Total Marks: 100) (Min. Qualifying Marks: 60)
NOT QUALIFIED
3 4
Remarks, if any : Signature of evaluation committee:
Annexure VII
CONTRACTOR EVALUATION Part C: TECHNICAL:
Page 3 of 4
EVALUATION BY BHEL (MARKS) Sl no

1
PARAMETER
BASIC REQUIREMENT
QUALIFICATION CRITERIA (MANDATORY)
Criteria
Yes :80 No :00 Should fulfil the BASIC Code & Category: REQUIREMENT for the i subject CATEGORY/WORK for which empanelment is sought ii iii Note: To be evaluated for every work for which Empanelment sought and given suitable code. iv v vi vii viii ix x
Maximum Marks 80
Marks awarded
Adequacy of T&P, Machinery (owned by the Company) Adequacy of Inspection, Measuring and Testing Equipments (owned by the Company)
Adequately available OR Available for the major part Adequately available OR Available for the major part
Criteria Yes No Yes No :10 :00 :10 :00
Maximum Marks 10 10
Marks awarded
Remarks, if any :
QUALIFIED
(Total Marks: 100) (Min. Qualifying Marks: 60) 5
NOT QUALIFIED
Signature of evaluation committee:
Annexure VII
CONTRACTOR EVALUATION Part D: FINAL RECOMMENDATION
Page 4 of 4
Name of CONTRACTOR
Table-1 CRITERIA for CONTRACTOR EMPANELMENT (for each PACKAGE/CODE)
SUMMARY: Sl. No 1. 2. 3. Criteria Organisational Soundness Quality Technical Capability TOTAL Maxm Marks 100 100 100 300 Qualifying marks * 60 60 60 180 Marks obtained
*Minimum Qualifying Score in Each category shall be 60%.

Evaluation of CONTRACTOR for Empanelment RECOMMENDED NOT RECOMMENDED ASSESSMENT CRITERIA Organisational Soundness QUALIFIED Quality QUALIFIED Technical Capability QUALIFIED
Sl no 1 2
IF NOT QUALIFIED FOR EVEN ANY ONE OF THE ABOVE ASPECTS
Table-2
Sl No 1 2 3 4 5 6 7 8 9 10
RECOMMENDATION FOR EMPANELMENT OF CONTRACTOR

GROUP PACKAGE CATEGORY CODE Recommendation of BHEL
Signature of evaluation committee:
EVALUATION OF CONTRACTOR PERFORMANCE
Annexure VIII
PAGE 1 OF 4
NOTE: This Evaluation Should be done EVERY QUARTER by the respective Regions for all contracts under executions. GENERAL Reporting Period Name of Site Name of Sub-Contractor Contract No./ LOI No. & Date Name of work Contract start date I. As per Contract II. Actual date of start Completion Status I. Physical completion in %age II. Running Bill amount paid in %age of Contract Value Scheduled completion time Actual date of completion Awarded Contract Value Final Contract value
Annexure VIII
PAGE 2 OF 4
MAX. SCORE SCORE OBTAINED
1.0 QUALITY
1.1 1.2 1.3 1.4 1.5 1.6 Amenability to Quality System Adherence to Quality Standards Preventing recurrence of defects/complaints Finishing and aesthetics Housekeeping Rating of Quality officer for quality control of job 5 5 5 5 5 5
2.0 DELIVERY
2.1 2.2 2.3 2.4 Achievements vis a vis Requirements/Commitments Timely Deployment of Manpower Timely Deployment of T&Ps and IMTEs Timely arrangement of consumables 5 5 5 5
3.0
3.1 3.2 3.3 3.4
MANPOWER
Experience and Job knowledge of Supervisory personnel Aptitude of supervisory Personnel (w.r.t. Attitude, initiative, leadership, cooperativeness etc) Adequacy of manpower (work force) deployed Competence of manpower (work force) deployed 5 5 5 5
4.0
4.1 4.2 4.3 4.4
T&Ps, IMTEs & CONSUMABLES

Adequacy of T&P & IMTEs as per site requirement Condition of T&P & IMTEs Ensuring fitness & calibration of T&P & IMTEs Adequacy of consumables as per site requirement 5 5 5 5 5 5 5 5 5 5
5.0
5.1 5.2 5.3 5.4 5.5 5.6
SITE INFRASTRUCTURE AND SERVICE

Site organization vis a vis commitment Readiness to rectify defects Providing support documents and records Speed of response Cooperativeness in delivering and implementing improvement measures Approachability of top management during critical requirements and its cooperation
Annexure VIII
PAGE 3 OF 4
MAX. SCORE SCORE OBTAINED
6.0
6.1 6.2
SITE FINANCE
Regularity in payment to staff and workers Financing Site Operations 5 5
7.0 HSE (Health Safety & Environment) & SA (Social Accountability)

7.1 7.2 Health & Safety awareness among employees Rating of Safety Supervisor on HSE Aspects 7.2.1 Experience and Job knowledge of Safety Supervisor 7.2.2 Rating of Safety Supervisor for controlling safety at site 7.3 Quality & usage of Safety gadgets 7.3.1 Personal Protective Equipments (PPE) 7.3.2 Use of Safety Equipments & Safety in Equipments(Safety Net, Toe guard, Proper earthing, fire-fighting equipments etc. 7.4 7.5 7.6 Use of Safety Posters Compliance to Social Accountablity Norms Rating based on Feed back of HSE & SA Audits 5 5 5 5 5
5 5 5
8.0 OTHERS
8.1 8.2 8.3 8.4 8.5 8.6 Concern for employees welfare and health (like first aid) Compliance to statutory requirements, state and local laws/regulations Tendency of taking undue advantage by interpreting contract clauses in their favour (Score 5 for no tendency) Understanding of contract (scope & contract clauses) Planning of work activities (Monthly/Weekly/Daily) Submission of Monthly/Weekly/Daily reports 5 5 5 5 5 5

EVALUATION
Max score Score obtained
Annexure VIII
PAGE 4 OF 4
Weightage factor 0.40 0.75 0.60 0.75 0.40 1.10 0.35 0.30 Weighted Score
Quality Delivery Manpower T&Ps, IMTEs & Consumables Site Infrastructure & Service Site Finance HSE & SA Others
30 20 20 20 30 10 40 30
Total Weighted Score

Any detail which Construction Manager wants to share with management
Less a) Score for accidents attributable to Contractor during the reporting period (Major @ 3 Minor @ 1) Major Accidents ----- Fatal , Permanent Disability, Major Damage to Equipment Minor Accidents ----- All Others
(-)
Net Weighted Score (OUT OF 100 ) :

Overall Performance evaluation: Net Weighted Score 80% and Above Between 60% To 80% 60% and Below Good/Satisfactory/Unsatisfactory
- Good - Satisfactory - Unsatisfactory
Dated: Specific Recommendation of Construction Manager;
Section Head/Site Engineer
Construction Manager
FOR SUB CONTRACT DEPTT.
Dated: GM/PROJECTS
Head (S/C)
Note: This summary evaluation sheet is to be sent to Contractor after every evaluation.

Bible of Vendor Audit

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Bible of Vendor Audit

Uploaded by

Copyright:

Available Formats

SUPPLIER EVALUATION, APPROVAL & REVIEW PROCEDURE 2010

Chapter- III Supplier Registration and Assessment Procedure

Document No. Revision No. Page No.

SUPPLIER REGISTRATION AND ASSESSMENT PROCEDURE

Chapter- III Supplier Registration and Assessment Procedure

Document No. Revision No. Page No.

Chapter- III Supplier Registration and Assessment Procedure

Document No. Revision No. Page No.

Chapter- III Supplier Registration and Assessment Procedure

Document No. Revision No. Page No.

Chapter- IV SUPPLIER REGISTRATION

Document No. Revision No. Page No.

Chapter- IV SUPPLIER REGISTRATION

Document No. Revision No. Page No.

REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS

Constituting Authority (CA)

Chapter-V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS

Document No. Revision No. Page No.

REGISTRATION MATRIX FOR SUPPLIERS OF VARIOUS TYPES

MISCC / SRC, Supplier Assessment Team

Permanent code or Development code or Trial code

Reputed Suppliers (Clause 5.0 of Chapter V)

Not Applicable MISCC / SRC

Not Applicable MISCC / SRC

SRF not required, however, statuary details shall be asked for.

Exceptional cases only

Chapter-V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS

Document No. Revision No. Page No.

MISCC / SRC / TCA

Registration of Agents to be discouraged and avoided to the extent possible.

Product MM Head Product MM Head

No registration recommended No formalities required for irregular requirements

MM Head/ Nominee of Unit Head -do

Customer Specific Suppliers Contractors for PS-Regions

MISCC/ SRC SRC SRF

MISCC/ SRC Chairman SRC

One time code will be allotted.

Constituting Authority for SRC

Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM

Document No. Revision No. Page No.

SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM

Q Q1 Q2 Q3 2.2 Delivery Rating (DR)

Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM

Document No. Revision No. Page No.

Document No. Revision No. Page No.

Chapter- VIII TRANSPARENCY

Document No. Revision No. Page No.

Document No. Revision No. Page No.

REGISTRATION OF CONTRACTORS FOR PS REGIONS AND SIMILAR WORKS IN UNITS/ DIVISIONS

Chapter-XI MAJOR ACTIVITY MATRIX

Document No. Revision No. Page No.

MISCC/ SRC/ TCA MISCC/ SRC

SDC/ SRC SDC/ SRC CQ/ Unit QM CQ

SUPPLIER REGISTRATION STATUS REPORT

Part E: Status of supplier application for registration *

SUPPLIER RATING FEEDBACK FORM

SPR= QR + DR+SR (Max. 100)

General Remarks, if any :

Document No. AA:MM:SR:01 Revision No. Page No. 01 I of II

11. 12. 13.

Document No. Revision No. Page No.

All enclosures and supporting documents have been enclosed.

Have you filled up Quality System format given in Part B?

BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM