NTPC Limited (A Government of India Enterprise)

NTPC Limited (A Government of India Enterprise) Document for Enlistment of Contractors for Ash Dyke Raising Civil Works package for All Thermal Power Projects / Stations of NTPC DOCUMENT NO..: WR-I HQ-C&M-0000-003-9 {CEG Sl no. 59 (ADM-01)} (October, 2015)

TABLE OF CONTENTS S.No. 1.0 DISCLAIMER 2.0 INTRODUCTION 3.0 SCOPE OF WORK DESCRIPTION 4.0 INFORMATION REQUIRED AS PART OF APPLICATION FOR ENLISTMENT 5.0 INSTRUCTIONS TO THE APPLICANTS 6.0 SCHEDULE 7.0 EVALUATION CRITERIA FOR ENLISTMENT 8.0 CANCELLATION OF ENLISTED AGENCIES 9.0 PERIOD OF ENLISTMENT 10.0 RIGHT TO ACCEPT OR REJECT APPLICATION ANNEXURE - I ELIGIBILITY CRITERIA NIAs FORM SCHEDULE-A SCHEDULE-B SCHEDULE-C NOTICE INVITING APPLICATIONS (ABRIDGED & DETAILED) APPLICATION FORM FOR ENLISTMENT FORMATS FOR FULFILLING ELIGIBILITY CRITERIA (TECHNICAL) FORMATS FOR FULFILLING FINANCIAL DATA (LIKE ANNUAL TURNOVERS AND EXECUTED POs ) FORMATS FOR OTHER INFORMATION

1.0 DISCLAIMER 1.1 NTPC, reserves the right not to proceed further or to change the process or procedure to be applied. It also reserves the right to decline to discuss further with any applicant applying for enlistment. 2.0 INTRODUCTION NTPC Limited is the largest power generating company of India. It was incorporated in the year 1975, with the objective of planning, promoting and organizing an integrated development of power stations in India. It has today emerged as an Integrated Power Major, with a significant presence in the entire value chain of power generation business. With current generating capacity of more than 45000 MW, NTPC has embarked on plans to become a 1,28,000 MW company by 2032. To realize its goal of becoming 1,28,000 MW company by 2032, NTPC has already identified a number of green field and expansion projects in various parts of the country. Feasibility of execution of few more projects is being explored. Earthen/ash dykes are being constructed for creating ash pond area where ash slurry from the power plant is disposed. Over a period of time the ash pond area gets filled up thereby requiring raising of ash dykes to facilitate further disposal of the ash slurry in the pond. To undertake the ash dyke raising works, NTPC plans to enlist civil contracting agencies meeting the specified eligibility criteria and willing to be associated with NTPC for its existing and upcoming projects/stations. 3.0 SCOPE OF WORK The scope of work under ash dyke raising civil works package shall generally include the following works: The ash dyke raising works by both inward/upstream and outward/ center line methods,buttressing works etc.. Construction of dyke with earth or ash over the ash filled up surface and all underground & over ground associated civil structures viz. wells, pipe encasing, channels, overflow structures, trenches / pedestals / duct banks etc. The above scope of work is indicative only and the exact scope would be project/station specific and will be indicated in the project/station specific enquiry. The above work shall be applicable for plant configuration of unit sizes varying from 110 MW to 800 MW. Further the total scope for a project/station mentioned above may vary depending upon the number of units and unit size. Ash, cement, structural steel & reinforcement steel required for incorporation into works shall be issued free of cost by the Employer as stipulated in the project/station specific bid document of the package. 4.0 INFORMATION REQUIRED AS PART OF APPLICATION FOR ENLISTMENT 4.1 Applicants are required to submit the information as mentioned below along with their supporting documents/certificates in the attached formats as sought in Schedule-A, Schedule-B and Schedule-C. 4.2 Throughout these enlistment documents, the term Eligibility Criteria and Qualifying Requirements appearing anywhere in the documents shall have the same meaning and are synonymous to each other. 4.3 The information furnished with the application for enlistment must be sufficient for processing and assessment of the applicant.

5.0 INSTRUCTIONS TO THE APPLICANTS 5.00 Applicable Standard Terms and Conditions (STC) for applications specifically invited vide Notice Inviting Applications under reference WR-I HQ-C&M-0000-003-9 dated 30.10.2015 & WR-I HQ-C&M-0000-003-9 dated 30.10.2015 for groups of contracts CEG Sl no. 59 (ADM-01) & CEG Sl no. 60 (ADM-02) are contained in document no. WR-I HQ-C&M-0000-003-9 dated 30.10.2015 & WR-I HQ-C&M-0000-003-9 dated 30.10.2015. Applicants should not refer any other STC that may appear in this website. 5.01 Submission of Application for Enlistment : (a) The numbers of reference works quoted by the applicant in Schedule A of their application, towards fulfillment of specific eligibility criteria by the applicant, as brought out at Annexure-I to the enlistment documents, are not more than three times the number of works as specified in the eligibility criteria. The reference works towards fulfillment of specific eligibility criteria by the applicant declared more than three times the number of works as specified in the eligibility criteria shall not be considered for evaluation /establishing compliance to the eligibility criteria as specified at Annexure-I to the enlistment documents. (b) No change or substitution in respect of reference works, as specified, by new/additional works for meeting the specified eligibility criteria shall be offered by the applicant after the bid submission time. (c ) The Applicant shall submit the Power of Attorney duly authorized and notarized for the person signing & submitting the application on behalf of the applicant and the Letter of Undertaking by the person authorized in POA in hard copy. The Power of Attorney shall be backed by copy of the Board Resolution of Company. The envelope containing Power of Attorney and Letter of Undertaking shall be sealed and super scribed on the top as Power of Attorney / Letter of Undertaking for Enlistment of Contractors for Ash Dyke Raising Civil Works Package for All Thermal Power Projects/Stations of NTPC, WR-IHQ-C&M-0000-003-9, last date for submission of online application 01.12.2015 From... (Name of the Applicant)" and be addressed to the employer at the address mentioned below. The aforesaid Power of Attorney and Letter of Undertaking shall be submitted well in advance so as to be received by the employer before the last date notified for receipt of applications. Additional General Manager (C&M) / Dy. General Manager (C&M) WR-IHQ, NTPC Ltd, 2 nd Floor, Samruddhi Venture Park, MIDC Marol, Andheri (E), Mumbai 400 093 Fax No. 91-022 28348334 Tel.No : 91-022- 28206655 Email : arunprasad@ntpc.co.in / smukherjee05@ntpc.co.in d) Signing of the Application The application for enlistment along with all supporting documents/ annexures/ attachments shall be certified by a person duly authorized to sign and submit the application for enlistment. The authorization shall be supported by written power of attorney as mentioned above and shall be submitted in hard copy. 5.02 Declaration of Reference Works The reference works whose details have been declared as per the specified formats in Schedule A shall only be considered to ascertain the applicant s compliance to the specified eligibility criteria. However, the applicants are not permitted to quote more than three times the number of works as specified in the eligibility criteria for this purpose. The employer at its discretion may seek any clarification and/or documentary evidence only for the reference works as mentioned above. However, no change or substitution of the reference

works by new/additional works for conforming to the specified eligibility criteria shall be sought, offered or permitted. Applicants are required to furnish the details of the reference works as per format at Schedule-A of the enlistment documents and enclose relevant document like copies of authentic work order, client s completion certificate, agreements etc supporting the details/data provided in the format. No claim without supporting documents shall be accepted in this regard. However, if any of the reference work pertains to the contract(s) /works executed by applicant for NTPC in the past, then in respect of such contract(s) /works, applicant shall not be required to enclose client certificate(s) along with its application. 5.03 All costs incurred by applicant for preparing and submitting the application for enlistment, in providing clarification or any other expenses whatsoever shall be borne by applicants themselves. 5.04 This enlistment document is not transferable. 5.05 The language for submission of application for enlistment shall be English. The units of measurement shall be metric systems of measures, unless otherwise specified elsewhere. 5.06 Financial data should be given in Indian rupees only. 5.07 The enclosed Schedules shall be filled in completely and wherever not applicable it should be written as Not Applicable. Applicants should furnish the required information and desist from writing shall be furnished later or submitting the blank form. 5.08 In case the applicant intends to give additional information for which specified space in the given format is not sufficient, it can be furnished in additional sheets. 5.09 Addenda/Corrigenda/ Amendments to enlistment documents Addenda/Corrigenda/Amendment to the enlistment documents may be posted on the website prior to the last date notified for receipt of applications for enlistment. Prospective applicants can view the same once they are uploaded in the website. The Applicants shall suitably take into consideration such Addenda / Corrigenda/ Amendment while submitting their application for enlistment. The amendment will be binding on the applicants and it will be assumed that the information contained therein has been taken into account by the applicants in their application. In order to provide reasonable time to prospective applicants for taking an Addenda/ Corrigenda/ Amendment into account for preparing their application for enlistment, the employer may, at its discretion, extend the last date notified for receipt of applications. Such extension of the last date notified for receipt of applications shall be such that the time between the date of issue of Addenda/Corrigenda/Amendment and the last date notified for receipt of the applications is at least Seven(7) days. 5.10 Clarification to Enlistment Document A prospective applicant requiring any clarification to the enlistment document may notify the employer through e-mail or in writing by post at the employer s address indicated at para 5.01( C) above latest by 25.11.2015. Any request for clarification received after 25.11.2015 will not be entertained. 5.11 Clarification on Application for Enlistment During the period when the applications are under consideration, applicants are advised to refrain from contacting by any means, the employer and /or his employees/representatives on matters related to the applications under consideration. Any effort by an applicant to influence the employer s processing of applications or enlistment will result in rejection of the applicant s application for enlistment. During the evaluation of the applications, the employer may, at its discretion, ask the applicant for clarifications to the application including documentary evidence pertaining to the reference works declared in Schedule-A of the application for the purpose of meeting eligibility criteria specified or any other document mentioned in the bid document. The request for clarification and the response shall be in writing and no change in the substance of the application including substitution of reference works in the application by new/additional works for conforming to eligibility criteria shall be sought, offered or permitted.

5.12 Modification, Substitution and Withdrawal of Application for Enlistment No application shall be modified, substituted or withdrawn by the applicant after it has been uploaded in the website. 5.13 Any information / data furnished by the applicant found to be incorrect or false or misleading at any point of time would render him liable to be debarred from the enlistment / tendering / taking up of work in NTPC. 5.14 NTPC reserves the right to cross check and confirm the information details furnished by the applicant. 5.15 Applicant shall give an undertaking at the time of application for enlistment that in case of award against any project specific enquiry, he shall register the awarded work with Safety Council of India (SCI), Mumbai and shall comply with requirements of SCI. 5.16 Joint Venture / Consortium/ Associate firms shall be allowed to apply for the Enlistment as per condition provided in Notes : (i) of clause 11.0.0 (Eligibility Criteria for Enlistment). 5.17 Depending upon unit size and number of units, the tendered quantity of various works may vary. Irrespective of the tendered quantities of project specific packages, the applicants have to meet the qualifying parameters given in the enclosed eligibility criteria given in the enlistment document. 5.18 Bottom Note on each page of the formats enclosed in the enlistment documents should not be removed by the applicants. 5.19 The applicant should own sufficient construction equipment for the proper and timely execution of the work. The applicant should submit details of the same in the enclosed formats as sought in Schedule-C. 5.20 The applicant should have sufficient number of technical and skilled manpower on its rolls for the proper execution of the contract. The Applicant should submit details of the same in the enclosed formats as sought in Schedule-C. 5.21 Subsequent to enlistment, the enlisted agencies will be invited to submit the bids in respect of specific enquiry of projects / stations/ regional head quarters/corporate centre for the ash dyke raising civil works package till the time enlistment is valid. 5.22 The applicant shall strictly adhere to the fraud prevention policy of NTPC displayed on its tender website http://www.ntpctender.com and shall immediately apprise the employer about any fraud or suspected fraud as soon as it comes to their notice. (A certificate to this effect shall be furnished by the applicant along with his application as per the format enclosed). 5.23 Applicant to furnish Audited Annual Reports of last 03 financial years along with its application as per extended last date for receipt of complete application for enlistment as well as 03 highest value of Ash Dyke Raising Civil works / Similar works executed against 03 separate orders during preceding 07 financial years. 5.24 All the inward / upstream raising works will be considered under Category I of enlistment. Rest all other works including outward/ center line raising / buttressing works etc., will be considered under Category II. Applicants enlisted under Category II will automatically get enlisted for Category I works. 6.0 SCHEDULE A summary of the proposed schedule for application for enlistment is shown below. NTPC reserves the right to amend the enlistment process and amend the schedule at any stage.

EVENT Last date for asking any clarification to the enlistment documents Last date for receipt of completed application for enlistment through online 25.11.2015 01.12.2015 DATE The online bidding system will not allow submission of application after the respective specified expiry date and time. Applicants are advised to make sure that the submission of application is completed well in advance of the time specified. 7.0 EVALUATION CRITERIA FOR ENLISTMENT 7.1 For the purpose of enlistment, applicants shall be evaluated on the basis of stipulated eligibility criteria. The reference works whose detail has been declared as per the specified format in Schedule-A with relevant documents like copies of authentic work order, client s completion certificate, agreement etc. shall only be considered to ascertain the applicant s compliance to the specified eligibility criteria. However, if any of the reference work pertains to the contract(s)/works executed by applicant for NTPC in the past, then in respect of such contract(s) /works, applicant shall not be required to enclose client certificate(s) along with its application. The number of reference works quoted by the applicant shall not be more than three times the number of works as specified in the eligibility criteria for this purpose. The reference works declared more than three times the number of works as specified in the eligibility criteria shall not be considered for evaluation / establishing compliance to the eligibility criteria as specified at Annexure-I to the enlistment document. The details of construction equipment owned, technical & skilled manpower employed, etc. shall also be considered while assessing the capacity and capability of the applicant. Record of poor performance such as abandoning work, delay in supplies, delay in completion of works and handing over of structures/fronts or financial failures/weaknesses, safety aspects etc shall also be kept on view while deciding on enlistment. 7.2 Even though an applicant may satisfy the above requirements, he would be liable to disqualification if he has made misleading or false representation or deliberately suppress the information in the forms, statements and enclosures required in the application for enlistment. 7.3 Applicants have to apply for the category(ies) for which they want to get enlisted for the ash dyke raising civil works package in Schedule-A of the enlistment documents and shall be evaluated only for those category(ies) for which they have applied. Any ash dyke raising works of maximum height not less than 4.0M (Metre) height of raising (in one contract only) and cumulative progress of execution of volume of earth work of at least 2.5 Lacs Cu.M(in one year in one or maximum two concurrently running contracts)shall fall under Category I. Any ash dyke raising works of maximum height not less than 5.5 M (Metre) height of raising (in one contract only) and cumulative progress of volume of earth work of at least 7.5 Lacs Cu.M (in one year in one or maximum two concurrently running contracts)shall fall under Category II. 8.0 CONDITION OF CANCELLATION OF ENLISTED AGENCIES 8.1 The Enlistment of agencies shall be cancelled by NTPC in case of their poor performance, abandoning of allotted work, delay in completion of work and handing over of fronts to other agencies, bankruptcy and activities detrimental to the interest of NTPC. The decision of NTPC in this regard shall be final and binding on the agency. 8.2 In case of change of name of the enlisted vendor without change of constitution/partners, the same shall be intimated along with proof of such change to NTPC immediately but in no case later than thirty (30) days from the date of such change, failing which the enlistment of agency/contractor by that name shall be cancelled.

8.3 The performance of the contractors shall be reviewed periodically based on the feedback given by the Head of Station. For this, in case of unsatisfactory performance of the enlisted vendors, Head of Station shall send a detailed report about their poor performance in supply of materials/ execution of works with clear recommendation for taking action against them. 8.4 If any of the enlisted vendor is found to have been involved in any fraudulent activities like submission of fake credentials/ documents/ information as defined in NTPC Fraud Prevention Policy/ Banning Policy during pre-award/ award/ execution stage, action in line with the said policy shall be taken. The enlisted vendor shall be de-listed from the approved vendor list for the balance validity period of enlistment if any enlisted vendor of ash dyke raising civil works does not participate at least once in a year for the tender of ash dyke raising civil works issued to them from any NTPC stations. 8.5 Quarterly Review & Updation of vendor enlistment: After the completion of initial vendor enlistment of ash dyke raising civil works package, the enlistment process shall again be re-opened after a period of 6 months and shall be kept open forever so that all the new vendors who could not participate in the enlistment process can participate and submit their application for enlistment at any time. Already enlisted vendors need not apply again as they are enlisted for a period of 3 years. If any enlisted agency, wants to upgrade its credentials, it can submit the application with revised credentials for up gradation to higher category. However, the revised credentials for experience related to preceding seven years and for annual turnover related to preceding three financial years shall be considered with reference to the date of submission of revised application by the agency. New vendors, if found qualified shall be recommended for inclusion in the enlisted vendor s list in line with the aforesaid procedure. These new vendors will also be enlisted for a period of 3 years from the date of enlistment. Already enlisted vendors: Before completion of three (3) years, already enlisted vendors can apply with their revised credentials for enlistment for a further period of three (3) years. In such case the mapping of financial and execution capability shall be done based on the revised credentials during the last seven years (execution) / three financial years (average annual turnover) as applicable from the date of application. If their revised credentials are found to be in order by the standing committee for evaluation, their enlistment shall be upgraded /extended accordingly in line with the procedure defined above. Their enlistment shall be valid for three years from this date of enlistment. In this way enlistment process shall be continuous. System will keep a track of the validity dates of the enlisted vendors & 90 days prior to the expiry of validity, a system generated mail will be issued to the respective vendors to remind them for renewal. 9.0 PERIOD OF ENLISTMENT This enlistment shall be valid for a period of Three(03) years from the date of Enlistment. 10.0 RIGHT TO ACCEPT OR REJECT APPLICATION Not withstanding anything contained in this enlistment document, NTPC reserves the right to accept or reject any application and annul the process and reject all applications at any time without any liability or any obligation for such acceptance, rejection or annulment without assigning any reasons. 10.1 Applicant may note that mere submission of filled in application for enlistment and/or submission of additional information do not automatically entitle him to claim for enlistment. NTPC at its sole discretion may re-invite or modify or annul the process without assigning any reason whatsoever.

ANNEXURE-1 Page #1 of 3 ELIGIBILITY CRITERIA FOR ENLISTMENT OF CONTRACTORS FOR CIVIL WORKS OF ASH DYKE RAISING PACKAGE OF NTPC THERMAL POWER PROJECTS / STATIONS Applicant who wishes to participate in the enlistment shall satisfactorily establish that it fulfills the Eligibility Criteria requirements stipulated hereunder:- 11.0.0 Applicant should have executed the following works within the preceding seven (07) years reckoned as on last date notified for receipt of application: 11.1.0 Category-I: 11.1.1 At least one earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment work of maximum height not less than 4.0 m, in one contract. 11.1.2 A cumulative progress of at least 2.5 Lacs Cu.M of earthwork in earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment or canal embankment work in one (01) year period, in one (01) or maximum two (02) concurrently running contracts. 11.2.0 Category-II: 11.2.1 At least one earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment work of maximum height not less than 5.5 m, in one contract. 11.2.2 A cumulative progress of at least 7.5 Lacs Cu.M of earthwork in earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment or canal embankment work in one (01) year period, in one (01) or maximum two (02) concurrently running contracts. and and Notes: The following notes (a to j) explain in detail the intention of various terms in eligibility criteria for Category I & II: a) Earth dams, ash dykes and reservoir embankments, which are designed as water retaining structures, shall be qualified for this work. However, canal embankments, guide bunds along water courses shall be considered for qualification under clause 11.1.2/11.2.2 only. All other types of earth works such as road embankments, railway embankments, site leveling works etc. shall not be qualified. b) Sand / substitute filter media as filter either in chimney or in blanket or both; used in embankment shall be considered in earthwork quantity calculations. Rock toe shall not be considered. c) For embankments / reservoir / dyke, the height and quantities shall be considered above formation level upto dyke top for eligibility criteria requirements purpose. However, in case of ash dyke raising works for both inward/upstream and outward/ center line methods, the height of dyke shall be considered from the stripped level of ash bed inside the lagoon for eligibility criteria.

ANNEXURE-1 Page# 2 of 3 ELIGIBILITY CRITERIA FOR ENLISTMENT OF CONTRACTORS FOR CIVIL WORKS OF ASH DYKE RAISING PACKAGE OF NTPC THERMAL POWER PROJECTS / STATIONS Formation Level means bottom of stripped level for the dyke formation. The earth work in Cut Off Trench (COT) shall be included for quantity estimation for eligibility criterion under clause 11.1.2/ 11.2.2. However, the depth of COT shall not be considered for the height calculation for eligibility criterion under clause 11.1.1/ 11.2.1. d) Wherever the ash dykes and other embankments are constructed in different contracts, the height applicable to individual contract only and not the cumulative effect shall be considered for the purpose of determining compliance of clause 11.1.1/11.2.1. For example, where the contract is for raising an embankment, only the raising portion shall be considered and not the earlier starter dyke. e) In clause 11.0.0 above, the word executed means the applicant should have achieved the criteria specified in the eligibility criteria requirements within the preceding seven (07) year period even if the contract has been started earlier and/ or is not completed / closed. f) In clause 11.1.1/ 11.2.1 above, applicant should have constructed entire qualifying height of embankment work specified in the eligibility criteria, within the preceding seven (07) year period, even if the contract has been started earlier and /or is not completed / closed. g) The one (01) year period means any continuous 12 months period. However, for two (02) concurrent works the same 12 months period shall be considered. h) In case of works stipulated in 11.1.2/11.2.2 above the word earthwork shall mean earth / ash. The quantity of earth work in filling only will be considered for qualification. i) Reference works executed by the applicant, as a member of Joint Venture / Consortium / Associate can also be considered provided: The allocation of scope of work between the partners of the joint venture / consortium / Associate is clearly defined in the executed Joint Venture agreement / consortium agreement / deed of joint undertaking and the applicant s scope of work and break-up of quantities executed by them as individual contribution in the Joint Venture / Consortium / Associate, duly authenticated by the client, meet the relevant provisions of eligibility criteria. In case the reference work has been executed by the Applicant in an integrated Joint Venture wherein allocation of scope of work and break-up of quantities between the partners is not clearly specified in the integrated Joint Venture Agreement, then for Clause 11.1.2/11.2.2 above, the credit of executed quantities can be claimed by the applicant in the ratio of bidder s share in the integrated Joint Venture Agreement, provided the bidder establishes that it regularly undertakes works as at Clause 11.1.2/ 11.2.2 above. The executed works/ quantities by integrated Joint Venture shall be duly authenticated by the Project Authority. However, the applicant will not be eligible to claim the credit of executed work by integrated Joint Venture for Clause 11.1.1/ 11.2.1 above.

ANNEXURE-1 Page# 3 of 3 ELIGIBILITY CRITERIA FOR ENLISTMENT OF CONTRACTORS FOR CIVIL WORKS OF ASH DYKE RAISING PACKAGE OF NTPC THERMAL POWER PROJECTS / STATIONS j) Reference work executed by an applicant as a sub-contractor may also be considered provided the certificate issued by main contractor is duly certified by Project authority specifying the scope of work executed by the sub-contractor in support of eligibility criteria. Note-1 Note-2 Note-3 Note-4 Similar work means:-earthen dam work, ash dyke work or reservoir embankment work (canal embankment work also will be considered for earth work). The executed value means basic value of quantity of Ash Dyke Raising works / Similar works executed against the reference PO/contract ( also applicable to partly executed POs as on date of application).where PO/contract value is composite(i.e including taxes etc),the applicant to give item-wise break-up of composite PO/contract value mentioning basic value,taxes etc. All the inward / upstream raising works will be considered under Category I of enlistment. Rest all other works including outward/ center line raising / buttressing works etc., will be considered under Category II. Applicants enlisted under Category II will automatically get enlisted for Category I works. Average annual turnover requirement: It shall be strictly in line with the decision of NTPC and any change in this regard by NTPC shall be applicable in the present enlistment too. 12.0 Selection of Enlisted vendors for issuing tender enquiry: Enlistment to be done based on eligibility criteria and mapping of financial capability of technically qualified vendors: As such, enlistment of vendors will be done based on their qualification against eligibility criteria and mapping of financial capability. Hence, for financial capability, vendors are asked to furnish their annual turnover during preceding three financial years from the date of application. The vendors are also asked to furnish details of three POs of highest executed value under both the categories during last seven years from the date of application. Based on these data the value for which the vendor will qualify shall be established and maintained as data base against each technically qualified vendor in the enlistment master. After enlistment, whenever requirement emerges at any station, based on the cost estimate and the execution period, the list of vendors to whom enquiry can be issued (out of all the technically qualified enlisted vendors for the contract) shall be selected as follows:- Example:- Say Average annual Financial turnover(aato) of a vendor during preceding 3 financial years is Rs 80 lakh and three highest values of similar work {as mentioned at clause 11.0.0 Notes: (a}) executed against three separate orders during preceding seven financial years are :- Rs 70 lakh, 60 lakh and Rs 55 lakh as given below:

AATO Capability of execution of similar work as per PO values PO-1 PO-2 PO-3 PO values 70 60 55 Execution Capability as per 70x1.25=87.5 60x2=120 55x2.5=137.5 80 one/two/three POs (C.E up to 87.5 L) (C.E up to 120 L) (C.E up to 137.5 L) Execution Capability of the 137.5 vendor to execute similar work (Highest of 87.5, 120 and 137.5) Vendor is capable to execute work up to cost estimate 137.5 L i.e eligibility limit for enlistment up to cost estimate 137.5 L AATO and highest of the three eligibility limits shown in the table shall be recorded in the System Other documents to be submitted In addition to the documents required in support of meeting technical requirements as stated above, following documents are required to be submitted by the applicants applying for enlistment:- 1. Three PO(purchase order)/contracts of the highest executed values of similar work during previous seven years from the date of application. Copy of invoice/completion certificate from the concerned employer/s in support of successful execution of contract against the POs/contracts to be submitted. 2. Audited balance sheet including Profit & Loss statement for the previous three completed financial years reckoned from the date of application. In case the audited documents are not ready/available, then certified copy by a registered practicing chartered accountant may be submitted. Latest annual report, NSIC/SSI/MSME registration certificate/iso certificate, certificate of registration, PF number are to be furnished. Selection of Vendors as per enlistment for a Works case :- A) Average Annual Turnover Required for enlistment shall be calculated as : i) For works cases with cost estimate and completion period more than 12 months, AATOR = (EC X 12/ CP )X1.5 Where, AATOR = Average Annual Turn Over Required EC = Estimated Cost CP = Job /supply Completion in Months ii) For works case with cost estimate and completion period up to 12 months, AATOR = EC x 1.5 Where, AATOR = Average Annual Turn Over required EC = Estimated Cost B) Execution Capability of the vendor to execute similar work shall be calculated based on the values of the 03 POs and average annual turn over submitted by the vender as defined at the above table. The enlisted vendors with execution capability more than the cost estimate of the works and having AATO more than AATOR as defined above shall be selected by the system and the same shall be referred as Eligible Enlisted Vendors for the said works case.

13.0 Notwithstanding anything stated above, the employer reserves the right to assess the capabilities and capacity of the applicant / its collaborators/ associates / subsidiaries / group companies to perform the contract, should the circumstances warrant such assessment in the overall interest of the employer. 14.0 Subcontracting Provision for Works Packages: The enlisted contractor shall only be given the award based on evaluation of the bids. Generally subcontracting of the work will not be permitted for site awarded works packages. However, in certain exceptional cases as per site specific requirement it may be allowed with the approval of Head of Station but the due reasons are to be recorded by site in such cases. However, 100% back to back subcontracting will not be allowed in any case. If any subcontractor is found executing the contract awarded to the enlisted contractor without approval of NTPC, action against the enlisted contractor will be taken for withholding/ banning of business dealings as per NTPC Policy.

ABRIDGED NOTICE INVITING APPLICATIONS NTPC LIMITED (A Government of India Enterprise) VENDOR ENLISTMENT FOR ASH DYKE CIVIL WORKS PACKAGES For all NTPC Units through single window An excellent opportunity WR-1HQ/NTPC Ltd,Samruddhi Venture Park, 2 nd Floor,MIDC, Marol, Andheri(East), Mumbai 400093 Notice Inviting Application (NIA) NIA No. WR-I HQ-C&M-0000-003-9/ WR-I HQ-C&M-0000-004-9 Date : 30.10.2015 Online applications are invited from prospective contractors for enlistment with NTPC for Ash Dyke Packages as following : 1. Ash Dyke Raising Civil Works Package(ADM-01) 2. Starter Ash Dyke Civil Works Package(ADM-02) In future, for above works packages, enlistment of contractors is mandatory to be eligible to receive tender enquiries from all NTPC Units. This Enlistment shall be valid for three years subject to terms & conditions. Contractors earlier enlisted with NTPC also need to apply afresh. Interested contractors may visit www.vendor.ntpc.co.in/enlistment to apply for enlistment. Package details, Brief Scope of work, Qualifying Requirements, Standard Terms & Conditions etc. are available in document no. WR-I HQ-C&M-0000-003-9 Date : 30.10.2015 &. WR-I HQ-C&M-0000-004-9 Date : 30.10.2015. Offline applications will not be accepted. Last date for submission of online application : 01.12.2015. Note : Those Contractors who miss the deadline for application can apply later through this website. However, such applications will be considered for enlistment in the next cycle of contractor enlistment. Contractors may upgrade their credentials online from time to time for enlisted works packages and/or apply online for new works packages offered in future. Contractors are advised to visit the website regularly. Registered Office : NTPC Bhawan, SCOPE Complex, 7, Institutional Area, Lodhi Road, New Delhi-110003. CIN : L40101DL1975GOI007966.

DETAILED NOTICE INVITING APPLICATIONS NTPC LIMITED (A Government of India Enterprise) NOTICE INVITING APPLICATIONS FOR ENLISTMENT OF CONTRACTORS FOR ASH DYKE RAISING CIVIL WORKS PACKAGE FOR ALL THERMAL POWER PROJECTS / STATIONS OF NTPC. NIA No. WR-I HQ-C&M-0000-003-9 Date : 30.10.2015 1.0 NTPC Limited invites online applications from eligible domestic contractors for above mentioned enlistment. The brief scope of work is as follows : Construction of dyke with earth or ash over the ash filled up surface and all underground & over ground associated civil structures viz. wells, pipe encasing, channels, overflow structures, trenches / pedestals / duct banks etc. The above scope of work is indicative only and the exact scope would be project/station specific and will be indicated in the project/station specific enquiry. 2.0 SCHEDULE A summary of the proposed schedule for application for enlistment is shown below. NTPC reserves the right to amend the enlistment process and amend the schedule at any stage. EVENT Last date for asking any clarification to the enlistment documents Last date for receipt of completed application for enlistment through online 25.11.2015 01.12.2015 DATE The online bidding system will not allow submission of application after the respective specified expiry date and time. Applicants are advised to make sure that the submission of application is completed well in advance of the time specified.

3.0 Eligibility Criteria for Enlistment of Contractors for Ash Dyke Raising Civil Works Package for All Thermal Power Projects/Stations of NTPC. Applicant who wishes to participate in the enlistment shall satisfactorily establish that it fulfills the Eligibility Criteria requirements stipulated hereunder:- Applicant should have executed the following works within the preceding seven (07) years reckoned as on last date notified for receipt of application: 3.1.0 Category-I: 3.1.1 At least one earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment work of maximum height not less than 4.0 m, in one contract. 3.1.2 A cumulative progress of at least 2.5 Lacs Cu.M of earthwork in earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment or canal embankment work in one (01) year period, in one (01) or maximum two (02) concurrently running contracts. 3.2.0 Category-II: 3.2.1 At least one earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment work of maximum height not less than 5.5 m, in one contract. 3.2.2 A cumulative progress of at least 7.5 Lacs Cu.M of earthwork in earthen dam work or ash dyke work (either in starter dyke or raising of existing dyke) or reservoir embankment or canal embankment work in one (01) year period, in one (01) or maximum two (02) concurrently running contracts. Notes: The following notes (a to j) explain in detail the intention of various terms in eligibility criteria for Category I & II: and and a) Earth dams, ash dykes and reservoir embankments, which are designed as water retaining structures, shall be qualified for this work. However, canal embankments, guide bunds along water courses shall be considered for qualification under clause 3.1.2/3.2.2 only. All other types of earth works such as road embankments, railway embankments, site leveling works etc. shall not be qualified. b) Sand / substitute filter media as filter either in chimney or in blanket or both; used in embankment shall be considered in earthwork quantity calculations. Rock toe shall not be considered. c) For embankments / reservoir / dyke, the height and quantities shall be considered above formation level up to dyke top for eligibility criteria requirements purpose. However, in case of ash dyke raising works for both inward/upstream and outward/ center line methods, the height of dyke shall be considered from the stripped level of ash bed inside the lagoon for eligibility criteria.

Formation Level means bottom of stripped level for the dyke formation. The earth work in Cut Off Trench (COT) shall be included for quantity estimation for eligibility criterion under clause 3.1.2/ 3.2.2. However, the depth of COT shall not be considered for the height calculation for eligibility criterion under clause 3.1.1/ 3.2.1. d) Wherever the ash dykes and other embankments are constructed in different contracts, the height applicable to individual contract only and not the cumulative effect shall be considered for the purpose of determining compliance of clause 3.1.1/3.2.1. For example, where the contract is for raising an embankment, only the raising portion shall be considered and not the earlier starter dyke. e) In clause 3.0.0 above, the word executed means the applicant should have achieved the criteria specified in the eligibility criteria requirements within the preceding seven (07) year period even if the contract has been started earlier and/ or is not completed / closed. f) In clause 3.1.1/ 3.2.1 above, applicant should have constructed entire qualifying height of embankment work specified in the eligibility criteria, within the preceding seven (07) year period, even if the contract has been started earlier and /or is not completed / closed. g) The one (01) year period means any continuous 12 months period. However, for two (02) concurrent works the same 12 months period shall be considered. h) In case of works stipulated in 3.1.2/3.2.2 above the word earthwork shall mean earth / ash. The quantity of earth work in filling only will be considered for qualification. i) Reference works executed by the applicant, as a member of Joint Venture / Consortium / Associate can also be considered provided: The allocation of scope of work between the partners of the joint venture / consortium / Associate is clearly defined in the executed Joint Venture agreement / consortium agreement / deed of joint undertaking and the applicant s scope of work and break-up of quantities executed by them as individual contribution in the Joint Venture / Consortium / Associate, duly authenticated by the client, meet the relevant provisions of eligibility criteria. In case the reference work has been executed by the Applicant in an integrated Joint Venture where in allocation of scope of work and break-up of quantities between the partners is not clearly specified in the integrated Joint Venture Agreement, then for Clause 3.1.2/3.2.2 above, the credit of executed quantities can be claimed by the applicant in the ratio of bidder s share in the integrated Joint Venture Agreement, provided the bidder establishes that it regularly undertakes works as at Clause 3.1.2/ 3.2.2 above. However, the applicant will not be eligible to claim the credit of executed work by integrated Joint Venture for Clause 3.1.1/3.2.1 above.

j) Reference work executed by an applicant as a sub-contractor may also be considered provided the certificate issued by main contractor is duly certified by Project authority specifying the scope of work executed by the subcontractor in support of eligibility criteria. 4.0 Notwithstanding anything stated above, the employer reserves the right to assess the capabilities and capacity of the applicant / its collaborators/ associates / subsidiaries / group companies to perform the contract, should the circumstances warrant such assessment in the overall interest of the employer. 5.0 Subsequent to enlistment, only the enlisted agencies will be allowed to submit the bids in respect of specific enquiry of projects/stations / regional headquarters / corporate centre for ash dyke raising civil works packages till the time enlistment is valid. 6.0 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. 7.0 Applicants who respond within due date with application as mentioned above against this advertisement will only be considered for enlistment. 8.0 Transfer of enlistment documents purchased by one intending applicant to another is not permissible. 9.0 Address for communication: Additional General Manager (C&M) / Dy. General Manager (C&M) WR-IHQ, NTPC Ltd, 2 nd Floor, Samruddhi Venture Park, MIDC Marol, Andheri (E), Mumbai 400 093 Fax No. 91-022 28348334 Tel.No : 91-022- 28206655 Email : arunprasad@ntpc.co.in / smukherjee05@ntpc.co.in Websites : www.vendor.ntpc.co.in,

APPLICATION FORM Application Ref. no.: Date: Subject: Enlistment of Contractors for Ash Dyke Raising Civil Works Package for All Thermal Power Projects/Stations of NTPC; Doc. No.: WR-IHQ-C&M-0000-003- 9 To, Additional General Manager (C&M) / Dy. General Manager (C&M) WR-IHQ, NTPC Ltd, 2 nd Floor, Samruddhi Venture Park, MIDC Marol, Andheri (E), Mumbai 400 093 Dear Sir, 1.0 Having examined the Enlistment document no. WR-IHQ-C&M-0000-003-9, including subsequent amendments and clarifications,if any (insert numbers), the receipt of which is hereby acknowledged, we the undersigned, furnish our details in full conformity with said Enlistment Document. 2.0 Attachments to the Application form: In line with the requirements of the Enlistment documents, we enclose herewith the following Attachments to the Application for Enlistment: (a) Attachment- 1 : A power of attorney duly notorized indicating that the person(s) signing the application has/have the authority to sign the application and thus the application is binding upon us. The hard copy of the Power of Attorney for undersigned, duly authorized and notarized to be submitted to NTPC in line with the provisions mentioned at clause 5.01 of Enlistment document. Similarly letter of undertaking as per NTPC format to be submitted in hard copy. (b) Attachment- 2 & 3: The documentary evidences establishing eligibility criteria stipulated at Annexure-I to enlistment documents. The qualification data has been furnished as per your formats enclosed in Schedule-A and Schedule-B of the Enlistment documents. (c) Attachment- 4: List of similar works in hand & percentage completed by us as per your format enclosed in Schedule-C of the enlistment documents. (d) Attachment- 5: List of works executed by us as per your format enclosed in Schedule-C of the enlistment documents. (e) Attachment- 6: Construction equipments owned by us as per your format enclosed in Schedule-C of the enlistment documents.

(f) Attachment- 7: Technical manpower on our rolls as per your format enclosed in Schedule-C of the enlistment documents. (g) Attachment- 8: Skilled manpower on our rolls as per your format enclosed in Schedule-C of the enlistment documents. (h) Attachment- 9: Details of fatal accidents occurred during the last three years at works executed by us as per your format enclosed in Schedule-C of the enlistment documents. (i) (j) (k) (l) Attachment- 10: Performance details as per your format enclosed in Schedule-C of the Enlistment documents. Attachment- 11: Form of acceptance for our acceptance to abide by Fraud Prevention Policy of NTPC displayed on its tender website http.//www.ntpctender.com duly filled in as per your format enclosed in Schedule-C of the Enlistment documents. Attachment- 12: Additional Information provided with our application. Attachment- 13: Undertaking to register the awarded works with Safety Council of India (SCI) and to comply with the requirements of SCI in case of award against project specific enquiry as per your format enclosed in Schedule-C of the enlistment documents. (m) Attachment- 14: Confirmation that if any information / data furnished with our application is found incorrect, false or misleading, it would render us liable to be debarred from enlistment / tendering / taking up work in NTPC as per your format enclosed in Schedule-C of the enlistment documents 3.0 We declare that we have studied the enlistment documents and we are making this application with a stipulation that subsequent to enlistment, only the enlisted agencies will be invited to submit the bids in respect of specific enquiry of Projects / Stations/ Regional Head Quarters/ Corporate centre for ash dyke raising civil works package for All Thermal Power Projects/Stations of NTPC till the time Enlistment is valid. 4.0 We confirm that the reference works declared more than three (3) times the number of works as specified in the eligibility criteria shall not be considered for evaluation / establishing compliance to the eligibility Criteria. 5.0 We understand that mere submission of filled in application for enlistment and / or submission of additional information do not automatically entitle us to claim for qualification / enlistment. Further, we understand that NTPC at its sole discretion may re-invite or modify or annul the process without assigning reason whatsoever.

6.0 We, hereby, declare that only the persons or firms interested in this application as principals are named here and that no other persons or firms other than those mentioned herein have any interest in this application or in the contract to be entered into, if awarded at the time of project specific enquiry after enlistment, that this application is made without any connection with any other person, firm or party likewise submitting an application, is in all respects for and in good faith, without collusion or fraud. 7.0 We also agree to upload all the relevant documents pertaining to our application for subject enlistment in the name of our company failing which our application for enlistment is liable to be rejected. Thanking you, Yours faithfully, Date: Place: Name of Authorized Person Designation Business Address: Fax No.: Phone No.: Note : Applicants may note that prescribed proforma has been enclosed for Power of Attorney.