NTPC LIMITED

(A GOVERNMENT OF INDIA ENTERPRISE)

CORPORATE CONTRACTS, NOIDA

NOTICE INVITING APPLICATIONS (NIA)

FOR

ENLISTMENT OF VENDORS FOR EPC AND MAIN PLANT PACKAGE FOR

PROJECTS HAVING 660 MW AND/OR 800 MW UNITS

1.NTPC Limited invites online applications from eligible vendors/ Contractors for the above mentioned Enlistment. The brief Scope of work is as follows:

The brief Scope of Work for EPC Package is as follows, which also covers the scope of Main Plant Package:

Design, Engineering, Manufacture, Supply, Construction, Erection, Testing & Commissioning works on the basis of single point responsibility, completely covering the following activities and services in respect of Steam Generator, Steam Turbine Generator, Water cooled/ Air Cooled Condenser (ACC), Cooling Tower, Electrostatic Precipitator, NOx Control System, Flue Gas Desulphurization, Coal Handling Plant, Ash Handling System, Water Treatment plant, Liquid effluent treatment plant, ClO2 system, Condensate polishing plant(CPU), ACW system, Compressed air (instrument & service air) system ,air conditioning & ventilation system for all buildings under Bidder’s scope of work ,fire detection

&protection System for entire power plant, Hydrogen Generation Plant, Switchyard and all electrical systems, complete Control & Instrumentation, complete Civil, Structural and Architectural works and Rooftop Solar PV Plants at buildings covered under the specifications:

a)Basic Engineering of the plant including preparation of Plant Definition Manuals;

b)Detailed design of all the equipment and equipment system(s) including civil, structure steel & Architectural works included in bidder's scope.

c)Providing engineering drawings, equipment sizing & performance data, instruction manuals, as built drawings and other information;

d)Compliance with statutory requirements and obtaining clearances from statutory authorities, wherever required;

e)Complete manufacturing including shop testing/type testing;

f)The complete Civil, structural and architectural works.

g)Packing and transportation from the manufacturer’s works to the site including logistic studies, insurance, customs clearance & port clearance, port charges, if any.

h)Receipt, storage, preservation, handling and conservation of equipment at the site;

i)Fabrication, pre-assembly, if any, erection, insurance, testing, commissioning and completion of facilities including putting into satisfactory operation all the equipment including successful completion of initial operation;

j)Performance and guarantee tests Along with initial operation;

k)Supply of spares on FOR site basis;

l)Reconciliation with Customs Authorities;

m)Satisfactory conclusion of the Contract;

n)Insurance and other requirements

2.The Enlistment Documents will be available for examination at the address given below and may be downloaded as per following schedule:

3.Eligibility Criteria/Qualifying Requirements for Enlistment of Vendors for EPC and Main Plant Package for projects having 660 MW and/or 800 MW units are specified as Annexure-I .

4.Subsequent to Enlistment, only the enlisted agencies will be allowed to submit the bids in respect of specific enquiry of Corporate Centre / Regional Head Quarters / Projects for EPC and main plant package for thermal power projects having 660 MW and/or 800 MW units till the time Enlistment is valid.

5.NTPC reserves the right to reject any or all applications or cancel / withdraw the ‘Notice Inviting Applications’ without assigning any reasons whatsoever and in such case no Applicant or intending Applicant shall have any claim arising out of such action. NTPC shall also have the right to verify any information / document furnished by the Applicant / Agency / Company / Firm and inspect the works carried out by the Applicant / Agency / Company / Firm, if so required.

6.Applicants who respond within due date with application as mentioned above against this advertisement will only be considered for Enlistment.

7.Initial steps for participating in our E-tender is as per the table mentioned below:

Note:

1.The applicant can login to e-tender site (SRM login site) for participating in our Enlistment after complying to the above. The agency can reach our e-tender site (SRM login site) directly through the address mentioned below.

https://etender.ntpclakshya.co.in/sap/bc/gui/sap/its/bbpstart

2.Digital Certificate (Class III) is a must for Applicants desiring to participate in this Enlistment. For further details regarding this please visit the link “GUIDELINES TO BIDDERS” in NTPC E- Tender Website. NTPC won’t be responsible for any Applicant not having a suitable valid digital certificate.

8.Issuance of Enlistment Documents to any Applicant shall not construe that such Applicant is considered to be qualified. The Applicant shall bear all costs incurred in the preparation and submission of the application and other actions implied. NTPC shall not be responsible or liable for such costs, regardless of the outcome of the Enlistment process.

9.The Enlistment documents purchased either by SG manufacturer or STG manufacturer or Holding company of SG manufacturer or Holding company of STG manufacturer or Indian JV Company of SG manufacturer or Indian JV Company of STG manufacturer or Indian Subsidiary Company of SG manufacturer or Indian Subsidiary Company of STG manufacturer or Indian Company who holds at least 51% equity in the Indian JV Company of SG manufacturer or STG manufacturer or a Company having experience of 500 MW supercritical Units on EPC basis are transferable amongst them.

It may be noted that Prospective Applicants from Uttar Pradesh State are compulsorily required to provide TIN Number at the time of purchase of Enlistment Documents from NTPC.

10.Address for communication:

Manager (CS) / DGM (CS)

NTPC LIMITED.

6th Floor, Engineering Office Complex, Plot No.A-8A, Sector -24, Noida – 201301

Distt. GautamBudh Nagar, State of U.P., INDIA, Tel. Nos.: 0120-4948667 / 4946667

Email Id.: sthareja@ntpc.co.in / abhishekjain02@ntpc.co.in Websites: https://etender.ntpclakshya.co.in/sap/bc/gui/sap/its/b bpstart or www.ntpctender.comorwww.ntpc.co.in

ANNEXURE-I

ANNEXURE-I STANDARD QUALIFYING REQUIREMENTS(QR) FOR EPC AND MAIN PLANT PACKAGE FOR ENLISTMENT OF VENDORS FOR PROJECTS HAVING 660

MW AND/OR 800 MW UNITS

1.0.0The Applicant should meet the qualifying requirements of any one of the qualifying routes stipulated under clause 1.1.0 or 1.2.0 or 1.3.0 or 1.4.0 or 1.5.0 or 1.6.0 or 1.7.0. In addition, the Applicant should also meet the requirements stipulated under clause 2.0.0, 3.0.0, 4.0.0 & 5.0.0.

1.1.0Route 1: Qualified Steam Generator and/or Qualified Steam Turbine Generator Manufacturer

1.1.1(A) The Applicant should have designed, engineered, manufactured/got manufactured, erected/supervised erection, commissioned/supervised commissioning of at least one (1) number of pulverized coal fired supercritical Steam Generator having rated capacity of 1500 tonnes of steam per hour or higher. Further, such Steam generator should be of the type specified, i.e. single pass (tower type) or two pass type using either spiral wound (inclined) or vertical plain or vertical rifled type water wall tubing, and should have been in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment. In addition, the above Steam Generator should have been provided with evaporator suitable for variable pressure operation (sub-critical and super-critical pressure ranges).The Bidder shall offer only the type of Steam Generator and type of water wall tubing for which he is qualified.

AND/OR

1.1.1(B) The Applicant should have designed, engineered, manufactured / got manufactured, erected / supervised erection, commissioned / supervised commissioning of (i) at least one (1) number supercritical steam turbine of tandem compound, condensing, reheat type of 500 MW or higher capacity with main steam pressure, of 225 Kg/cm2 (gauge) or higher and main steam / reheat temperature of 565 oC / 565 oC or higher and (ii) at least one (1) number of generator of two pole, Thermal class 155(F) winding insulation, hydrogen / water cooled stator and hydrogen / water cooled rotor of 500MW or above capacity. These steam turbine and generator should have been in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment.

1.1.2The Applicant should have registered in India under the Companies Act of India, either a Subsidiary Company or a Joint Venture (JV) Company for manufacturing of supercritical steam generator sets and/or supercritical steam turbine generator sets for which it is qualified.

(a)In case the Applicant has formed a Subsidiary Company then the Subsidiary Company of the Qualified Steam Generator and/or Qualified Steam Turbine Generator Manufacturer should have been registered in India under the Companies Act of India for manufacturing supercritical steam generator and/or supercritical steam turbine generator sets covering the type, size and rating specified as on the last date of submission of application for Enlistment. If the Subsidiary Company is registered as a public limited Company then it should have obtained certificate for Commencement of Business in India as on the date of submission of application for Enlistment.

The Subsidiary Company shall remain a subsidiary Company of the Qualified Steam Generator Manufacturer and/or Qualified Steam Turbine Generator Manufacturer for a minimum period of 7 years from the date of incorporation of such Subsidiary Company or up to the end of the defect liability period of the contract whichever is later.

(b)In case the Applicant has formed a JV Company then, the Joint Venture (JV) Company should have been incorporated in India under the Companies Act of India, as on the last date of submission of application for Enlistment

ANNEXURE-I

and promoted by (i) an Indian Company registered in India under the Companies Act of India and (ii) a Qualified Steam Generator Manufacturer and/or Qualified Steam Turbine Generator Manufacturer, for the purpose of manufacturing supercritical steam generator and/or supercritical steam turbine generator sets covering the type, size and rating specified. If the JV Company is incorporated as a public limited Company then it should have obtained certificate for Commencement of Business in India as on the last date of submission of application forEnlistment.

The Qualified Steam Generator Manufacturer and/or Qualified Steam Turbine Generator Manufacturer shall maintain a minimum equity participation of 26% in the JV Company for a lock-in period of 7 years from the date of incorporation of JV Company or up to the end of the defect liability period of the contract whichever is later.

One of the promoters shall be a majority stakeholder who shall maintain a minimum equity participation of 51% in the JV Company for a lock in period of 7 years from the date of incorporation of JV Company or up to the end of the defect liability period of the contract whichever is later.

(c)In case the Applicant meets the requirements indicated at 1.1.1(A)/(B) and 1.1.2(a)/(b) for either steam Generator sets or steam turbine generator sets (and not for both) then the Applicant shall associate/ collaborate for the other equipment with either of the following and shall source the equipment i.e. steam turbine generator set or steam generator set, only from such qualified associate.

(i)Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(B) in conjunction with 1.1.4 (as applicable) or 1.1.1(A) above as the case

may be along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the respective equipment Or

(ii)Indian subsidiary / JV Company of Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.3.1(a) in conjunction with 1.3.3 (if applicable) or 1.4.1(a) in conjunction with 1.4.3 (if applicable) as the case may be along with requirements stipulated at 3.0.0 for the respective equipment

Or

(iii) Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause 1.6.1 in respect of supercritical Steam Generator and/or supercritical Steam turbine Generator (as the case may be) and 3.0.0 for the respective equipment.

1.1.3The Bidder shall furnish Deeds of Joint Undertaking (DJUs) as per the following table:

1.1.4A super critical steam turbine manufacturer who meets the requirements of clause 1.1.1(B) except for generator would also qualify provided the Subsidiary Company / JV Company (as the case may be) associates and have a Technology Transfer agreement with a Generator Manufacturer who meets the requirements of clause 1.1.1(B) fully in respect of generator, hereinafter referred to as Qualified Generator Manufacturer.

ANNEXURE-I

The Qualified Generator Manufacturer shall maintain a minimum equity participation of 10 % in the Indian Subsidiary Company or the JV Company (as the case may be), for a lock-in period of 7 years from the date of incorporation of the Indian Subsidiary Company or JV Company (as the case may be) or up to the end of defect liability period of the contract whichever is later.

The Qualified Generator Manufacturer shall necessarily be one of the executants of DJU to be submitted by the Bidder (for steam turbine generator and auxiliaries) as per clause 1.1.3 above.

1.2.0Route 2: Indian Steam Generator and Steam Turbine Generator Manufacturer

1.2.1The Applicant should be an Indian Steam Generator and Steam Turbine Generator Manufacturing company who have designed, engineered, manufactured/got manufactured, erected/ supervised erection, commissioned/ supervised commissioning (i) at least one (1) number pulverized coal fired steam generator for a 500 MW or higher size unit and (ii) at least one (1) number of reheat type of steam turbine and generator set of 500 MW or above capacity, which should have been in successful operation for a period of not less than one(1) year prior to the last date of submission of application for Enlistment.

Such Indian Steam Generator and Steam Turbine Generator Manufacturing Company should have valid ongoing collaboration and technology transfer agreement(s) including license to manufacture and supply supercritical steam generator and supercritical steam turbine generator sets covering the type, size and rating specified, in India with a Qualified Steam Generator Manufacturer and a Qualified Steam Turbine Generator manufacturer meeting requirements of clause 1.1.1(A) and 1.1.1(B) respectively, valid as on last date of submission of application for Enlistment. The collaboration and technology transfer agreements could be separate for supercritical steam generator and supercritical steam turbine generator with separate Qualified Steam Generator Manufacturer and Qualified Steam Turbine Generator Manufacturer. The Bidder shall offer only the type of Steam Generators i.e. single pass (tower type) or two pass type and type of water wall tubing for which its Collaborator is qualified.

1.2.2The Bidder shall furnish two separate DJUs (i) executed by it and the Qualified Steam Generator Manufacturer in which the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the Supercritical Steam Generator and (ii) other executed by it and the Qualified Steam Turbine Generator Manufacturer, in which the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the Super Critical Steam Turbine Generator as per the formats enclosed in Enlistment documents. The Deeds of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected.

In case of award, the Qualified Steam Generator Manufacturer and Qualified Steam Turbine Generator Manufacturer will be required to furnish an on demand bank guarantee for an amount of 0.6% each of the total contract price of the EPC/Main Plant Package in addition to the contract performance security to be furnished by the Bidder.

1.2.3In case the Applicant has a valid ongoing collaboration and technology transfer agreement with a super critical steam turbine manufacturer who meets the requirements of clause 1.1.1(B) except for generator would also qualify provided the Applicant associates and has a Technology Transfer agreement with a Generator Manufacturer who meets the requirements of clause 1.1.1(B) fully in respect of generator.

The Qualified Generator Manufacturer shall necessarily be one of the executants of DJU to be submitted by the Bidder (for steam turbine generator and auxiliaries) along with the price bid as per clause 1.2.2 above, in which the

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projects shall be in successful operation for a period of not less than one year prior to the last date of submission of application for Enlistment.

(b)In case the Applicant meets the requirements indicated at 1.4.1(a) for either steam Generator sets or steam turbine generator sets (and not for both) then the Applicant shall associate/ collaborate for the other equipment with either of the following and shall source the equipment i.e. steam turbine generator set or steam generator set, only from such qualified associate.

(i)Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(B) in conjunction with 1.1.4 (as applicable) or 1.1.1(A) above as the case may be along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the respective equipment

Or

(ii)Indian subsidiary / JV Company of Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.3.1(a) in conjunction with 1.3.3 (if applicable) or 1.4.1(a) in conjunction with 1.4.3 (if applicable) as the case may be along with requirements stipulated at 3.0.0 for the respective equipment

Or

(iii) Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause 1.6.1 in respect of supercritical Steam Generator and/or supercritical Steam turbine Generator (as the case may be) and 3.0.0 for the respective equipment.

1.4.2The Bidder shall furnish Deeds of Joint Undertaking (DJUs) as per the following table:

ØIn the Deed of Joint Undertaking for Steam Generator and Auxiliaries, all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to steam generator and auxiliaries as per the format enclosed in the Enlistment documents.

ØIn the Deed of Joint Undertaking for Steam Turbine Generator and Auxiliaries all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to Steam Turbine Generator and Auxiliaries including turbine cycle, regenerative feed heating and pumping system as per the format enclosed in the Enlistment documents.

ØQualified Generator Manufacturer (where ever applicable) shall be liable to the Employer for successful performance of the generator and its auxiliaries as per the format enclosed in the Enlistment documents

ØWhere the Bank Guarantee (BG) amount is indicated as %, the same shall be % of the total contract price.

ØIn case the Applicant gets qualified using notes and/or other clauses then the DJU and BG requirement indicated in such notes / clauses shall also apply in addition to above.

ØThe Deeds of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected.

ØApplicable BGs are in addition to the contract performance security to be furnished by the Bidder.

ØApplicable BGs shall be furnished in case of award.

1.4.3In case the Applicant is an Indian Joint Venture Company with a super critical steam turbine manufacturer as one of the promoters meeting the requirements of clause 1.1.1(B) except for generator or if the Applicant’s associate is supercritical steam turbine manufacturer meeting the requirements of clause 1.1.1(B) except for generator would also qualify provided the JV Company/ Subsidiary Company of the super critical steam turbine generator manufacturer associates and have a Technology Transfer agreement with a Generator Manufacturer who meets the requirements of clause 1.1.1(B) fully in respect of generator.

The Qualified Generator Manufacturer shall maintain a minimum equity participation of 10 % in the Indian JV Company / Subsidiary Company, for a lock-in period of 7 years from the date of incorporation of the Indian JV Company / Subsidiary Company or up to the end of defect liability period of the contract whichever is later.

The Qualified Generator Manufacturer shall necessarily be one of the executants of DJU to be submitted by the Bidder (for steam turbine generator and auxiliaries) as per clause 1.4.2 above.

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1.5.0Route 5: Indian Company who holds at least 51% equity in a Joint Venture Company for manufacturing Super Critical Steam Generator and/or supercritical Steam Turbine Generator sets in India between an Indian Company and a Qualified Steam Generator and/or Qualified Steam Turbine Generator Manufacturer

1.5.1(a) The Applicant shall be Indian Company who holds majority stake in a Joint Venture Company incorporated in India under the Companies Act of India as on the last date of submission of application for Enlistment, promoted by (i) a Company registered in India under the Companies Act of India and (ii) a Qualified Steam Generator and/or Qualified Steam Turbine Generator Manufacturer meeting requirements of clause 1.1.1(A) and/or 1.1.1(B) (as the case may be), created for the purpose of manufacturing supercritical steam generator and/or supercritical steam turbine generator sets in India, covering the type, size and rating specified. If the JV Company is incorporated as a public limited Company then it should have obtained certificate for Commencement of Business in India as on the last date of submission of application for Enlistment.

The Qualified Steam Generator and/or Qualified Steam Turbine Generator Manufacturer shall maintain a minimum equity participation of 26% in the JV Company for a lock-in period of 7 years from the date of incorporation of JV Company or up to the end of the defect liability period of the contract whichever is later.

The Applicant shall maintain a minimum equity participation of 51% in the JV Company for a lock in period of 7 years from the date of incorporation of JV Company or up to the end of the defect liability period of the contract whichever is later.

The Applicant should have executed in the last 10 years projects on EPC basis (with or without civil works) in the area of power, steel, oil & gas, petro-chemical, fertilizer and / or any other process industry with the total value of such projects being INR 10000 million or more. At least one of such projects should have a contract value of INR 4000 million or more. These projects shall be in successful operation for a period of not less than one year prior to the last date of submission of application for Enlistment.

(b)In case the Applicant meets the requirements indicated at 1.5.1(a) for either steam Generator sets or steam turbine generator sets(and not for both) then the Applicant shall associate/ collaborate for the other equipment with either of the following and shall source the equipment i.e. steam turbine generator set or steam generator set, only from such qualified associate.

(i)Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(B) in conjunction with 1.1.4 (as applicable) or 1.1.1(A) above as the case may be along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the respective equipment

Or

(ii)Indian subsidiary / JV Company of Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.3.1(a) in conjunction with 1.3.3 (if applicable) or 1.4.1(a) in conjunction with 1.4.3 (if applicable) as the case may be along with requirements stipulated at 3.0.0 for the respective equipment

Or

(iii)Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause

1.6.1in respect of supercritical Steam Generator and/or supercritical Steam turbine Generator (as the case may be) and 3.0.0 for the respective equipment.

ANNEXURE-I

1.5.2The Bidder shall furnish Deeds of Joint Undertaking (DJUs) as per the following table:

ØIn the Deed of Joint Undertaking for Steam Generator and Auxiliaries, all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to steam generator and auxiliaries as per the format enclosed in the Enlistment documents.

ØIn the Deed of Joint Undertaking for Steam Turbine Generator and Auxiliaries all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of contract for the scope related to Steam Turbine Generator and Auxiliaries including turbine cycle, regenerative feed heating and pumping system as per the format enclosed in the Enlistment documents.

ØQualified Generator Manufacturer (where ever applicable) shall be liable to the Employer for successful performance of the generator and its auxiliaries as per the format enclosed in the Enlistment documents

ØWhere the Bank Guarantee (BG) amount is indicated as %, the same shall be % of the total contract price.

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Enlistment valid up to 10 years from the last date of submission of application for Enlistment, as per the format enclosed in the Enlistment documents.

The Bidder shall offer only the type of steam generator and the steam turbine generator for which it or its collaborator / associate (as per clause 1.6.2 below) is qualified.

1.6.2(a) In case the Applicant meets the requirements indicated at 1.6.1 above for either steam Generator sets or steam turbine generator sets (and not for both) then the Applicant shall associate/ collaborate for the other equipment with either of the following and shall source the equipment i.e. steam turbine generator sets or steam generator sets, only from such qualified associate.

(i)Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(B) in conjunction with 1.1.4 (as applicable) or 1.1.1(A) above as the case may be along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the respective equipment

Or

(ii)Indian Steam Generator and Steam Turbine Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.2.1 in conjunction with 1.2.3 (as applicable) above along with requirements stipulated at 3.0.0 for the respective equipment

Or

(iii)Indian subsidiary / JV Company of Qualified Steam Turbine Generator Manufacturer or Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.3.1(a) in conjunction with 1.3.3 (if applicable) or 1.4.1(a) in conjunction with 1.4.3 (if applicable) as the case may be along with requirements stipulated at 3.0.0 for the respective equipment

Or

(iv)Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause

1.6.1in respect of supercritical Steam Generator or supercritical Steam turbine Generator (as the case may be) and

3.0.0for the respective equipment.

(b)The Bidder seeking qualification under (a) above shall furnish Deeds of Joint Undertaking (DJUs) for the respective equipment (as applicable) as per the following table:

Ø In the Deed of Joint Undertaking for Steam Generator and Auxiliaries, all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to steam generator and auxiliaries as per the format enclosed in the Enlistment documents.

Ø In the Deed of Joint Undertaking for Steam Turbine Generator and Auxiliaries all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to Steam Turbine Generator and Auxiliaries including turbine cycle, regenerative feed heating and pumping system as per the format enclosed in the Enlistment documents.

Ø If the Steam Generators/steam turbine generators are being sourced from the associate as per clause 1.6.2 (a) (ii), then in the Deed of Joint Undertaking the liability of the Qualified Steam Generator manufacturer / Qualified steam turbine generator manufacturer shall be as defined at clause 1.2.2 for the respective equipment as per the format enclosed in the Enlistment documents.

Ø Qualified Generator Manufacturer (where ever applicable) shall be liable to the Employer for successful performance of the generator and its auxiliaries as per the format enclosed in the Enlistment documents

Ø Where the Bank Guarantee (BG) amount is indicated as %, the same shall be % of the total contract price.

Ø In case the Applicant gets qualified using notes and/or other clauses then the DJU and BG requirement indicated in such notes / clauses shall also apply in addition to above.

Ø The Deeds of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected.

Ø Applicable BGs are in addition to the contract performance security to be furnished by the Bidder. Ø Applicable BGs shall be furnished in case of award.

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1.6.3The Bidder shall furnish Deeds of Joint Undertaking (DJUs) as per the following table:

ØThe Deeds of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected.

ØApplicable BGs are in addition to the contract performance security to be furnished by the Bidder.

ØApplicable BGs shall be furnished in case of award.

1.6.4In case the Applicant’s associate is supercritical steam turbine manufacturer meeting the requirements of clause 1.1.1(B) except for generator would also qualify provided the JV Company/ Subsidiary Company of the super critical steam turbine generator manufacturer associates and have a Technology Transfer agreement with a Generator Manufacturer who meets the requirements of clause 1.1.1(B) fully in respect of generator.

The Qualified Generator Manufacturer shall maintain a minimum equity participation of 10 % in the Indian JV Company / Subsidiary Company, for a lock-in period of 7 years from the date of incorporation of the Indian JV Company / Subsidiary Company or up to the end of defect liability period of the contract whichever is later.

The Qualified Generator Manufacturer shall necessarily be one of the executants of DJU to be submitted by the Bidder (for steam turbine generator and auxiliaries) as per clause 1.6.2 above.

1.7.0Route 7: Company having experience of 500MW Supercritical units on EPC Basis

1.7.1(a) The Applicant should have executed on Engineering, Procurement and Construction (EPC) basis, minimum one (1) no. 500MW or above pulverized Coal fired Supercritical unit comprising of at least steam generator and steam turbine generator sets along with their associated auxiliary equipments, electrostatic precipitators/bag filters, Switchyard, Coal Handling plant, Ash handling plant, Cooling Towers, Condenser Cooling water system, including associated civil works for the above equipments and systems, which is in successful operation for a period of not less than one

(1) year prior to the last date of submission of application for Enlistment.

(b)The Applicant meeting the requirements indicated at 1.7.1(a) above except for electrostatic precipitators/bag filters, Switchyard, Coal Handling plant, Ash handling plant, Cooling Towers, Condenser Cooling water system, would also qualify provided the Applicant meets the requirement indicated at 4.1.0(b) or associates with a Project Management Organization meeting the requirement indicated at 4.1.0(b).

1.7.2The Applicant shall associate/ collaborate for the (i) Steam Generator and (ii) Steam Turbine Generator sets and shall source these equipments only from the Associate / Collaborator who meets the following:

(i)Qualified Steam Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(A) along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the Steam Generator

Or

Indian subsidiary / JV Company of Qualified Steam Generator Manufacturer, who shall in turn meet the requirements, stipulated at 1.3.1(a) or 1.4.1(a) as the case may be along with requirements stipulated at 3.0.0 for the Steam Generator

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Or

Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause 1.6.1 in respect of supercritical Steam Generator and 3.0.0 for the respective equipment.

(ii)Qualified Steam Turbine Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.1.1(B) in

conjunction with 1.1.4 (as applicable) above along with requirements stipulated at 1.1.2 (a) / (b) and 3.0.0 for the Steam Turbine Generator Sets.

Or

Indian subsidiary / JV Company of Qualified Steam Turbine Generator Manufacturer, who shall in turn meet the requirements stipulated at 1.3.1(a) in conjunction with 1.3.3 (if applicable) or 1.4.1 (a) in conjunction with 1.4.3 (if applicable) along with requirements stipulated at 3.0.0 for the Steam Turbine Generator Sets.

Or

Indian Subsidiary Company / JV Company /Indian manufacturing company meeting the requirements of clause 1.6.1 in respect of supercritical Steam turbine Generator and 3.0.0 for the respective equipment.

1.7.3The Bidder shall furnish Deeds of Joint Undertaking (DJUs) as per the following table:

ØIn the Deed of Joint Undertaking for Steam Generator and Auxiliaries, all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to steam generator and auxiliaries as per the format enclosed in the Enlistment documents.

ØIn the Deed of Joint Undertaking for Steam Turbine Generator and Auxiliaries all the executants of DJU shall be jointly and severally liable to the Employer for successful performance of the contract for the scope related to Steam Turbine Generator and Auxiliaries including turbine cycle, regenerative feed heating and pumping system as per the format enclosed in the Enlistment documents.

ØQualified Generator Manufacturer (where ever applicable) shall be liable to the Employer for successful performance of the generator and its auxiliaries as per the format enclosed inthe Enlistment documents.

ØWhere the Bank Guarantee (BG) amount is indicated as %, the same shall be % of the total contract price.

ØIn case the Applicant gets qualified using notes and/or other clauses then the DJU and BG requirement indicated in such notes / clauses shall also apply in addition to above.

ØThe Deeds of Joint Undertaking shall be submitted along with price bid , failing which the Bidder shall be disqualified and its bid shall be rejected.

ØApplicable BGs are in addition to the contract performance security to be furnished by the Bidder.

ØApplicable BGs shall be furnished in case of award.

1.7.4In case the Applicant’s associate is supercritical steam turbine manufacturer meeting the requirements of clause 1.1.1(B) except for generator would also qualify provided the Subsidiary Company / JV Company of the supercritical steam turbine generator manufacturer associates and has a Technology Transfer agreement with a Generator Manufacturer who meets the requirements of clause 1.1.1(B) fully in respect of generator.

The Qualified Generator Manufacturer shall maintain a minimum equity participation of 10 % in the Indian Subsidiary Company / JV Company for a lock-in period of 7 years from the date of incorporation of the Indian Subsidiary Company /JV Company or up to the end of defect liability period of the contract, whichever is later.

The Qualified Generator Manufacturer shall necessarily be one of the executants of DJU to be submitted by the Bidder (for steam turbine generator and auxiliaries) as per clause 1.7.3 above.

Notes for clause 1.0.0

(1)Definitions

(i)“Qualified Steam Generator Manufacturer” (QSGM) means a manufacturer meeting requirements stipulated at 1.1.1(A).

(ii)“Qualified Steam Turbine Generator Manufacturer” (QSTGM) means a manufacturer meeting requirements stipulated at 1.1.1(B).

(iii)Wherever “Indian Manufacturing Company” is indicated, the same shall mean a Subsidiary Company or a Joint Venture Company or an Indian Steam Generator Manufacturing Company or an Indian Steam Turbine Generator Manufacturing Company registered in India under the Companies Act of India or as per the prevailing laws of India.

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(iv)Wherever the term 'coal fired' is appearing above, "coal" shall be deemed to also include bituminous coal/sub- bituminous coal/brown coal/lignite

(2)Erection/Commissioning

Where erection / supervision of erection and commissioning / supervision of commissioning has not been in the scope of the Applicant as mentioned in clause 1.1.0 & 1.2.0, it should have acted as an advisor for erection and commissioning of the Steam Generator & auxiliaries/ Steam Turbine & Generator, as the case may be. Necessary documents / certificates from the client, in support of above shall be furnished along with submission of application for Enlistment.

(3)Direct / Indirect order

i)The Applicant / Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer / Qualified Generator Manufacturer shall also be considered qualified, in case the award for the reference works (steam generator / Turbine and generator) has been received by the Applicant / Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer / Qualified Generator Manufacturer either directly from owner of plant or any other intermediary organization. A certificate from such owner of plant or the intermediary organization shall be required to be furnished by the Applicant / Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer / Qualified Generator Manufacturer along with submission of application for Enlistment in support of its claim of meeting requirement stipulated at 1.1.1(A), 1.1.1(B), 1.1.4, 1.2.1 and 1.2.3 above as the case may be.

ii)Certificate from owner of the plant shall also be furnished by the Applicant / Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer for the successful operation of the steam generator / turbine generator set as specified at 1.1.1(A), 1.1.1(B), 1.1.4, 1.2.1 and 1.2.3 above as the case may be along with submission of application for Enlistment.

(4)Holding Company as a Qualified Steam Generator Manufacturer and/or Qualified Steam Turbine Generator Manufacturer

(i)A Holding Company, singularly or collectively along with its Subsidiaries (held either directly or indirectly), meeting the requirements of clause 1.1.1(A) / 1.1.1(B) above, and also owning the technology for supercritical steam generators / supercritical steam turbine generators, shall also be considered as Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer. However, in such a case either the Indian subsidiary Company created for manufacturing of supercritical steam generator / supercritical steam turbine generators in India shall be a subsidiary of the Holding Company or the Holding Company shall maintain a minimum equity of 26% in the Joint Venture Company, created for manufacturing of supercritical steam generator / supercritical steam turbine generators in India.

(ii)In such a case, the Holding Company and all such subsidiaries lending strength / experience to the Holding Company shall necessarily be part of the DJU to be submitted by the Bidder for successful performance of the contract for the scope related to steam turbine generator and auxiliaries including turbine cycle, regenerative feed heating and pumping system / contract for the scope related to steam generator and auxiliaries (as the case may be) as per the format enclosed in Enlistment documents.

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In case of award, if the Holding Company itself is not the Applicant as a Qualified Steam Generator / Qualified Steam Turbine Generator Manufacturer, the Holding Company and all such entities lending strength / experience to the Holding Company shall each be required to furnish separate on demand bank guarantees for an amount aggregating 0.6% of the total contract price of the EPC /Main Plant Package divided equally among them, in addition to the contract performance security to be furnished by the Bidder. This bank guarantee requirement shall supersede bank guarantee requirement stipulated at clause 1.1.0(applicable for associate), 1.3.0, 1.4.0, 1.5.0 & 1.7.0 for the Qualified Steam Generator / Qualified Steam Turbine Generator Manufacturer.

However, in case the Holding Company itself is the Applicant as a Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer as per clause 1.1.0, Applicant shall submit its board resolution stating that in case of any likely change of management control of any of these subsidiaries, the Bidder shall arrange for separate on demand bank guarantees from all such entities lending strength / experience to the Holding Company for fulfillment of requirement of clause 1.1.1(A) / 1.1.1(B) for an amount aggregating 0.6% of the total contract price of the EPC /Main Plant Package divided equally among them before the change in management control actually occurs.

(iii)As an alternative to the requirements of Note 4(ii) above, the Holding Company, as a Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer, shall necessarily be part of the DJU to be submitted by the Bidder for successful performance of the contract for the scope related to steam turbine generator and auxiliaries including turbine cycle, regenerative feed heating and pumping system / contract for the scope related to steam generator and auxiliaries (as the case may be) as per the format enclosed in Enlistment documents. However, the Applicant shall submit a board resolution of the Holding Company stating that in case of any likely change of management control of any of these subsidiaries, the Holding Company shall arrange for signing of DJU by all such subsidiaries lending strength / experience to the Holding Company for fulfillment of requirement of clause 1.1.1(A) / 1.1.1(B), in line with the requirements of Note 4(ii) above before the change in management control actually occurs. In case of award, if the Holding Company itself is not the Applicant as a Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer, the Holding Company shall be required to furnish separate on demand bank guarantee for an amount of 0.6%of the total contract price of the EPC /Main Plant Package, in addition to the contract performance security to be furnished by the Bidder. This bank guarantee requirement shall supersede bank guarantee requirement stipulated at clause 1.1.0(applicable for associate), 1.3.0, 1.4.0, 1.5.0 & 1.7.0 for the Qualified steam generator / Qualified Steam Turbine Generator Manufacturer. In case of any likely change of management control of any of its subsidiaries lending strength/ experience, the Holding Company shall arrange for signing of DJU and bank guarantees from all such subsidiaries lending strength / experience to the Holding Company for fulfillment of requirement of clause 1.1.1(A) / 1.1.1(B), in line with Note 4(ii) above before the change in management control actually occurs, in addition to the bank guarantee already furnished by the Holding Company. However, in case the Holding Company itself is the Applicant as a Qualified steam generator manufacturer / Qualified Steam Turbine Generator Manufacturer as per clause 1.1.0, and anticipates change of management control of any of its subsidiaries lending strength/ experience for fulfillment of requirement of clause 1.1.1(A) / 1.1.1(B), the Holding Company shall arrange for signing of DJU and bank guarantees from all such subsidiaries lending strength / experience to the Holding Company for fulfillment of requirement of clause 1.1.1(A) / 1.1.1(B), in line with Note 4(ii) above before the change in management control actually occurs, in addition to the bank guarantee already furnished by the Holding Company.

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(5)Steam Generator Manufacturer with Technology Tie-up for Variable Pressure Design

In case a supercritical Steam Generator manufacturer meets all the requirements as specified in clause no. 1.1.1(A) above except that the evaporator in the reference steam generator is not designed for variable pressure operation and is designed for constant pressure (Universal Pressure) operation only, in such case, the supercritical Steam Generator manufacturer shall be considered to be qualified, provided that, such supercritical Steam Generator manufacturer has an ongoing license agreement (which covers technology transfer), as on the last date of submission of application for Enlistment, with the original Technology Owner (Licensor) for design, manufacture, sell, use, service of once through variable pressure supercritical steam generator technology (with evaporator suitable for variable pressure operation in sub-critical and supercritical pressure ranges).

i.The licensor should have experience of providing such variable pressure design steam generator technology for at least one (1) no. of pulverized coal fired supercritical steam generator for a 1500 T/hr or higher capacity using either spiral wound (inclined) or vertical plain or vertical rifled type water wall tubing with the evaporator suitable for variable pressure operation in sub-critical and super-critical pressure ranges and which should be in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment.

ii.The Bidder shall offer only the type of steam generator i.e. single pass (tower type) or two pass type for which the Applicant is qualified and shall offer only the type of water wall tubing (either spiral wound (inclined) or vertical plain or vertical rifled type) for which his licensor is qualified.

iii.In such an event, the Bidder shall furnish a Deed of Joint Undertaking executed between the Bidder and the supercritical steam generator manufacturer (as the case may be) and its Technology Owner (Licensor), as per the format enclosed in the Enlistment Documents towards the Bidder and the licensor being jointly and severally liable to the Employer for successful performance of the Steam Generator along with an extended warranty of at least one

(1)year over and above what is required as per Enlistment documents. The Deed of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected.

iv.In case of award, Technology Owner (Licensor) will be required to furnish an on demand bank guarantee for an amount of INR 12 Million (Rupees Twelve Million) in addition to the contract performance security to be furnished by the Bidder.”

(6)For clause 1.4.0

In case the Indian majority stake holder of the JV Company does not have requisite EPC experience as mentioned at clause 1.4.1 above, it may still be considered qualified if it is wholly owned by a parent company who fully meets the requisite EPC experience provided the parent company maintains its 100% equity in such wholly owned subsidiary for a lock in period of 7 years from the date of incorporation of JV company or up to the end of the defect liability period of the contract whichever is later.

In such a case, the parent company mentioned above shall necessarily be part of DJU to be submitted by the Bidder. In case of award, the parent company shall be required to furnish an on demand bank guarantee for an amount of 0.1% of total contract price of the EPC /Main Plant package in addition to the bank guarantee requirement indicated at clause 1.4.2 and 1.4.3.

(7)For clause 1.5.0

Majority stake in JV Company can be held either directly by the Applicant or through its wholly owned subsidiary provided the Applicant maintains its 100% equity in such wholly owned subsidiary for a lock in period of 7 years from

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the date of incorporation of JV company or up to the end of the defect liability period of the contract whichever is later.

In case majority stake in the JV Company is held by wholly owned subsidiary of the Applicant then such wholly owned subsidiary shall necessarily be part of DJU to be submitted by the Bidder.

In case of award the wholly owned subsidiary as mentioned above shall be required to furnish an on demand bank guarantee for an amount of 0.1% of total contract price of EPC /Main Plant package in addition to the bank guarantee requirement at clause 1.5.2 and 1.5.3.

(8) For clause 1.1.0, 1.3.0, 1.4.0 & 1.5.0

The manufacturing may, alternatively, be carried out by another subsidiary registered for manufacturing supercritical steam generator / supercritical steam turbine generator in India of the above Indian subsidiary / JV Company. In such an event, the manufacturing company shall remain a subsidiary of the Indian subsidiary / JV company with equity lock in for a minimum lock in period of 7 years from the date of incorporation of the manufacturing company or up to the end of the defect liability period of the contract, whichever is later.

In such a case the manufacturing company shall necessarily be part of DJU to be submitted by the Bidder.

In case of award the manufacturing company shall be required to furnish an on demand bank guarantee for an amount of 0.1% of total contract price of EPC /Main Plant package in addition to the bank guarantee requirement at clause 1.1.3, 1.1.4, 1.3.2, 1.3.3, 1.4.2, 1.4.3, 1.5.2 and 1.5.3.

(9)Not used

(10)For Clause 1.2.0

“Steam Turbine Generator” indicated at clause 1.2.2 shall mean Steam Turbine, Generator and their auxiliaries as included in the DJU formats included in the Enlistment documents.

“Steam Generator” indicated at clause 1.2.2 shall mean Steam Generator and its auxiliaries as included in the DJU formats included in the Enlistment documents.

(11)For clause 1.1.0, 1.3.0, 1.4.0, 1.5.0, 1.6.0, 1.7.0

“for the scope related to Steam Turbine Generator and Auxiliaries including turbine cycle, regenerative feed heating and pumping system” indicated at clause 1.1.3, 1.3.2, 1.4.2, 1.5.2, 1.6.2, 1.7.3 shall mean Steam Turbine Generator and their Auxiliaries including turbine cycle, regenerative feed heating and pumping system as included in the DJU formats included in the Enlistment documents.

“for the scope related to Steam Generator and Auxiliaries” indicated at clause 1.1.3, 1.3.2, 1.4.2, 1.5.2, 1.6.2, 1.7.3 shall mean Steam Generator and Auxiliaries as included in the DJU formats included in the Enlistment documents.

(12)For clause 1.6.0

Sourcing of the Steam generators or Steam turbine generators, either from a qualified associate or from the bidder itself meeting the requirements indicated in the applicable clauses of relevant route is acceptable.

(13) For clauses 1.1.0, 1.2.0, 1.3.0, 1.4.0, and 1.5.0

Applicant participating through any of the Routes 1.1.0 or 1.2.0 or 1.3.0 or 1.4.0 or 1.5.0 shall not be required to furnish deed of joint undertaking (DJU) and associated BG for the Steam Generator and /or Steam Turbine Generator (as the case may be), in case they meet the following criteria:

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Eight (8) Nos supercritical Steam Generators and/or supercritical Steam Turbine Generators (as the case may be) manufactured/supplied in India by the Indian Subsidiary/JV Company / Indian manufacturing company should be in commercial operation (achieved COD) out of which four (4) such Steam Generators and/or Steam Turbine Generators (as the case may be) should have been in commercial operation for at least one year and Performance Guarantee (PG) Test should have been successfully completed in any two (2) such Steam Generators and/or Steam Turbine Generators (as the case may be) prior to the last date of submission of application for Enlistment.

In case any problem related to supercritical Steam Generators and/or supercritical Steam Turbine Generators (as the case may be) & Auxiliaries is encountered during execution of the contract, bidder shall resolve the same within a reasonable time (in the opinion of the owner) by itself/through its collaborator/through firm having competency to resolve such issues. If the problem is not resolved within a reasonable period of time in the opinion of the owner, Owner shall have the option to approach directly to the collaborator/licensor/technology Provider or any other firm to resolve the issue. In such a case the financial expenditure(s) incurred by Owner for resolution of such issues will be to bidder’s account. Accordingly, Applicant shall be required to submit a letter along with submission of application for Enlistment valid up to 10 years from the last date of submission of application for Enlistment, as per the format enclosed in the Enlistment documents.

(14)For clauses 1.2.0

Successful Bidder shall be required to submit an extension of the validity of the collaboration and technology transfer

agreement(s) up to the end of the defect liability period of the contract before placement of award for respective

tender(s). At the time of submission of application for Enlistment, Applicant shall give an undertaking in this regard as per the format enclosed in Enlistment documents.

(15)At the time of submission of application for Enlistment, Applicant and its associate(s)/collaborator(s) shall give a joint undertaking confirming their association/collaboration as per the format enclosed in Enlistment documents.

2.0.0Financial Criteria:

2.1.0Financial Criteria for the Applicant

2.1.1The average annual turnover of the Applicant, in the preceding three (3) financial years as on the last date of submission of application for Enlistment, should not be less than the following

In case the Collaborator/Associate does not satisfy the average annual turnover criteria above on its own, its Holding Company would be required to meet the stipulated turnover requirements at Cl. 2.2.1 above, provided that the net worth of such Holding Company, as on the last day of the preceding financial year is at least equal to or more than the paid-up share capital of the Holding Company. In such an event, the Collaborator/Associate would be required to furnish along with application for Enlistment, a Letter of Undertaking from the Holding Company, supported by Board Resolution of the Holding Company, as per the format enclosed with the Enlistment documents, pledging unconditional and irrevocable financial support to the Collaborator/Associate to honour the terms and conditions of

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the Deed of Joint Undertaking in case of award of the Contract to the Applicant with whom Collaborator/Associate is associated.

2.2.2Each Collaborator/Associate should have Positive Net Worth as on the last day of the preceding financial year.

2.2.3In case the Collaborator(s) / Associate(s) is not able to furnish its audited financial statements on stand-alone entity basis, the unaudited unconsolidated financial statements of the Collaborator(s) / Associate(s) can be considered acceptable provided the Collaborator(s) / Associate(s) furnishes the following further documents on substantiation of its qualification:

(i)Copies of the unaudited unconsolidated financial statements of the Collaborator(s) / Associate(s) along with copies of the audited consolidated financial statements of the Holding Company of Collaborator(s) / Associate(s).

(ii)A Certificate from the CEO/CFO of the Holding Company, as per the format enclosed with the Enlistment documents, stating that the unaudited unconsolidated financial statements form part of the consolidated financial statements of the Holding Company of Collaborator/Associate.

In cases where audited results for the last financial year as on the last date of submission of application for Enlistment are not available, the financial results certified by a practicing Chartered Accountant shall be considered acceptable. In case, Collaborator/Associate is not able to submit the Certificate from a practicing Chartered Accountant certifying its financial parameters, the audited results of three consecutive financial years preceding the last financial year shall be considered for evaluating the financial parameters. Further, a Certificate would be required from the CEO/CFO as per the format enclosed in the Enlistment documents stating that the Financial results of the Company are under audit as on the last date of submission of application for Enlistment and the Certificate from the practicing Chartered Accountant certifying the financial parameters is not available.

NOTES:

(i)Net worth means the sum total of the paid up share capital and free reserves. Free reserve means all reserves credited out of the profits and share premium account but does not include reserves credited out of the revaluation of the assets, write back of depreciation provision and amalgamation. Further any debit balance of Profit and Loss account and miscellaneous expenses to the extent not adjusted or written off, if any, shall be reduced from reserves and surplus.

(ii)Other income shall not be considered for arriving at annual turnover.

(iii)"Holding Company" and "Subsidiary Company" shall have the meaning ascribed to them as per Companies Act of India.

(iv)For annual Turnover indicated in foreign currency, the exchange rate as on seven (7) days prior to the last date of submission of application for Enlistment shall be used.

(v)In case the applicant / collaborator(s) / associate(s) participating under Clause 1.3.0 or 1.4.0,do not meet the turnover requirement , then, the Turnover of any of the Promoters individually or all the promoters ( in a combined manner) (each having Equity Stake more than 25%) of the Subsidiary Company / JV Company would be considered. Each such promoter of the Subsidiary Company / JV Company shall have to meet the Net Worth criteria individually as per clause 2.1.2 and/or 2.2.2. In such an event the Applicant would be required to furnish along with its submission of application

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for Enlistment, a Letter of Undertaking from such promoter(s), supported by Board Resolution as per the format enclosed in the Enlistment documents, pledging unconditional and irrevocable financial support for execution of the Contract by the Applicant in case of award.

(vi)Financial Criteria stipulated at para 2.0.0 shall be evaluated again for all the Enlisted agencies in the month of May/June of every subsequent year after the completion of initial Enlistment process. This shall be done every year till the time Enlistment of Agencies will be valid.

For this purpose, Enlisted Agency(ies) shall be required to submit the audited financial statements/credentials, as per the Qualifying Requirements stipulated above, for themselves and/or for their Collaborator(s)/Associate(s) in the month of May of every year after Enlistment. The financial credentials submitted by Enlisted agencies shall be evaluated by Employer and the list shall be modified/updated accordingly. In case, any agency, fails to meet the stipulated financial criteria in any of the subsequent years, as elaborated above, the agency shall be removed from the list of enlisted agencies for that year.

3.0.0 Phased Manufacturing Program and Transfer of Technology

3.1.0The Applicant and its associate shall give firm commitment (for their respective equipment) along with submission of application for Enlistment in the form of an undertaking supported by board resolution to set up / augment the existing manufacturing facility for supercritical Steam Generator and Steam Turbine Generator sets in India either by itself or through its subsidiaries or through Joint Venture (JV) in India in a phased manner as per Phased Manufacturing Program elaborated in the Enlistment documents.

The manufacturing may, alternatively, be carried out by another subsidiary registered for manufacturing supercritical Steam Generators / supercritical steam turbine generators in India of the above Indian subsidiary / JV Company. In such an event, the manufacturing company shall remain a subsidiary of the Indian subsidiary / JV company with equity lock in for a minimum lock in period of 7 years from the date of incorporation of the manufacturing company or up to the end of the defect liability period of the contract, whichever is later.

In case of award the Bidder shall submit an on demand bank guarantee of INR 650 Million for Steam Turbine Generators and INR 900 Million for Steam Generators as security for any default against meeting the specified Phased Manufacturing Program.

3.2.0Valid technology transfer agreements including license to manufacture and supply in India, separately for steam generator sets and steam turbine generator sets, between the Qualified Steam Generator Manufacturer / Qualified Steam Turbine Generator Manufacturer or their technology provider (if any) and the Indian Manufacturing Company should be in place on the last date of submission of application for Enlistment covering the type, size and rating of the Steam Generators / Steam Turbine Generator sets specified, valid as on last date of submission of application for Enlistment. The signatory of the technology transfer agreement with the Indian Manufacturing Company should either own the technology or should have authorization to use and further license the technology. Documentary evidence to this effect shall be furnished along with submission of application for Enlistment. The technology transfer agreement shall necessarily cover transfer of technological know-how for super critical Steam Generator / supercritical Steam Turbine Generator in the form of complete transfer of design dossier, design softwares, drawings and documentation, quality system manuals and imparting relevant personnel training to the Indian Manufacturing Company. Such technology transfer agreement must have provision that the transfer of technology to the Indian

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Manufacturing Company shall be completed by the time last 660/800 MW supercritical unit is supplied by the Applicant under respective tenders.

3.3.0Major part (minimum 75%) of the land required for setting up manufacturing facility in India should be in possession with clear title either in the name of the “Indian Manufacturing Company(ies)” or its Indian promoter (but pledged / leased to the Subsidiary / JV company) prior to submission of application for Enlistment. In case, the Applicant has existing manufacturing facility in India, he should have in possession major part (minimum 75%) of the additional land required with clear title for augmenting his already existing manufacturing facility. "Clear title" shall be deemed to also include land acquired on long term lease basis for minimum 30 years with a provision for further extension.

3.4.0Promoters of the Subsidiary (ies) / JV Company (ies) will be required to either employ a minimum subscribed and paid up share capital or have net worth of INR 500 million in the respective Subsidiary / JV Company prior to the submission of application for Enlistment. In case the Bidder is selected for award of the contract, either a minimum subscribed and paid up share capital or net worth of INR 1000 million in the respective Subsidiary / JV Company will have to be ensured by the promoters prior to the date of award. In the event the Bidder fails to meet this requirement, the Employer shall disqualify such Bidder. The certificates from a practicing Chartered Accountant shall be submitted by the Applicant certifying the amount of subscribed and paid up share capital, or net worth as the case may be as on a date not earlier than 15 days from the last date of submission of application for Enlistment.

3.5.0The Applicant and its associate shall be required to furnish an undertaking (for their respective equipment) along with submission of application for Enlistment with regard to above as per format enclosed with the Enlistment documents.

Note to clause 3.0.0

(1)Among the Applicant and its associate(s) who has already given commitments for PMP and submitted bank guarantees for security for default against specified PMP for steam Turbine Generators / Steam Generator to any Central / State sector power generating Company for supercritical projects or if such bank guarantees have already been released shall not be required to furnish further bank guarantees for security for default against specified PMP.

(2)In case the Indian Subsidiary Company/JV Company/Indian manufacturing company have already completed PMP, for supercritical boiler/supercritical steam turbine (as the case may be) then such Indian Subsidiary Company/JV Company/Indian manufacturing company need not submit the undertakings/documents for PMP again for the respective equipment. However, certificate in support of completion of such PMP duly issued by the competent authority or proof of release of the bank guarantee by any Central / State power generating company shall be submitted along with the submission of application for Enlistment.

(3)Successful Bidder shall be required to submit an extension of the validity of the technology transfer agreement(s) up to the end of the defect liability period of the contract before placement of award for respective tender(s). At the time of submission of application for Enlistment, Applicant shall give an undertaking in this regard as per the format enclosed in Enlistment documents.

4.0.0Project Management Experience

4.1.0(a) The Applicant should have executed in the last 10 years projects on EPC basis (with or without civil works) in the area of power, steel, oil & gas, petro-chemical, fertilizer and / or any other process industry with the total value of such projects being INR 10000 million or more. At least one of such projects should have a contract value of INR 4000 million

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or more. These projects shall be in successful operation for a period of not less than one year prior to the last date of submission of application for Enlistment.

OR

4.1.0(b) The Applicant should have executed at least one (1) no of pulverized coal / lignite fired reheat type of unit of at least 200 MW which is in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment. The scope of work of such reference plant should have necessarily included engineering management, procurement management, construction management, and commissioning/ supervision of commissioning of steam generator and steam turbine generator sets with their associated auxiliaries, Electrostatic precipitators/ bag filters, Switchyard, Coal handling plant, Ash handling plant, Cooling Towers, Condenser cooling water system for carrying out project management. Otherwise the Applicant shall associate with a Project Management Organization who meets the above requirement for project management.

If the project management of the EPC package is to be carried out by a Project Management Organization other than the Applicant itself then, the Bidder shall furnish undertaking jointly executed by it and Project Management Organization in which all the executants of DJU shall be jointly and severally liable to the Employer to perform successfully all the project management activities included in his scope as per format enclosed in the Enlistment documents. The Deed of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected. In case of award, the Project Management Organization will be required to furnish an on demand bank guarantee for INR 20 Million (Rupees twenty Million) in addition to the contract performance security by the Bidder.

5.0.0 Engineering Experience

The Applicant should carryout Engineering of the complete EPC/Main Plant package either by itself or through an Architect Engineering firm meeting either the requirements indicated at 5.1.0 or 5.2.0 or 5.3.0 below:

5.1.0(a) (i) The Applicant should have carried out Engineering of at least one (1) no. of pulverized coal/ lignite fired reheat type supercritical unit, with minimum unit rating of 500 MW, consisting of steam generator and steam turbine generator sets along with their auxiliaries including mills, fans, Air pre-heaters, steam Generator start up system, regenerative heating and pumping system, Power cycle piping and flash tanks/ flash boxes, which is in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment.

And

5.1.0(a) (ii) The Applicant should have carried out Engineering of at least one (1) no. of pulverized coal / lignite fired reheat type unit, with minimum unit rating of 200 MW consisting of steam generator and steam turbine generator sets along with their auxiliaries including mills, fans, Air pre-heaters, regenerative heating and pumping system , Power cycle piping and flash tanks/ flash boxes, Coal handling plant, Ash handling plant, Condenser cooling water system, Switchyard, which is in successful operation for a period of not less than one (1) year prior to the last date of submission

of application for Enlistment.

5.1.0(b) If the Applicant does not meet the requirement indicated at 5.1.0 (a)(i) but meets the requirement indicated at 5.1.0 (a)(ii) then the Applicant shall get the engineering documents related to Thermal cycle, Power Cycle piping and flash tanks/ flash boxes, Steam Generator start up system, Sizing of Main Plant equipments, interface between SG and TG, unit start up and control philosophy vetted by an Architect Engineering Firm who meets the requirement indicated at

ANNEXURE-I

5.1.0(a) (i). In such a case the Bidder shall furnish an Undertaking Jointly executed by it and the architect engineering firm, meeting the requirement indicated at 5.1.0(a) (i) in which all the executants of DJU shall be jointly and severally liable to the Employer to perform successfully all the engineering activities included in the scope of the architect engineering firm as per format enclosed in the Enlistment documents. The Deed of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected. In case of award, the architect engineering firm will be required to furnish an on demand bank guarantee for INR 1.5 Million (Rupees One and Half Million) in addition to the contract performance security to be furnished by the Bidder.

5.2.0(a)(i) The steam generator and/or steam turbine generator manufacturer submitting application for Enlistment under route

1.1.0or 1.2.0 should be engaged in or should have completed Engineering of at least one (1) no. of pulverized coal/ lignite fired reheat type supercritical unit, with minimum unit rating of 500 MW, consisting of steam generator and steam turbine generator sets along with their auxiliaries including mills, fans, Air pre-heaters, steam Generator start up system, regenerative heating and pumping system, Power cycle piping and flash tanks/ flash boxes (in a single contract or in two separate contracts in a single unit), which is under execution prior to the last date of submission of application for Enlistment.

And

5.2.0(a)(ii) The steam generator and/or steam turbine generator manufacturer submitting application for Enlistment under route 1.1.0 or 1.2.0 should have carried out Engineering of at least one (1) no. of pulverized coal / lignite fired reheat type unit, with minimum unit rating of 500 MW consisting of steam generator and steam turbine generator sets along with their auxiliaries including mills, fans, Air pre-heaters, regenerative heating and pumping system, Power cycle piping and flash tanks/ flash boxes, Coal handling plant, Ash handling plant, Condenser cooling water system, Switchyard, which is in successful operation for a period of not less than one (1) year prior to the last date of submission of application for Enlistment.

5.3.0(a) If the Applicant does not meet either the requirements indicated at 5.1.0 (a)(i) & (ii) or the requirements indicated at 5.2.0(a)(i) & (ii) then, the Applicant shall get the complete engineering of the EPC/Main Plant package done by an Architect Engineering firm who meets the requirements indicated at 5.1.0 (a) (i) & (ii). In such a case the Bidder shall furnish undertaking jointly executed by it and the Architect Engineering Firm in which all the executants of DJU shall be jointly and severally liable to the Employer to perform successfully all the engineering activities included in its scope as per format enclosed in the Enlistment documents. The Deed of Joint Undertaking shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected. In case of award, architect engineering firm will be required to furnish an on demand bank guarantee for INR 1.5 Million (Rupees One and Half Million) in addition to the contract performance security to be furnished by the Bidder.

5.3.0(b) As an alternate to 5.3.0(a) the Applicant shall get the engineering of the Main Plant equipment / systems i.e. steam generator and steam turbine generator sets along with their auxiliaries including mills, fans, Air pre-heaters, steam Generator start up system, regenerative heating and pumping system, Power cycle piping and flash tanks/ flash boxes and interface between Boiler and Turbine, done by an Architect Engineering firm who meets the requirements indicated at 5.1.0 (a) (i) and the Applicant shall get the engineering of Balance of Plant including interface between Main Plant and Balance of Plant done by another architect engineering firm who meets the requirements indicated at 5.1.0(a)(ii). In such a case the Bidder shall furnish two separate Deed of Joint Undertakings (i) Jointly executed by it and the architect engineering firm for Main Plant Equipment / systems in which all the executants of DJU shall be jointly and

ANNEXURE-I

severally liable to the Employer to perform successfully all the engineering activities of Main Plant equipment / system included in the scope of the architect engineering firm as per format enclosed in the Enlistment documents. (ii) Jointly executed by it and the architect engineering firm for Balance of Plant in which all the executants of DJU shall be jointly and severally liable to the Employer to perform successfully all the engineering activities of Balance of Plant including interface between Main Plant and Balance of Plant included in the scope of the architect engineering firm as per format enclosed in the Enlistment documents. The Deed of Joint Undertakings shall be submitted along with price bid, failing which the Bidder shall be disqualified and its bid shall be rejected. In case of award, architect engineering firm for Main Plant equipment / system and for Balance of Plant will each be required to furnish an on demand bank guarantee for INR 1.5 Million (Rupees One and Half Million) in addition to the contract performance security to be furnished by the Bidder.

Note

1.0The term ‘Engineering’ in clause 5.0.0, shall mean (a) Basic engineering for integration and interface between SG & TG. (b) Pre award engineering for system associated with BTG & BOP, (c) Post award engineering covering review of thermal cycle of the power plant, review and interface engineering for over all integration of various power plant equipment / packages including review of major design documentation such as design/ sizing calculations, layout, plant start up and control philosophy and schematic drawings and other documentation related to Mechanical, Civil, Electrical and C & I design.

2.0For compliance of requirement stipulated in clause 5.1.0 (a) (i) & (ii) or 5.2.0(a) (i) & (ii) above, Applicant / Architectural engineering firm can either use two different reference power plants or single reference power plant.

Notes for Clause 1.00, 2.00, 3.00, 4.00, 5.00

1.Wherever the term ‘Bidder’ is appearing, the same shall mean ‘Applicant’ participating as ‘Bidder’ in tender(s) invited subsequent to the Enlistment.

2.Wherever the term ‘Contract’ is appearing, the same shall mean Contract(s) awarded to a bidder against tender(s) invited subsequent to the Enlistment.

3.Wherever the term ‘Price Bid’ is appearing, the same shall mean Price Bid submitted by a bidder against a tender invited subsequent to the Enlistment.

4.Wherever equity lock in period requirement or subsidiary status requirement is indicated, Bidder would be required to submit along with price bid, a Letter of Undertaking from the promoter(s) supported by Board Resolution (as per format enclosed in the enlistment documents) for maintaining required minimum equity for the lock in period mentioned / maintaining the subsidiary status. A confirmation/undertaking (as per format enclosed in the enlistment documents) regarding submission of the requisite Letter of Undertaking along with Board resolution with the price bid shall be furnished by the Applicant at the time of submission of application for enlistment.

5.Wherever the term ‘last date of submission of application for Enlistment’ is appearing, the same shall mean the last date for submission of the Applications notified by Employer. For the periodic revision/updation of the list of enlisted agency(ies), Enlistment process shall be opened from time to time and the ‘last date of submission of application for Enlistment’ shall mean the last date for submission of Applications notified by the employer for revision/updation of list of Enlisted agencies.