UPSBC RFP R-05 (Aug 24)(2nd Amended)

U P STATE BRIDGE CORPORATION LTD.

(UNDERTAKING GOVT. OF UTTAR PRADESH)

Engineering, Procurement, and Construction (EPC) of a new

Four lane Bridge Over River Ganga, located 50 meters
Upstream of the existing damaged Ganga Bridge, along with the
Construction of Approach Roads connecting Kanpur Nagar to
Shuklaganj in Unnao District

Volume 1 - Request for Proposal (RFP)

June 2025

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

TABLE OF CONTENTS

Notice Inviting Bid…………………………………………………………………………….. 4

DISCLAIMER…………………………………………………………………………………. 5
GLOSSARY……………………………………………………………………………………. 7
Instructions to Bidder for e-Tendering………………………………………………………. 9
1 INTRODUCTION……………………………………………………………………...
1.1 Background…………………………………………………………………….
1.2 Brief description of Bidding Process…………………………………………
1.3 Schedule of Bidding Process…………………………………………………..
2 INSTRUCTIONS TO BIDDERS……………………………………………………... 12-35
2.1 General terms of Bidding………………………………………………………….
2.2 Eligibility and qualification requirements of Bidder…………………………….
2.3 Proprietary data……………………………………………………………………
2.4 Cost of Bidding……………………………………………………………………..
2.5 Site visit and verification of information…………………………………………
2.6 Verification and Disqualification…………………………………………………
2.7 Contents of the RFP………………………………………………………………..
2.8 Clarifications……………………………………………………………………….
2.9 Amendment of RFP………………………………………………………………..
2.10 Format and Signing of BID………………………………………………………
2.11 Documents comprising Technical and Financial BID………………………….
2.12 BID Due Date……………………………………………………………………...
2.13 Late BIDs………………………………………………………………………….
2.14 Procedure for e-tendering………………………………………………………..
2.15 Online Opening of BIDs………………………………………………………….
2.16 Rejection of BIDs…………………………………………………………………
2.17 Validity of BIDs…………………………………………………………………...
2.18 Confidentiality…………………………………………………………………….
2.19 Correspondence with the Bidder………………………………………………...
2.20 BID Security………………………………………………………………………
2.21 Performance Security…………………………………………………………….

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3 Evaluation of Technical Bids and Opening & Evaluation of Financial Bids……… 36-38
3.1 Evaluation of Technical Bids………………………………………………………..
3.2 Opening and Evaluation of Financial Bids………………………………………….
3.3 Selection of Bidder………………………………………………………………….
3.4 Contacts during BID Evaluation…………………………………………………….
3.5 Correspondence with Bidder………………………………………………………...
4 FRAUD AND CORRUPT PRACTICES…………………………………………….. 39
5 PRE-BID CONFERENCE…………………………………………………………… 40
6 MISCELLANEOUS………………………………………………………………… 41
Appendix-IA Letter Comprising the Technical Bid…………………………………….. 42
Appendix-IB Letter Comprising the Financial Bid……………………………………….. 46
Appendix-IA-Annex-I Details of Bidder…………………………………………………… 47
Appendix-IA-Annex-II - Technical Capacity of the Bidder……………………………….. 51
Appendix-IA-Annex-III Financial Capacity of the Bidder………………………………… 53
Appendix IA-Annex-IV Details of Eligible Projects……………………………………….. 55
Appendix IA-Annex-V Statement of Legal Capacity……………………………………… 58
Appendix IA-Annex-VI Information required to evaluate the BID Capacity…………... 59
Appendix IA-Annex-VII Guidelines of the Department of Disinvestment…………….... 62
Appendix IA-Annex-VIII Details of Ongoing Works…………………………….......…... 64
Appendix-II BLANK .................................…………………………………………........ 65
Appendix-III Format for Power of Attorney for signing of BID……....………………… 66
Appendix-IV Format for Power of Attorney for Lead Member of Joint Venture…….... 68
Appendix-V Format for Joint Bidding Agreement for Joint Venture.…………………... 70
Appendix-VI Integrity Pact Format……………………………………………………….... 74
Appendix-VII Form of Bank Guarantee……………………………………………………. 81
Appendix-VIII Format of LOA………………………………………………………………. 84
Appendix-IX Certificate regarding Compliance ………………………………………........ 85

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

Office of the Chief Project Manager

Uttar Pradesh Bridge Corporation Limited
Kanpur
Notice inviting Bid

NIT No. 639/camp/CPM/Kanpur/2025-26 Date 18.06.2025

RFP for Construction of a new four-lane Bridge Over River Ganga, located 50 meters
Upstream of the existing damaged Ganga Bridge, along with the Construction of Approach
Roads connecting Kanpur Nagar to Shuklaganj in Unnao District on EPC MODE.
Uttar Pradesh State Bridge Corporation Limited is engaged with the development of
Bridges/ROBs/VUPs etc. and as part of this endeavor, it has been decided to undertake the
Construction of a new four-lane Bridge Over River Ganga, located 50 meters Upstream of the
existing damaged Ganga Bridge, along with the Construction of Approach Roads connecting
Kanpur Nagar to Shuklaganj in Unnao District through an Engineering, Procurement, and
Construction (EPC) Contract.
The U.P. State Bridge Corporation Limited represented by its CPM, UPSBC, Kanpur
(Name of Tender calling officer) Uttar Pradesh now invites bids from eligible contractors for the
following project:

Estimated cost Completion Maintenance

State Name of work (INR)
(including all taxes/ GST)
period period

Engineering, Procurement, and Construction

Uttar (EPC) of a new Four lane Bridge Over River 163.34 crores 730 days 2 years
Pradesh
Ganga, located 50 meters Upstream of the existing
damaged Ganga Bridge, along with the
Construction of Approach Roads connecting
Kanpur Nagar to Shuklaganj in Unnao District

The complete BID document can be viewed/downloaded from the official UPNIC portal
website https://etender.up.nic.in/nicgep/app from 20.06.2025 to 23.07.2025 (up to 17:00 Hrs
IST). Bidder must submit its Financial bid and Technical Bid at
https://etender.up.nic.in/nicgep/appon or before 23.07.2025 (up to 17.30 hours IST). Bids
received online shall be opened on 23.07.2025 (at 17.45 hours IST).
Bid through any other mode shall not be entertained. BID Security & Document fee
shall be submitted online and the receipt of the same shall be uploaded with the technical bid
on the official UPNIC portal website https://etender.up.nic.in/nicgep/app, on or before
23.07.2025 (at 17:00 hours IST). Please note that the Authority reserves the right to accept
or reject all or any of the bids without assigning any reason whatsoever.

Chief Project Manager(Kanpur Zone)

U.P State Bridge Corporation Ltd.
E-mail:[email protected]

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

DISCLAIMER

The information contained in this Request for Proposal document (the “RFP”) or
subsequently provided to Bidder(s), whether verbally or in documentary or any other form by
or on behalf of the Authority or any of its employees or advisors, is provided to Bidder(s) on
the terms and conditions set out in this RFP and such other terms and conditions subject to
which such information is provided.
This RFP is not an Agreement and is neither an offer nor an invitation by the Authority to the
prospective Bidders or any other person. The purpose of this RFP is to provide interested
parties with information that may be useful to them in making their financial offers (BIDs)
pursuant to this RFP. This RFP includes statements, which reflect various assumptions and
assessments arrived at by the Authority in relation to the Project. Such assumptions,
assessments, and statements do not purport to contain all the information that each Bidder
may require. This RFP may not be appropriate for all persons, and it is not possible for the
Authority, its employees, or advisors to consider the investment objectives, financial situation,
and particular needs of each party who reads or uses this RFP. The assumptions, assessments,
statements, and information contained in the Bidding Documents, may not be complete,
accurate, adequate, or correct. Each Bidder should, therefore, conduct its own investigations
and analysis and should check the accuracy, adequacy, correctness, reliability, and
completeness of the assumptions, assessments, statements, and information contained in this
RFP and obtain independent advice from appropriate sources.
Information provided in this RFP to the Bidder(s) is on a wide range of matters, some of
which may depend upon interpretation of law. The information given is not intended to be an
exhaustive account of statutory requirements and should not be regarded as a complete or
authoritative statement of law. The Authority accepts no responsibility for the accuracy or
otherwise of any interpretation or opinion on law expressed herein.
The Authority, its employees, and advisors make no representation or warranty and shall have
no liability to any person, including any Applicant or Bidder under any law, statute, rules or
regulations tort, principles of restitution or unjust enrichment, or otherwise for any loss,
damages, cost or expense which may arise from or be incurred or suffered on account of
anything contained in this RFP or otherwise, including the accuracy, adequacy, correctness,
completeness or reliability of the RFP and any assessment, assumption, statement or
information contained therein or deemed to form part of this RFP or arising in any way for
participation in this BID Stage.
The Authority also accepts no liability of any nature whether resulting from negligence or
otherwise howsoever caused arising from reliance of any Bidder upon the statements
contained in this RFP. The Authority may in its absolute discretion, but without being under
any obligation to do so, update, amend or supplement the information, assessment or
assumptions contained in this RFP.
The issue of this RFP does not imply that the Authority is bound to select a Bidder or to
appoint the Selected Bidder JV or Contractor, as the case may be, for the Project and the
Authority reserves the right to reject all or any of the Bidders or BIDs without assigning any
reason whatsoever.

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

The Bidder shall bear all its costs associated with or relating to the preparation and
submission of its BID including but not limited to preparation, copying, postage, delivery
fees, expenses associated with any demonstrations or presentations which may be required by
the Authority or any other costs incurred in connection with or relating to its BID. All such
costs and expenses will remain with the Bidder and the Authority shall not be liable in any
manner whatsoever for the same or for any other costs or other expenses incurred by a Bidder
in preparation or submission of the BID, regardless of the conduct or outcome of the Bidding
Process.

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

GLOSSARY
Agreement As defined in Clause 1.1.4
Authority As defined in Clause 1.1.1
Bank Guarantee As defined in Clause 2.20.1
BID(s) As defined in Clause 1.2.2
Bidders As defined in Clause 1.2.1
Bidding Documents As defined in Clause 1.1.5
BID Due Date As defined in Clause 1.1.5
Bidding Process As defined in Clause 1.2.1
BID Securing Declaration As defined in Clause 1.2.4
BID Price or BID As defined in Clause 1.2.6
Contractor As defined in Clause 1.1.2
Construction Period As defined in Clause 1.2.6
Conflict of Interest As defined in Clause 2.2.1(c)
Defect Liability Period As defined in Clause 1.2.6
Eligible Experience As defined in Clause 2.2.2.6 (a)
Eligible Projects As defined in Clause 2.2.2.6 (a)
EPC As defined in Clause 1.1.1
EPC Contract As defined in Clause 1.1.2
Estimated Project Cost As defined in Clause 1.1.3
Financial Capacity As defined in Clause 2.2.2.3 (i)
Government Government of Uttar Pradesh
Joint Venture As defined in Clause 2.2.1
Jt. Bidding Agreement As defined in Clause 2.1.11 (f)
Lead Member As defined in Clause 2.1.11 (c)
Lowest Bidder As defined in Clause 1.2.6
LOA As defined in Clause 3.3.4
Net Worth As defined in Clause 2.2.2.9 (ii)
Performance Security As defined in Clause 2.21.1
Additional Performance Security As defined in Clause 2.21.1
Project defined in Clause 1.1.1
Re. or Rs. or INR Indian Rupee
RFP or Request for Proposals As defined in the Disclaimer

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

Selected Bidder As defined in Clause 3.3.1

Technical Capacity As defined in Clause 2.2.2.2 (i)
Tie BIDs As defined in Clause 3.3.2
Threshold Technical Capacity As defined in Clause 2.2.2.2 (i)

The words and expressions beginning with capital letters and defined in this document shall,
unless repugnant to the context, have the meaning ascribed thereto herein.

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UPSBC RFP R-05 (Aug 24)(2nd Amended)

SECTION 1

1 INTRODUCTION

1.1 Background
1.1.1 UPSBC, represented by the Chief Project Manager, UPSBCL, Kanpur [Tender calling
Authority] (the Authority“) has decided to undertake “Construction of a new Four
lane Bridge Over River Ganga, located 50 meters Upstream of the existing
damaged Ganga Bridge, along with the Construction of Approach Roads
connecting Kanpur Nagar to Shuklaganj in Unnao District” comprising of
construction of various components of the bridge as defined in Schedule B & C and
Maintenance during the Defect Liability (“Project”) through an Engineering
Procurement and Construction (the “EPC”) Contract and has decided to carry out the
Bidding process for the selection of a Bidder to whom the project may be awarded. A
brief description of the project may be seen in the Information Memorandum of the
Project on the UPNIC website https://etender.up.nic.in/nicgep/app. Brief particulars of
the Project are as follows:
Estimated cost (INR) Time for Completion of
Name of Work
(including all taxes/ GST) Work
Engineering, Procurement, and
Construction (EPC) of a new Four lane
Bridge Over River Ganga, located 50 INR 163.34 Crores
meters Upstream of the existing damaged 730 days
Ganga Bridge, along with the Construction
of Approach Roads connecting Kanpur
Nagar to Shuklaganj in Unnao District

1.1.2 The selected Bidder (the “Contractor”) shall be responsible for designing, engineering,
procurement, and construction of the Project under and in accordance with the
provisions of an engineering, procurement, and construction contract (the “EPC
Contract”) to be entered into between the Contractor and the Authority in the form
provided by the Authority as part of the Bidding Documents pursuant hereto. The
Contractor shall also be responsible for the maintenance of the project during the
defect Liability Period. The scope of work will broadly include the Construction of a
new Four lane Bridge Over River Ganga, located 50 meters Upstream of the
existing damaged Ganga Bridge, along with the Construction of Approach Roads
connecting Kanpur Nagar to Shuklaganj in Unnao District and Maintenance of the
Project during the Defect Liability Period, which shall be 2(Two) years.
1.1.3 The estimated cost of the Project (the “Estimated Project Cost”) has been specified
in clause 1.1.1 above, which includes all taxes/GST as applicable. The assessment of
actual costs, however, will have to be made by the Bidders.
1.1.4 The Agreement sets forth the detailed terms and conditions for award of the project to
the Contractor, including the scope of the Contractor’s services and obligations.
1.1.5 The Authority shall receive BIDs pursuant to this RFP in accordance with the terms set
forth in this RFP and other documents to be provided by the Authority pursuant to this
RFP (collectively the "Bidding Documents"), and all BIDs shall be prepared and
submitted in accordance with such terms on or before the BID due date specified in
Clause 1.3 for submission of BIDs (the “BID Due Date”).

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1.2 Brief Description of the Bidding Process

1.2.1 The Authority has adopted a single stage two-part system (referred to as the "Bidding
Process") for the selection of the Bidder for award of the Project. Under this process,
the bid shall be invited under two parts. The eligibility and qualification of the Bidder
will be first examined based on the details submitted under the first part (Technical
Bid) with respect to the eligibility and qualifications criteria prescribed in this RFP
(the “Bidder”). The Financial Bid under the second part shall be opened to only those
Bidders whose Technical Bids are responsive to eligibility and qualifications
requirements as per this RFP.
GoI has issued guidelines (see Annexure-VII of Appendix-1A of RFP) for the
qualification of Bidders seeking to acquire stakes in any public sector enterprise
through the process of disinvestment. These guidelines shall apply mutatis mutandis to
this Bidding Process. The Authority shall be entitled to disqualify any Bidder in
accordance with the aforesaid guidelines at any stage of the Bidding Process. Bidders
must satisfy themselves that they are qualified to bid, and should give an undertaking
to this effect in the form at Appendix IA.
1.2.2 The Bid shall be valid for a period of 120 days from the date specified in Clause
1.3forsubmission of BIDs.
1.2.3 The complete Bidding Documents including the draft Agreement for the Project are
enclosed for the Bidders. The Detailed Project Report prepared by the Authority/
consultants of the Authority (the “Detailed Project Report”)is also enclosed. The
Detailed Project Report of the project is being provided only as a preliminary reference
document by way of assistance to the Bidders who are expected to carry out their own
surveys, investigations, and other detailed examination of the Project before submitting
their Bids. Nothing contained in the Detailed Project Report shall be binding on the
Authority nor confer any right on the Bidders, and the Authority shall have no liability
whatsoever in relation to or arising out of any or all contents of the Detailed Project
Report. The aforesaid documents and any addenda issued subsequent to this RFP
Document will be deemed to form part of the Bidding Documents.
1.2.4 A Bidder is required to submit online, along with its BID, a BID Security of 1% of
the estimated project cost as mentioned in the above table) (the "BID Security"),
refundable not later than 150 (One hundred & fifty) days from the BID Due Date,
except in the case of the Selected Bidder whose BID Security shall be retained till it has
provided a Performance Security and Additional Performance Security (if any) as per
the provision of this RFP and LOA. This Bid Security shall be transmitted through
UPSBC’s online tender portal https://upsbcl.procure247.com/TenderPay/x-login.
The Bidders shall also make an online payment towards the cost (including GST) of
tender documents of Rs. 20,000/- (Rupees Twenty Thousand only) through the
online portal at https://upsbcl.procure247.com/TenderPay/x-login. Bidders are
advised to examine the Project in greater detail and to carry out, at their cost, such
studies as may be required for submitting their respective bids for the award of the
contract including implementation of the Project.

1.2.5 The Bidders are advised to examine the Project in greater detail and to carry out, at
their cost, such studies as may be required for submitting their respective bids for the
award of the contract including implementation of the Project.

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1.2.6 BIDs will be evaluated for the Project on the basis of the lowest cost required by a
Bidder for implementing the Project (the "BID Price"), which is exclusive of Goods
and Service Tax (GST). The total time allowed for completion of construction under
the Agreement (the “Construction Period”) and the period during which the
Contractor shall be liable for maintenance and rectification of any defect or deficiency
in the Project after completion of the Construction Period (the “Defect Liability
Period”) shall be pre-determined, and are specified in the draft Agreement forming
part of the Bidding Documents.
In this RFP, the term “Lowest Bidder” shall mean the Bidder who is quoting the
lowest BID price.
1.2.7 Generally, the Lowest Bidder shall be the selected Bidder. In case such Lowest Bidder
fails to submit the original Bid Security, POA for signing the Bid, POA for lead
member of JV, if any, JBA for JV, if any, Integrity pact, and experience certificates
apostille at foreign origin, if any and other documents required by the authority before
of issuance of LoA or withdraws or is not selected for whatsoever reason except the
reason mentioned in Clause 2.1.12 (b) (4) & Clause 3.3.1, the Authority shall annul
the Bidding Process and invite fresh BIDs.
1.2.8 Other details of the process to be followed under this bidding process and the terms
thereof are spelled out in this RFP.
1.2.9 Any queries or requests for additional information concerning this RFP shall be
submitted by e-mail to the officer designated in Clause 2.11.4 below with
identification/ title: "Queries / Request for Additional Information: RFP for above-
mentioned work.
1.2.10 Schedule of Bidding Process
The Authority shall endeavor to adhere to the following schedule:

S. No. Event Description Date

1. Invitation of RFP (NIT) 18.06.2025
2. Last date for receiving queries 01.07.2025
3. Pre-BID meeting at venue 2.11.4 02.07.2025
4. Authority response to queries by 10.07.2025
5. Last date of Request for BID Document 23.07.2025 upto 17:00 hrs
6. BID Due Date 23.07.2025 upto 17:30 hrs
7. Opening of Technical BIDs at venue 23.07.2025 upto 17:45 hrs
8. Declaration of Eligible/ Qualified Bidders Shall be declared later
9. Opening of Financial BID Shall be declared later
10. Letter of Acceptance ( LoA) Shall be declared later
11. Return of the signed duplicate copy of the Shall be declared later
12. Bid Security 1.64 crores
13. Validity of BID 120 days from the BID Due date
14. Submission of Performance Security (PS)
and Additional Performance Security Within 30 days of receipt of LOA.
(APS), if any
15. Signing of Agreement Within 10 days from the receipt of
Performance Security and Additional
Performance Security, if any

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SECTION 2
INSTRUCTIONS TO BIDDERS

A. GENERAL
2.1 General terms of Bidding
2.1.1 No Bidder shall submit more than one BID for the Project. A Bidder bidding
individually or as a member of a Joint Venture shall not be entitled to submit another
BID either individually or as a member of any Joint Venture, as the case may be.
2.1.2 Deleted
2.1.3 Notwithstanding anything to the contrary contained in this RFP, the detailed terms
specified in the draft Agreement shall have overriding effect; provided, however, that
any conditions or obligations imposed on the Bidder hereunder shall continue to have
effect in addition to its obligations under the Agreement. Further, the statements and
explanations contained in this RFP are intended to provide a better understanding to the
Bidders about the subject matter of this RFP and should not be construed or interpreted
as limiting in any way or manner the scope of services and obligations of the
Contractor set forth in the Agreement or the Authority’s rights to amend, alter, change,
supplement or clarify the scope of work, the work to be awarded pursuant to this RFP
or the terms thereof or herein contained. Consequently, any omissions, conflicts, or
contradictions in the Bidding Documents including this RFP are to be noted,
interpreted, and applied appropriately to give effect to this intent, and no claims on that
account shall be entertained by the Authority.
2.1.4 The BID shall be furnished in the format exactly as per Appendix-I i.e., Technical Bid
as per Appendix IA and Financial Bid as per Appendix IB. The BID amount shall be
indicated clearly in both figures and words, in Indian Rupees in the prescribed format
of the Financial Bid and it will be signed by the Bidder’s authorized signatory. In the
event of any difference between figures and words, the amount indicated in words shall
be taken into account.
2.1.5 The Bidder should upload Power of Attorney as per the format in Appendix-III,
authorizing the signatory of the BID to commit the Bidder. The lowest Bidder shall be
required to submit an original Power of Attorney before the issuance of a Letter of
Acceptance (LOA) by the Authority.
2.1.6 In case the Bidder is a Joint Venture, the Members thereof should upload Power of
Attorney in favour of the Lead Member in the format at Appendix-IV and Joint Bidding
Agreement in the format at Appendix-V. The lowest Bidder shall be required to
submit the original Power of Attorney in favour of the Lead Member and the
original Joint Bidding Agreement before the issuance of a Letter of Acceptance
(LOA) by the Authority.
2.1.7 Any condition or qualification or any other stipulation contained in the BID shall
render the BID liable to rejection as a non-responsive BID.
2.1.8 The BID and all communications in relation to or concerning the Bidding Documents
and the BID shall be in English language.
2.1.9 This RFP is not transferable.

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2.1.10 Any award of the Project pursuant to this RFP shall be subject to the terms of Bidding
Documents and also fulfill the criterion as mentioned in clause 2.2.
2.1.11 In case the Bidder is a Joint Venture, it shall comply with the following additional
requirements:
(a) The number of members in a Joint Venture shall not exceed 2 (Two);
(b) Subject to the provisions of clause (a) above, the Bid should contain the
information required for each Member of the Joint Venture;
(c) Members of the Joint Venture shall nominate one member as the lead member
(the “Lead Member”). Lead Member shall meet at least 60% requirement of Bid
Capacity, Technical and Financial Capacity, required as per Clause 2.2.2.1,
2.2.2.2(i) & 2.2.2.3. The nomination(s) shall be supported by a Power of
Attorney, as per the format in Appendix III, signed by all the other Members of
the Joint Venture. Other Member(s) shall meet at least 20% requirement of Bid
Capacity, Technical and Financial Capacity required as per Clause 2.2.2.1,
2.2.2.2(i) & 2.2.2.3 and the JV as a whole shall cumulatively/collectively fulfill
the 100% requirement;
(d) The Bid should include a brief description of the roles and responsibilities of
individual members, particularly with reference to financial, technical, and defect
liability obligations;
(e) The Lead Member shall undertake and perform at least 51(fifty-one) percent of the
Project Highway.
(f) Members of the Joint Venture shall have entered into a binding Joint Bidding
agreement, substantially in the form specified in Appendix V (the “Jt. Bidding
Agreement”), for the purpose of making the Application and submitting a Bid in
the event of being pre-qualified. The Jt. Bidding Agreement, to be submitted
along with the Application, shall, inter alia:
(i) Convey the commitment(s) of the Lead Member in accordance with this
RFP, in case the contract to undertake the Project is awarded to the Joint
Venture; and clearly outline the proposed roles & responsibilities, if any, of
each member;
(ii) Commit the approximate share of work to be undertaken by each member
conforming to sub-clause 2.1.11 (e) mentioned above;
(iii)Include a statement to the effect that all members of the Joint Venture shall
be liable jointly and severally for all obligations of the Contractor in relation
to the Project until the Defect Liability Period is achieved in accordance
with the EPC Contract; and
(g) Except as provided under this RFP, there shall not be any amendment to the Jt.
Bidding Agreement.
(h) No Joint Venture up to Estimate Project Cost of Rs. 50 crores (including GST)
(Fifty crores). However, a Joint Venture for any Estimated Project Cost is
permissible in case maintenance works are to be taken up in EPC mode.

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2.1.12 While bidding is open to persons from any country, the following provisions shall
apply:
(a) Where, on the date of the Application, not less than 50% (fifty percent) of the
aggregate issued, subscribed, and paid up equity share capital in the L-1 Bidder or
its Member is held by persons resident outside India or where a Bidder or its
Member is controlled by persons resident outside India, then the eligibility and
award of the project to suchL-1 Bidder shall be subject to the approval of the
Competent Authority from national security and public interest perspective as per
the instructions of the Government of India applicable at such time. The decision of
the Authority on this behalf shall be final conclusive and binding on the Bidder.
(b) Further, where the LoA of a project has been issued to an agency, not covered
under the category mentioned above, and it subsequently wishes to transfer its share
capital in favour of another entity that is a resident outside India or where a Bidder
or its Member is controlled by persons resident outside India and there by the
equity capital of the transferee entity exceeds 50% or above, any such transfer of
equity capital shall be with the prior approval of the Competent Authority from
national security and public interest perspective as per the instructions of the
Government of India applicable at such point in time.
2) The holding or acquisition of equity control, as above shall include direct or
indirect holding, acquisition, including by transfer of the direct or indirect legal or
beneficial ownership or control, by persons acting for themselves or in concert and
in determining such holding or acquisition, the Authority shall be guided by the
principles, precedents, and definitions contained in the Securities and Exchange
Board of India (Substantial Acquisition of Shares and Takeovers)Regulations,
2011, or any substitute thereof, as in force on the date of such acquisition.
3) The Bidder shall promptly inform the Authority of any change in the shareholding,
as above, and failure to do so shall render the Bidder liable for disqualification
from the Bidding process.
4) In case the L-1 Applicant under (a) above is denied the security clearance, for
whatsoever reasons, then the applicants emerging as L-2, L-3 eligible Bidders (in
that order) may be given a counter-offer (one by one sequentially) to match the bid
of L-1applicant/preferred Bidder. In the event of acceptance of the counter-offer
by another eligible Bidder, the project may be awarded to such Bidder. In case no
applicant matches the bid of the L-1 applicant, the bid process shall be annulled
and fresh bids invited.
2.1.13 Notwithstanding anything to the contrary contained herein, in the event that the Bid
Due Date falls within three months of the closing of the latest financial year of a
Bidder, CA certified provisional certificate with valid UDIN no. can be submitted and
the Bidder may furnish all its information and certification with reference to the 5 (five)
years or 1 (one) year as the case may be, preceding its due date. For the avoidance of
doubt, financial year shall, for the purposes of a Bid hereunder, mean the accounting
year followed by the Bidder in the course of its normal business.
2.1.14 The Bidder, including an individual or any of its Joint Venture members, should not
be a non-performing party on the bid submission date. The Bidder, including any

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Joint Venture Member, shall be deemed to be a non-performing party if it attracts

any or more of the following conditions in any of its ongoing or completed projects:
(i) Fails to set up institutional mechanisms and procedures as per contract.
(ii) Fails to mobilize key construction equipment within 4 months from the
Appointed Date;
(iii) Fails to complete or has missed any milestone and progress not commensurate
with contiguous unencumbered project length/ROW available even after lapse
of 6 months from respective project milestone/Schedule Completion date,
unless Extension of Time has been granted due to Authority’s Default or Force
Majeure;
(iv) Fails to achieve progress commensurate with funds released from Escrow
Account (Equity + Debt +Grant) in BOT or HAM project and variation is more
than 25% in the last 365 days;
(v) Fails to achieve the target progress or complete the project as per the schedule
agreed at the time of sanctioning of funds under One Time Funds Infusion
(OTFI) or relaxations to contract conditions to improve cash flow solely on
account of Contractor’s failure/default;
(vi) Fails to complete rectification (excluding minor rectifications) as per time
given in non-conformity reports (NCR) in design/completed
works/maintenance or reported in Inspection Reports issued by Quality
Inspectors deployed by the Authority or Officers of the Authority.
(vii) Fails to complete minor rectifications exceeding 3 instances in a project as per
time given in non-conformity reports (NCR) in design/completed
works/maintenance;
(viii) Fails to fulfill its obligations to maintain a highway in a satisfactory condition
in spite of two rectification notices issued in this regard;
(ix) Damages/penalties recommended by the Independent/Authority’s Engineer
during the O&M Period and remedial works are still not taken up;
(x) Fails to complete Punch list items even after lapse of time for completion of
such items excluding delays attributable to the Authority;
(xi) Occurrence of minor failure of structures/highway due to construction defect
wherein no casualties are reported (casualties include injuries to human
beings/animals);
(xii) Occurrence of major failure of structures/highway due to construction defect
wherein no casualties are reported (casualties include injuries to human
beings/animals);
(xiii) Occurrence of major failure of structures/highway due to construction defect
leading to loss of human lives besides loss of reputation etc. of the authority;

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(xiv) Fails to make premium payments excluding the current installment in one or
more projects;
(xv) Fails to achieve financial closure in two or more projects within the given or
extended period (which shall not be more than six months in any case);
(xvi) Fails to submit the Performance Security within the permissible time period in
more than one project;
(xvii) Rated as an unsatisfactory performing entity/non-performing entity by an
independent third-party agency and so notified on the website of the Authority;
(xviii) Failed to perform for the works of Expressways, National Highways, ISC & EI
in the last 2 (two) years, as evidenced by the imposition of a penalty by an
arbitral or judicial authority or a judicial pronouncement or arbitral award
against the Bidder, including individual or any of its Consortium/ JV Member,
as the case may be;
(xix) Expelled from the contract or the contract terminated by the MORTH/UPPWD/
UPSBC or its implementing agencies for breach by such Bidder, including
individual or any of its Consortium/JV Member; Provided that any such
decision of expulsion or termination of contract leading to debarring of the
Bidder from further participation in bids for the prescribed period should have
been ordered after affording an opportunity of hearing to such party.
(xx) Fails to start the works or causes a delay in maintenance & repair/overlay of
the project.
The Bidder, including individual or each member of the Joint Venture, shall give the list of
the projects of all works including Expressways, National Highways, ISC and EI works,
bridge works, ROB works, and VUP works or any other works for which the tender is invited,
of MORTH/UPPWD/UPSBC or OTHER implementing agencies and the status of the above
issues in each project as on the bid submission date and undertake that they do not attract any
of the above categories (Ref. Sr. No.6, Annex-I of Appendix – IA).
The Bidder, including individual or each member of the Joint Venture, may provide
(i) details of all their ongoing projects along with the updated stage of litigation, if so,
against the Authority / Government;
(ii) details of the updated ongoing process of blacklisting if so, under any contract with
Authority/ Government; and
(iii)details of all their ongoing projects in the format at Annexure-VIII of Appendix IA
(Ref Clause 10.3 (iv) of Draft EPC Agreement).
The Authority reserves the right to reject an otherwise eligible Bidder on the basis of the
information provided under clause 2.1.14. The decision of the Authority in this case shall be
final.
In case, any debarred/declared non-performer firm submits the bid, the same will be ignored.
In case such firm is lowest (L-1), the next lowest firm shall be considered as L-1. Bid Security
submitted by such debarred/declared non-performer firms shall be returned to them.

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Debarment/ declaration as a non-performer of a particular firm shall automatically extend to

all its allied firms. In case a joint venture/ consortium is debarred, all partners/ members shall
stand debarred for the entire period.
2.1.15 All Orders of the Ministry of Finance/DPIIT/UPSBC/Government of UP/any other
Central/State Government agencies, as applicable and prevalent on the date of LOA,
shall be applicable.
2.1.16 Entities of countries that have been identified by the Ministry of Road Transport &
Highways as not allowing Indian companies to participate in their Government
Procurement for any item related to the Ministry of Road Transport & Highways shall
not be allowed to participate in Government procurement in India for all items related
to Ministry of Road Transport & Highways, except for the list of items published by
the Ministry of Road Transport & Highways permitting their participation.

2.2 Eligibility and qualification requirements of Bidder

2.2.1 For determining the eligibility of Bidder, the following shall apply:
(a) The Bidder may be a single entity or a group of entities (the “Joint Venture”),
coming together to implement the Project. The term Bidder used herein
would apply to both a single entity and a Joint Venture. However, in case the
estimated cost of the project for which the bid is invited is up to Rs. 50 Crore, then
a Joint Venture shall not be allowed.
(b) The bidder may be a natural person, private entity, or any combination of them with
a formal intent to enter into a Joint Venture agreement or under an existing
agreement to form a Joint Venture. A Joint Venture shall be eligible for
consideration subject to the conditions set out in Clause 2.1.11 above.
(c) A Bidder shall not have a conflict of interest (“Conflict of Interest”) that affects
the Bidding Process. Any Bidder found to have a Conflict of Interest shall be
disqualified and liable for forfeiture of the BID Security or Performance Security as
the case may be. A Bidder shall be deemed to have a Conflict of Interest affecting
the Bidding Process, if:
(i) the Bidder, its Joint Venture Member (or any constituent thereof), and any
other Bidder, its Member, or any Member of its Joint Venture thereof (or any
constituent thereof) have common controlling shareholders or other ownership
interest; provided that this disqualification shall not apply in cases where the
direct or indirect shareholding of a Bidder, or its Joint Venture Member thereof
(or any shareholder thereof having a shareholding of more than 5% (five
percent) of the paid-up and subscribed share capital of such Bidder, or its Joint
Venture Member, as the case may be), in the other Bidder, its Joint Venture
Member is less than 5% (five percent) of the subscribed and paid-up equity
share capital thereof; provided further that this disqualification shall not apply
to any ownership by a bank, insurance company, pension fund, or a public
financial institution referred to in section 4A of the Companies Act 1956. For
the purposes of this Clause 2.2.1(c), indirect shareholding held through one or
more intermediate persons shall be computed as follows:
(aa) where any intermediary is controlled by a person through management
control or otherwise, the entire shareholding held by such controlled
intermediary in any other person (the “Subject Person”) shall be taken

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into account for computing the share holding of such controlling person
in the Subject Person; and
(bb) subject always to subclause (aa) above, where a person does not exercise
control over an intermediary, which has shareholding in the Subject
Person, the computation of indirect shareholding of such person in the
Subject Person shall be undertaken on a proportionate basis; provided,
however, that no such shareholding shall be reckoned under this sub-
clause (bb) if the shareholding of such person in the intermediary is less
than 26% of the subscribed and paid-up equity shareholding of such
intermediary; or
(ii) a constituent of such Bidder is also a constituent of another Bidder; or
(iii) such Bidder, or any of its Joint Venture Member thereof receives or has
received any direct or indirect subsidy, grant, concessional loan, or
subordinated debt from any other Bidder, or any of its Joint Venture Member
thereof or has provided any such subsidy, grant, concessional loan or
subordinated debt to any other Bidder, its Member or any of its Joint Venture
Member thereof; or
(iv) such Bidder has the same legal representative for purposes of this Application
as any other Bidder; or
(v) such Bidder, or any of its Joint Venture Member thereof has a relationship with
another Bidder, or any of its Joint Venture Member thereof, directly or through
common third party/ parties, that puts either or both of them in a position to
have access to each other’s information about, or to influence the Application
of either or each other; or
(vi) such Bidder, or any of its Joint Venture Member thereof has participated as a
consultant to the Authority in the preparation of any documents, design, or
technical specifications of the Project.
(d) For determining the eligibility of Bidder from a country which shares a land
border with India the following shall apply:
(i) Any Bidder from a country that shares a land border with India will be eligible
to bid, only if the Bidder is registered with the Competent Authority, specified
in Annexure-I of Order (Public Procurement No.1) issued by the Ministry of
Finance, Department of Expenditure Public Procurement Division vide F. No.
6/18/2019-PPD, dated 23rd July 2020, which shall form an integral part of RFP
and DCA.
(ii) “Bidder from a country which shares a land border with India” means:
a. An entity incorporated, established, or registered in such a country, or
b. A subsidiary of an entity incorporated, established, or registered in such a
country; or
c. An entity substantially controlled through entities incorporated, established; or
registered in such a country; or
d. An entity whose beneficial owner is situated in such a country; or
e. An Indian (or other) agent of such an entity; or
f. A natural person who is a citizen of such a country; or
g. A Consortium or joint venture where any member of the consortium or joint
venture falls under any of the above.

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(iii) “Beneficial owner for the purpose of (ii) above means:

1. In the case of a company or Limited Liability Partnership, the beneficial owner
is the natural person(s), who, whether acting alone or together or through one
or more judicial persons, has a controlling ownership interest or who exercises
control through other means.
Explanation:
(a) “Controlling ownership interest” means ownership of or entitlement to more
than twenty-five percent of shares or capital or profits of the company.
(b) “Control” shall include the right to appoint a majority of the directors or to
control the management or policy decisions including by virtue of their
shareholding or management rights or shareholding agreements or voting
agreements;
2. In the case of a partnership firm, the beneficial owner is the natural person(s)
who, whether acting alone or together or through one or more juridical
persons: has ownership of entitlement to more than fifteen percent of capital or
profits of the partnership;
3. In the case of an unincorporated association or body of individuals, the
beneficial owner is the natural person(s), who, whether acting alone or together
or through one or more juridical persons, has ownership of or entitlement to
more than fifteen percent of the property or capital or profits of such
association of body of individual;
4. Where no natural person is identified under (1), (2), or (3) above, the beneficial
owner is the relevant natural person who holds the position of senior managing
official;
5. In the case of a trust, the identification of beneficial owner(s) shall include
identification of the author of the trust, the trustee, the beneficiaries with
fifteen percent or more interest in the trust, and any other natural person
exercising ultimate effective control over the trust through a chain of control or
ownership.

(iv) An Agent is a person employed to do any act for another or to represent

another in dealings with a third person.

(v) The Selected Bidder shall not be allowed to sub-contract works to any
contractor from a country that shares a land border with India unless such contractor is
registered with the Competent Authority. The definition of “contractor from a country
which shares a land border with India" shall be as in Clause 2.2.1(d)(ii) above.
Certificate regarding Compliance:
A certificate on the letterhead of the Bidder shall be required to be submitted by the bidders
certifying the following:
“I have read the clause regarding restrictions on procurement from a bidder of a
country which shares a land border with India and on sub-contracting to Contractors
from such countries; I certify that this bidder is not from a country or, if from such a
country, has been registered with the Competent Authority as defined in Public
Procurement Order no. F.no.6/ 18/2019-PPD dated 23rd July 2020. I hereby certify
that this bidder fulfills all requirements in this regard and is eligible to be considered.”

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It may be noted that in case the above certification is found to be false, this would be a ground
for immediate rejection of the Bid/termination and further legal action under law.

2.2.2 Qualification requirements of Bidders:

2.2.2.1 BID Capacity

Bidders who inter alia meet the minimum qualification criteria will be qualified only
if their available BID capacity is more than the total BID value (value as per Clause
1.1.1). The available BID capacity will be calculated as per the following, based on
the information mentioned in Annexure-VI of Appendix-IA:
Assessed Available BID capacity = (A*N*2.5 – B + C), Where
N= Number of years prescribed for completion of work for which Bid is invited
A = Maximum value of civil engineering works excluding the amount of bonus
received, if any, in respect of EPC Projects executed in any one year during the last
five years (updated to the price level of the year indicated in table at Note-3 below)
taking into account the completed as well as works in progress. The EPC projects
include turnkey projects/ Item rate contracts/ Construction works.
B = Value (updated to the price level of the year indicated in the table at Note-3
below) of existing commitments, works for which the bidder has emerged as the
winner of the bids, or ongoing works to be completed during the period of
completion of the works for which Bid is invited. For the sake of clarification, it is
mentioned that works for which the bidder has emerged as the winner of the bids
but LOA has not been issued as on the day before opening the financial bids shall
also be considered while calculating the value of B.
C = The amount of bonus received, if any, in EPC Projects during the last 5 years
(updated to the price level of the year indicated in table at Note-3 below).
Note:
1) The Statement showing the value of all existing commitments works for which the
contractor has emerged as the winner of the bid as given by the bidder and ongoing
works, as well as the stipulated period of completion remaining for each of the works
listed, should be countersigned by the Client or its Engineer-in-charge not below the rank
of Executive Engineer or equivalent in respect of EPC Projects or Concessionaire
/Authorised Signatory of SPV in respect of BOT Projects and verified by Statutory
Auditor.

2) The amount of bonus received, if any, in EPC Projects should be counter-signed by the
Client or its Engineer-in-charge not below the rank of Executive Engineer or equivalent in
respect of EPC Project.

3) The factor for the year for updation to the price level is indicated as under:
Year Year-1 Year-2 Year-3 Year-4 Year-5
Updation factor 1.00 1.05 1.10 1.15 1.20
4) The Bid capacity status of the bidder is to be updated on the day before opening the
financial bids.

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2.2.2.2 Technical Capacity

(i) For demonstrating technical capacity and experience (the "Technical Capacity"), the
Bidder shall, over the past [5 (five)] financial years preceding the Bid Due Date, have
received payments for the construction of Eligible Project(s), or has undertaken
construction works by itself in a PPP project, such that the sum total thereof, as further
adjusted in accordance with clause 2.2.2.5 (i) & (ii), is more than [1.0 times the
Estimated Cost of Project] (the "Threshold Technical Capacity").
(ii) The sole Bidder or in case the Bidder is a Joint Venture, the lead member of the Joint
Venture shall have completed at least One Four lane major River bridge on Well
foundation having total length of structures (excluding culverts & approaches) not
less than one-third of the total length of the proposed structure excluding approaches.
The updated completion cost of such project shall not be less than one-third of the
Estimated Project Cost in the last 5(FIVE) financial years preceding the Bid Due Date.
For this purpose, a project shall be considered to be completed, if more than 90% of
the value of work has been completed.
(iii) The updation factor to update the price of the eligible projects for the year is indicated
below:
Year Year-1 Year-2 Year-3 Year-4 Year-5
Updation factor 1.00 1.05 1.10 1.15 1.20

2.2.2.3 Financial Capacity:

(i) The Bidder shall have a minimum Net Worth (the “Financial Capacity”) of [5% of
Estimated Project Cost] at the close of the preceding financial year.
(ii) The Bidder shall have a minimum Average Annual Turnover (updated to the price
level of the year based on factors indicated in the table below) of [15% of the
Estimated Project Cost] for the last 5 (five) financial years.
Year Year-1 Year-2 Year-3 Year-4 Year-5
Updation factor 1.00 1.05 1.10 1.15 1.20
(iii)Notwithstanding anything to the contrary contained herein, if the Bid Due Date falls
within three months of the closing of the latest financial year of a Bidder, CA certified
provisional certificate with valid UDIN no. can be submitted and the Bidder may
furnish all its information and certification with reference to the 5 (five) years or 1
(one) year as the case may be, preceding its due date. For the avoidance of doubt,
the financial year shall, for a Bid hereunder, mean the accounting year followed by the
Bidder in the course of its normal business.

2.2.2.4 In the case of a Joint Venture:

(i) The Bid Capacity, Technical Capacity, and Financial Capacity of all the Members of
the Joint Venture would be taken into account for satisfying the above conditions of
eligibility. Further, the Lead Member shall meet at least 60% requirement of Bid
Capacity, Technical, and Financial Capacity as per Clause 2.2.2.1, 2.2.2.2(i), and
2.2.2.3 and each of the other JV members shall meet at least 20% requirement of Bid
Capacity, Technical and Financial Capacity individually as per Clause 2.2.2.1,

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2.2.2.2(i) and2.2.2.3. For the avoidance of doubt, it is further clarified that the Joint
Venture must collectively and individually satisfy the above qualification criteria i.e.,
JV shall cumulatively/collectively fulfill the 100% requirement.
(ii) For the requirement of 2.2.2.2(ii), the bidder shall have completed the Eligible
Projects in Category 1 and/or Category 3 by the lead partner of the JV members as a
single work.

2.2.2.5 Categories and factors for evaluation of Technical Capacity:

(i) Subject to the provisions of Clause 2.2.2 the following categories of experience would
qualify as Technical Capacity and eligible experience (the "Eligible Experience") in
relation to eligible projects as stipulated in Clauses 2.2.2.6 (i) &(ii) (the "Eligible
Projects"). In case the Bidder has experience across different categories, the
experience for each category would be computed as per the weight of the following
factors to arrive at its aggregated Eligible Experience:
Category Project / Construction experience on Eligible Projects Factors
Project in the highways sector that qualify under Clause
1 1
2.2.2.6 (i)
2 Project in core sector that qualify under Clause 2.2.2.6 (i) 0.75
Construction in the highways sector that qualify under
3 1
Clause2.2.2.6 (ii)
Construction in the core sector that qualifies under Clause
4 0.75
2.2.2.6 (ii)
(ii) The Technical capacity in respect of an Eligible Project situated in a developed
country that is a member of the OECD shall be further multiplied by a factor of 0.5
(zero point five) and the product thereof shall be the Experience Score for such
Eligible Project.
(iii)For the purpose of this RFP:
(a) highways sector would be deemed to include NH/SH/MDR/ODR/Urban Roads
(Widening/reconstruction/up-gradation works), expressways, bridges, ROBs,
VUPs, tunnels, runways, railways (construction/re-construction of railway tracks,
yards for keeping containers, etc.) metro rail and ports (including construction/re-
construction cost of Jetties, any other linear infrastructure including bridges, etc.);
and
(b) core sector would be deemed to include civil construction cost of the power sector,
commercial setups (SEZs, etc.), airports, industrial parks/ estates, logistic parks,
pipelines, irrigation, water supply, sewerage, stadium, hotel, smart city,
warehouses/Silos, Oil and gas and real estate development. The core sector will
also include the projects with the title of RIDF, PMGSY road, link road, city
roads, rural road, sector /municipality road, real estate projects that demonstrate
road development/construction bridges or culverts
(iv) In case of projects executed by the applicant under categories 3 and 4 as a member of
the Joint Venture, the project cost should be restricted to the share of the applicant in
the joint venture for determining eligibility as per provision under clause 2.2.2.2. In
case the Statutory Auditor certifies that the work of another member (s) is also
executed by the applicant, then the total share executed by the applicant can be
considered for determining eligibility as per provision under clause 2.2.2.2.

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(v) Maintenance works are not considered eligible projects for evaluation as per
Instruction No.6 to Annex-IV. As such works with nomenclature like PR, OR, FDR,
SR, site/micro grading, surface renewal, resurfacing work, Tarring, B.T. surface work,
temporary restoration, urgent works, periodic maintenance, repair &rehabilitation,
one-time maintenance, permanent protection work of bank, external prestressing,
repair of a central hinge, short term OMT contract of NHAI, any type of work related
to border fencing, work of earthwork alone, construction of buildings/hostels, etc, or
not specified, shall not be considered. However, such maintenance works shall be
considered eligible projects in case of Maintenance works to be taken up on EPC
mode.
(vi)In case both the estimated cost of the project and the revised cost of the project are
provided, the revised cost of the project shall be considered for evaluation.

2.2.2.6 Eligible Experience on Eligible Projects in respect of each category:

(i) For a project to qualify as an Eligible Project under Categories 1 and 2:
(a) It should have been undertaken as a PPP project on BOT, BOLT, BOO, BOOT, or
other similar basis for providing its output or services to a public sector entity or for
providing non-discriminatory access to users in pursuance of its charter, concession, or
contract, as the case may be. For the avoidance of doubt, a project which constitutes a
natural monopoly such as an airport or port should normally be included in this
category even if it is not based on a long-term agreement with a public entity;
(b) the entity claiming experience should have held, in the company owning the Eligible
Project, a minimum of 26% (twenty-six percent) equity during the entire year for
which Eligible Experience is being claimed;
(c) the capital cost of the project should be more than 5% of the amount specified as the
Estimated Project Cost; and
(d) the entity claiming experience shall, during the last 5 (five) financial years preceding
the Bid Due Date, have itself undertaken the construction of the project for an amount
equal to at least one-half of the Project Cost of eligible projects, excluding any part of
the project for which any contractor, subcontractor or other agent was appointed for
construction.
(ii) For a project to qualify as an Eligible Project under Categories 3 and 4, the Bidder should
have received payments from its client(s) for construction works executed, fully or
partially, or work executed and certified by the Engineer-in-charge/Independent
Engineer/Authority’s Engineer during the 5 (five) financial years immediately preceding
the Bid Due Date, and only the amounts (gross) actually received/ work executed, during
such 5 (five) financial years shall qualify for purposes of computing the Experience Score.
However, receipts of or work executed amount less than *[5% of the Estimate Cost of
Project]shall not be reckoned as receipts for Eligible Projects. For the avoidance of doubt,
construction works shall not include the supply of goods or equipment except when such
goods or equipment form part of a turn-key construction contract / EPC contract for the
project. Further, the cost of land and also the cost of pre-construction activities (like
shifting of utilities, etc.) shall not be included hereunder.
(iii)The Bidder shall quote experience in respect of a particular Eligible Project under anyone
category only, even though the Bidder (either individually or along with a member of the
Joint Venture) may have played multiple roles in the cited project. Double counting fora
particular Eligible Project shall not be permitted in any form.

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(iv) Experience for any activity relating to an Eligible Project shall not be claimed by two or
more Members of the Joint Venture. In other words, no double counting by a Joint
Venture in respect of the same experience shall be permitted in any manner whatsoever.

2.2.2.7 Submission in support of Technical Capacity

(i) The Bidder should furnish the details of Eligible Experience for the last 5 (five)
financial years immediately preceding the Bid Due Date.
(ii) The Bidder must provide the necessary information relating to Technical Capacity as
per the format in Annex-II of Appendix-IA.
(iii)The Bidder should furnish the required Project-specific information and evidence in
support of its claim of Technical Capacity, as per format at Annex -IV of Appendix-IA

2.2.2.8 Submission in support of financial capacity

(i) The Technical Bid must be accompanied by the Audited Annual Reports of the Bidder
(of each Member in case of a Joint Venture) for the last 5 (five) financial years,
preceding the year in which the bid is submitted.
(ii) In case the annual accounts for the latest financial year are not audited and therefore
the Bidder cannot make it available, the Bidder shall give an undertaking to this effect
and the statutory auditor shall certify the same with a valid UDIN no.
(iii)The Bidder must establish the minimum Net Worth specified in Clause 2.2.2.3, and
provide details as per the format in Annex-III of Appendix-IA.

2.2.2.9 The Bidder shall enclose with its Technical Bid, to be submitted as per the format at
Appendix-IA, complete with its Annexes, the following:
(i) Certificate(s) from its statutory auditors or the concerned client(s) stating the payments
received or in case of a PPP project, the construction carried out by itself, during the
past 5 years, in respect of the Eligible Projects. In case a particular job/ contract has
been jointly executed by the Bidder (as part of a Joint Venture), it should further
support its claim for the payments received or construction carried out by itself in PPP
Projects as applicable the share in work done for that particular job/ contract by
producing a certificate from its statutory auditor or the client; and
(ii) Certificate(s) from its statutory auditors specifying the net worth of the Bidder, as at
the close of the preceding financial year, and also specifying that the methodology
adopted for calculating such net worth conforms to the provisions of Clause 2.2.2.9
(ii). For the purposes of this RFP, net worth (the “Net Worth”) shall mean the
aggregate value of the paid-up share capital and all reserves created out of the profits
and securities premium account, after deducting the aggregate value of the
accumulated losses, deferred expenditure and miscellaneous expenditure not written
off, as per the audited balance sheet, but does not include reserves created out of
revaluation of assets, write-back of depreciation and amalgamation.

2.3 Proprietary data

All documents and other information supplied by the Authority or submitted by a Bidder to
the Authority shall remain or become the property of the Authority and are transmitted to the
Bidders solely for the purpose of preparation and the submission of a BID in accordance
herewith. Bidders are to treat all information as strictly confidential and shall not use it for
any purpose other than for the preparation and submission of their Bid. The provisions of this
Clause 2.3 shall also apply mutatis mutandis to BIDs and all other documents submitted by

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the Bidders, and the Authority will not return to the Bidders any BID, document, or any
information provided along therewith.

2.4 Cost of Bidding

The Bidders shall be responsible for all of the costs associated with the preparation of their
BIDs and their participation in the Bidding Process. The Authority will not be responsible or
in any way liable for such costs, regardless of the conduct or outcome of the Bidding process.

2.5 Site visit and verification of information

2.5.1 Bidders are encouraged to submit their respective BIDs after visiting the Project site
and ascertaining for themselves the site conditions, river channel flow study, sub-soil
investigation, traffic, location, surroundings, climate, availability of power, water &
other utilities for construction, access to the site, handling and storage of materials,
weather data, applicable laws and regulations, and any other matter considered
relevant by them. Bidders are advised to visit the site and familiarize themselves with
the Project with in the stipulated time of submission of the Bid. No extension of time
is likely to be considered for submission of Bids.

2.5.2 It shall be deemed that by submitting a BID, the Bidder has:

(a) made a complete and careful examination of the Bidding Documents and schedules
annexed to the EPC agreement Document;
(b) received all relevant information requested from the Authority;
(c) accepted the risk of inadequacy, error, or mistake in the information provided in the
Bidding Documents or furnished by or on behalf of the Authority relating to any of the
matters referred to in Clause 2.5.1 above. No claim shall be admissible at any stage on
this account.
(d) satisfied itself about all matters, things, and information including matters referred to
in Clause 2.5.1 hereinabove necessary and required for submitting an informed BID,
execution of the Project in accordance with the Bidding Documents, and performance
of all of its obligations thereunder;
(e) acknowledged and agreed that inadequacy, lack of completeness, or incorrectness of
the information provided in the Bidding Documents or ignorance of any of the matters
referred to in Clause 2.5.1 hereinabove shall not be a basis for any claim for
compensation, damages, an extension of time for performance of its obligations, loss
of profits, etc. from the Authority, or a ground for termination of the Agreement by the
Contractor;
(f) acknowledged that it does not have a Conflict of Interest; and
(g) agreed to be bound by the undertakings provided by it under and in terms hereof.

2.5.3 The Authority shall not be liable for any omission, mistake, or error in respect of any
of the above or on account of any matter or thing arising out of or concerning or
relating to RFP, including any error or mistake therein or in any information or data
given by the Authority

2.6 Verification and Disqualification

2.6.1 The Authority reserves the right to verify all statements, information, and documents
submitted by the Bidder in response to the RFP and the Bidder shall, when so required

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by the Authority, make available all such information, evidence, and documents as
may be necessary for such verification. Any such verification, or lack of such
verification, by the Authority, shall not relieve the Bidder of its obligations or
liabilities hereunder nor will it affect any rights of the Authority thereunder.

2.6.2 The Authority reserves the right to reject any BID and appropriate the BID Security if:
(a) at any time, a material misrepresentation is made or uncovered, or
(b) the Bidder does not provide, within the time specified by the Authority, the
supplemental information sought by the Authority for evaluation of the BID.
Such misrepresentation/ improper response shall lead to the disqualification of the Bidder.
If the Bidder is a Joint Venture, then the entire Joint Venture and each Member of the
Joint Venture may be disqualified/ rejected. If such disqualification/rejection occurs after
the BIDs have been opened and the lowest Bidder gets disqualified/rejected, then the
Authority reserves the right to annul the Bidding Process and invite fresh bids.

2.6.3 In case it is found during the evaluation or at any time before signing of the
Agreement or after its execution and during the period of defect liability subsistence
thereof, that one or more of the eligibility and /or qualification requirements have not
been met by the Bidder, or the Bidder has made material misrepresentation or has
given any materially incorrect or false information, the Bidder shall be disqualified
forthwith if not yet appointed as the contractor either by issue of the LOA or entering
into of the Agreement, and if the Selected Bidder has already been issued the LOA or
has entered into the Agreement, as the case may be, the same shall, notwithstanding
anything to the contrary contained therein or in this RFP, be liable to be terminated, by
a communication in writing by the Authority to the Selected Bidder or the Contractor,
as the case may be, without the Authority being liable in any manner whatsoever to
the Selected Bidder or the Contractor. In such an event, the Authority shall be entitled
to forfeit and appropriate the BID Security or Performance Security, as the case may
be, as Damages, without prejudice to any other right or remedy that may be available
to the Authority under the Bidding Documents and/or the Agreement, or otherwise.

2.6.4 A Bidder shall be liable for disqualification and forfeiture of BID Security, if any
legal, financial, or technical adviser of the Authority in relation to the Project is
engaged by the Bidder, its Member, or any Associate thereof, as the case may be, in
any manner for matters related to or incidental to such Project during the Bidding
Process or subsequent to the (i) issue of the LOA or (ii) execution of the Agreement.
In the event any such adviser is engaged by the selected Bidder or Contractor, as the
case maybe, after issue of the LOA or execution of the Agreement for matters related
or incidental to the project, then notwithstanding anything to the contrary contained
herein or in the LOA or the Agreement and without Prejudice to any other right or
remedy or the Authority, including the forfeiture and appropriation of the BID
Security or Performance Security, as the case may be, which the Authority may have
thereunder or otherwise, the LOA or the Agreement, as the case may be, shall be liable
to be terminated without the Authority being liable in any manner whatsoever to the
Selected Bidder or Contractor for the same. For the avoidance or doubt, this
disqualification shall not apply where such adviser was engaged by the Bidder, its
Member, or Associate in the past but its assignment expired or was terminated 6
(six)months prior to the date of issue of this RFP. Nor will this disqualification apply

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where such an adviser is engaged after a period of 3 (three) years from the date of
commercial operation of the Project.

B. DOCUMENTS

2.7 Contents of the RFP

2.7.1 This RFP comprises the Disclaimer set forth hereinabove, the contents as listed below,
and will additionally include any Addenda issued in accordance with Clause 2.9.
Sections
 Section 1 Introduction
 Section 2. Instructions to Bidders
 Section 3. Evaluation of BIDs
 Section 4. Fraud and Corrupt Practices
 Section 5. Pre-BID Conference
 Section 6. Miscellaneous
Appendices
 IA Letter comprising the Technical BID including
Annexure I to VIII
 IB Letter comprising the Financial BID
Invitation  II Copy of online receipt towards payment of Bid
Volume I
for Bids Security. Bid security is required to be paid online
only through the e-tendering portal.
 III. Power of Attorney for the signing of bid
 IV. Power of Attorney for Lead Member of Joint
Venture
 V. Joint Bidding Agreement for Joint Venture
 VI. Integrity Pact Format
 VII. Form of Bank Guarantee (For Performance
Security)
 VIII. Format of LOA
 IX. Certificate regarding Compliance with Restrictions
under Rule 144 (xi) of the General Financial Rules
(GFRs)
Volume II EPC agreement with Schedules and Drawings

2.7.2 The draft Agreement and the Detailed Project Report provided by the Authority as part
of the BID Documents shall be deemed to be part of this RFP.

2.8 Clarifications

2.8.1 Bidders requiring any clarification on the RFP may notify the Authority in writing by
e-mail in accordance with Clause 1.2.9. They should send in their queries on or before
the date mentioned in the Schedule of Bidding Process specified in Clause 1.3. The
Authority shall endeavor to respond to the queries within the period specified therein.

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The responses will be sent by fax or e-mail. The Authority will forward all the queries
and their responses thereto, to all Bidders without identifying the source of queries.

2.8.2 The Authority shall endeavor to respond to the questions raised or clarifications
sought by the Bidders. However, the Authority reserves the right not to respond to any
question or provide any clarification, in its sole discretion, and nothing in this Clause
shall be taken or read as compelling or requiring the Authority to respond to any
question or to provide any clarification.

2.8.3 The Authority may also on its own motion, if deemed necessary, issue interpretations
&clarifications to all Bidders. All clarifications & interpretations issued by the
Authority shall be deemed to be part of the Bidding Documents. Verbal clarifications
and information given by the Authority or its employees or representatives shall not in
any way or manner be binding on the Authority.

2.9 Amendment of RFP

2.9.1 At any time prior to the BID Due Date, the Authority may, for any reason, whether at
its own initiative or in response to clarifications requested by a Bidder, modify the
RFP by the issuance of an Addenda.

2.9.2 Any Addendum issued hereunder will be hosted on the UPSBC’s e-Tendering Portal
(https://etender.up.nic.in/nicgep/app)

2.9.3 In order to afford the Bidders a reasonable time for taking an Addendum into account,
or for any other reason, the Authority may, in its sole discretion, extend the BID Due
Date.

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C. PREPARATION AND SUBMISSION OF BIDS

2.10 Format and Signing of BID

2.10.1 The Bidder shall provide all the information sought under this RFP. The Authority
will evaluate only those BIDs that are received online in the required formats and
complete in all respects. However, Bid Security, POA for signing the Bid, POA for
lead member of JV, if any, JBA for JV, if any, Integrity Pact, and experience
certificates apostille at foreign origin, if any shall be submitted physically in original
by the Lowest Bidder (including all of its joint venture members) before issuance of
Letter of Acceptance (LOA) by the Authority when asked to submit. The lowest
Bidders (including all of its Joint Venture Members) failing to submit the original
documents required as per above shall be unconditionally debarred from bidding in
UPSBC projects for a period of 2 (two) years.

2.10.2 The BID shall be typed and signed in indelible blue ink by the authorized signatory of
the Bidder. All the alterations, omissions, additions, or any other amendments made to
the BID shall be initialled by the person(s) signing the BID.

2.11 Documents comprising Technical and Financial BID

2.11.1 The Bidder shall first upload all the project details, net worth details, turnover details,
eligibility/experience details, and all other details required in this RFP for technical
qualification. The Bidder shall ensure that all the details are updated as of the due date
of submission of this bid.

The Bidder shall then apply for the RFP on the tendering portal
(https://etender.up.nic.in/nicgep/app) by submitting the documents mentioned below
along with the supporting documents which shall comprise the Technical BID on the
portal:
Technical Bid
(a) Appendix-IA (Letter comprising the Technical Bid) including Annexure I-VII and
supporting certificates/documents.
(b) Power of Attorney for signing the BID as per the format in Appendix III;
(c) if applicable, Power of Attorney for Lead Member of Joint Venture as per the format
in Appendix-IV;
(d) if applicable, Joint Bidding Agreement for Joint Venture as per the format in
Appendix-V;
(e) Copy of online receipt towards payment of Bid Security. Bid security is required to be
paid online only through the e-tendering portal.
(f) Copy of Online receipt towards payment of the cost of Bid document. The bid
document Fee is to be paid online only through the e-tendering portal.
(g) Bidder shall comply with the provisions of Govt. UP GO no. 184/23-7-172(s)/2017
dated 31.01.2019 regarding Integrity Pact (IP) and the Integrity Pact (IP) duly signed
by the Authorised signatory shall be submitted by the Bidder as per Appendix-VI with
the RFP Bid & shall be part of the Contract Agreement;

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(h) An undertaking from the person having PoA referred to in Sub. Clause-(b) above that
they agree and abide by the Bid documents uploaded by UPSBC and amendments
uploaded, if any; and
(i) Annexure-VIII of Appendix – IA showing details of all ongoing project works (Ref
Clause 10.3 (iv) of Document for EPC Agreement).
(j) Copy of Memorandum and Articles of Association, if the Bidder is a body corporate,
and if a partnership then a copy of its partnership deed.
(k) Copies of duly audited complete annual accounts of the Bidder or of each member (in
case of Joint Venture) for the preceding 5 years.
(l) Copy of originals of experience certificates apostille at foreign origin, if any
(m) Certificate regarding Compliance with Restrictions under Rule 144 (xi) of the General
Financial Rules (GFRs) as per the format given in Appendix-IX shall be submitted by
the Bidder with the RFP Bid duly signed by the Authorised signatory & shall be part
of the Contract Agreement; and
(n) Copy of Registration from the Competent Authority as defined in Public Procurement
Order No. F. No. 6/18/2019-PPD dated 23rd July 2020, if applicable (to be submitted
by the “Bidder from a country which shares a land border with India”)
Financial Bid
Appendix-IB (Letter comprising the Financial Bid) shall be submitted online through
the e-procurement portal on or before per Schedule of bidding in Clause 1.3

2.11.2 The Bidder is not required to physically submit the original documents. However, the
bidder shall ensure the correctness of documents listed under clause 2.11.1 of the
Technical Bid. Any discrepancy shall result in the disqualification of the bidders.

2.11.3 NIL

2.11.4
ATTN.OF: Mr. ………………..…………..
DESIGNATION ………………..…..……………
ADDRESS:
………………..…..……………
PHONE NO: ………………..…..……………
E-MAILADDRESS ………………..…..……………
[the address of tender calling Authority or its Authorised Representative]

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2.11.5 BIDs submitted by fax, telex, telegram, or e-mail shall not be entertained and shall be
summarily rejected.

2.12 BID Due Date

Financial BID comprising of the documents listed in clause 2.11.1 of the RFP shall be
submitted online through the UPSBC e-procurement portal on or before the date and
time mentioned as per Clause 1.3 of the RFP. The Bidder shall upload the scanned
copy of the original documents as stated in 2.11.1 along with the bid on or before
the date and time mentioned as per Clause 1.3 of the RFP and no physical submission
is required to be submitted. However, the successful bidder shall submit the
original documents as uploaded in the Bid physically with the concerned authority
before issuance of the LOA,when asked.

2.13 Late BIDs

E-procurement portal https://etender.up.nic.in/nicgep/app shall not allow submission of
any Bid after the prescribed date and time at clause 2.12.

2.14 Procedure for e-tendering

2.14.1 Accessing/ Purchasing of BID documents

2.14.1.1 It is mandatory for all the Bidders to have a class-III Digital Signature Certificate
(DSC)(in the name of the Authorized Signatory / Firm or Organisation / Owner of
the Firm or Organisation) from any of the licensed Certifying Agency (Bidders can
see the list of licensed CAs from the link www.cca.gov.in) to participate in e-
tendering of UPSBC.

DSC should be in the name of the authorized signatory as authorized in Appendix

III of this RFP or the person executing/delegating such Appendix III in favour of
the Authorized Signatory. It should be in corporate capacity (that is in Bidder
capacity / in case of JV in the Lead Member capacity, as applicable). The Bidder
shall submit a document in support of the class III DSC. In other cases, the bid
shall be considered non-responsive.

2.14.1.2 To participate in the bidding, it is mandatory for the Bidders to register their firm /
Joint Venture with the e-procurement portal https://etender.up.nic.in/nicgep/app to
have a user ID & password which has to be obtained free of cost. The following may
kindly be noted:
(a) Registration with the e-procurement portal should be valid at least up to the date
of submission of BID.
(b)BIDs can be submitted only during the validity of registration.
It is also mandatory for the Bidders to get their firms registered with the e-tendering
portal. The Bidders shall update their project and other details on the portal on a
regular basis and apply to the tenders via the portal.

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2.14.1.3 If the firm / Joint Venture is already registered with the e-tendering service provider,
and the validity of registration has not expired, then the firm / Joint Venture does not
require a fresh registration.

2.14.1.4 The complete BID document can be viewed/downloaded by the Bidder from the e-
procurement portal https://etender.up.nic.in/nicgep/app as per the date and time
mentioned as per Clause 1.3 of RFP.

2.14.1.5 The Bidder shall proceed with payment of the tender fee and bid security amounts
through the online payment mechanism developed by UPSBC as below;
(a) Visit the website https://upsbcl.procure247.com/TenderPay/x-login
(b) Valid Bidder having class III DSC used for uploading the bid on
https://etender.up.nic.in/nicgep/app shall fill out the registration form and create
a valid login ID. Any discrepancy in the difference between the name of the
bidder submitting the bid and that making payments shall be considered non-
responsive.
(c) Log in to the EMD portal and search for the tender the Bidder is interested in
submitting.
(d) Navigate to the "Payment Dashboard" in the Action tab of the selected tender.
(e) Choose the appropriate payment option (Online/Challan) and complete the
payment process.
(f) After completing the payment, The Bidder shall download the payment receipt
and upload it on the NIC portal https://etender.up.nic.in/nicgep/app for
submitting the bid.

2.14.2 Preparation & Submission of BIDs:

2.14.2.1 The Bidder may submit his Bid online following the instructions appearing on the
screen. The detailed guidelines for e-procurement are also available on the e-
procurement portal.

2.14.2.2 The documents listed in clause 2.11.1 shall be prepared and scanned in different files
(in PDF or RAR format such that file size is not more than 30 MB) and uploaded
during the online submission of BID.

2.14.2.3 Bid must be submitted online only through the e-procurement portal
https://etender.up.nic.in/nicgep/app using the digital signature of an authorized
representative of the Bidder on or before the date and time mentioned as per Clause
1.3 of RFP.

2.14.2.4 The Bidder shall proceed with payment of the tender fee and bid security amounts
through the online payment mechanism developed by UPSBC as below;
(a) Visit the website https://upsbcl.procure247.com/TenderPay/x-login
(b) Valid Bidder having class III DSC used for uploading the bid on
https://etender.up.nic.in/nicgep/app shall fill out the registration form and create
a valid login ID. Any discrepancy in the difference between the name of the
bidder submitting the bid and that making payments shall be considered non-
responsive.

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(c) Log in to the EMD portal and search for the tender the Bidder is interested in
submitting.
(d) Navigate to the "Payment Dashboard" in the Action tab of the selected tender.
(e) Choose the appropriate payment option (Online/Challan) and complete the
payment process.

2.14.2.5 After completing the payment, the bidder shall download the payment receipt and
upload it on the NIC portal https://etender.up.nic.in/nicgep/app for submitting the
technical bid.

2.14.3 Modifications/ Substitution/Withdrawal of BIDs

2.14.3.1 The Bidder may modify, substitute, or withdraw its e-BID after submission before
the BID Due Date. No BID can be modified, substituted, or withdrawn by the Bidder
on or after the BID Due Date & Time.

2.14.3.2 For modification of e-BID, Bidder has to detach its old BID from the e-procurement
portal and upload/resubmit a digitally signed modified BID. For withdrawal of BID,
Bidder has to click on the withdrawal icon at the e-procurement portal and can
withdraw its e-BID. Before withdrawal of a BID, it may specifically be noted that after
withdrawal of a BID for any reason, Bidder cannot re-submit e-BID again.

2.15 Online Opening of BIDs

2.15.1 Opening of BIDs will be done through an online process.

2.15.2 The Authority shall on-line open Technical BIDs as per the date and time mentioned
per Clause 1.3 of RFP herein above in the presence of the authorized representatives
of the Bidders, who choose to attend. The Authority will subsequently examine and
evaluate the BIDs in accordance with the provisions of Section 3 of the RFP.

2.16 Rejection of BIDs

2.16.1 Notwithstanding anything contained in this RFP, the Authority reserves the right to
reject any BID and to annul the Bidding Process and reject all BIDs at any time
without any liability or any obligation for such acceptance, rejection, or annulment,
and without assigning any reasons thereof. In the event that the Authority rejects or
annuls the BIDs, it may, at its discretion, invite all eligible Bidders to submit fresh
BIDs hereunder.

2.16.2 The Authority reserves the right not to proceed with the Bidding Process at any time,
without notice or liability, and to reject any BID without assigning any reasons.

2.17 Validity of BIDs

The BIDs shall be valid for a period of not less than 120 (one hundred and twenty) days
from the BID Due Date. The validity of BIDs may be extended by mutual consent of
the respective Bidders and the Authority.

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2.18 Confidentiality
Information relating to the examination, clarification, evaluation, and recommendation
for the Bidders shall not be disclosed to any person who is not officially concerned with
the processor and is not a retained professional advisor advising the Authority in
relation to, or matters arising out of, or concerning the Bidding Process. The Authority
will treat all information, submitted as part of the BID, in confidence and will require
all those who have access to such material to treat the same in confidence. The
Authority may not divulge any such information unless it is directed to do so by any
statutory entity that has the power under law to require its disclosure or is to enforce or
assert any right or privilege of the statutory entity and/ or the Authority or as may be
required by law or in connection with any legal process.

2.19 Correspondence with the Bidder

Save and except as provided in this RFP, the Authority shall not entertain any
correspondence with any Bidder in relation to the acceptance or rejection of any BID.
However, the Authority would display the result of the technical evaluation on the web
portal for 7 days including reasons for non-responsiveness, if any, and the financial bid
will be opened thereafter.
D. BID SECURITY

2.20 BID Security

2.20.1 The Bidder shall furnish as part of its BID, a BID Security referred to in Clause
1.2.4 herein above in the form as specified therein.

2.20.2 The Bidder shall submit online, along with its bid, bid security of 1% of the estimated
project cost ( the Bid security), refundable not later than 150 days from the bid due
date. The step-by-step manual and guidelines for online payment of bid security and
the tender fee are mentioned in clause 2.14.1.5 of the RFP.

2.20.3 The Selected Bidder’s BID Security will be returned, without any interest, upon the
Bidder signing the Contract Agreement and furnishing the Performance Security and
Additional Performance Security, if any, in accordance with the provisions thereof.
The Authority may, at the Selected Bidder’s option, adjust the amount of BID Security
in the amount of Performance Security to be provided by him in accordance with the
provisions of the Agreement.

2.20.4 The Authority shall be entitled to forfeit and appropriate the BID Security as Damages
inter alia in any of the events specified in Clause 2.20.5 herein below. The Bidder, by
submitting its BID pursuant to this RFP, shall be deemed to have acknowledged and
confirmed that the Authority will suffer loss and damage on account of withdrawal of
its BID or for any other default by the Bidder during the period of BID validity as
specified in this RFP. No relaxation of any kind on BID Security shall be given to any
Bidder.

2.20.5 The BID Security shall be forfeited and appropriated by the Authority as damages
payable to the Authority for, inter-alia, time cost, and effort of the Authority without
prejudice to any other right or remedy that may be available to the Authority under the

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bidding documents and/or under the Agreement, or otherwise, under the following
conditions:
(a) Deleted
(b) If a Bidder engages in a corrupt practice, fraudulent practice, coercive practice,
undesirable practice, or restrictive practice as specified in Section 4 of this RFP;
(c) If a Bidder withdraws its BID during the period of Bid validity as specified in this
RFP and as extended by mutual consent of the respective Bidder(s) and the Authority;
(d) In the case of Selected Bidder, if it fails within the specified/extended time limit by
Authority –
(i) to sign and return the duplicate copy of the LOA;
(ii) to furnish the Performance Security /Additional Performance Security (if any) as
per Clause 2.21; or
(iii)to sign the Agreement;

2.21 Performance Security

2.21.1 Within 30 (thirty) days of receipt of the Letter of Acceptance, the selected Bidder shall
furnish to the Authority an irrevocable and unconditional guarantee from a Bank in the
form set forth in Appendix-VII (the “Performance Security”) for an amount equal to
5% (five percent) of its Bid Price along with GST as applicable. In case of bids
mentioned below, the Selected Bidder, along with the Performance Security, shall also
furnish to the Authority an irrevocable and unconditional guarantee from a Bank in the
same form given in Appendix-VII towards an Additional Performance Security (the
“Additional Performance Security”) for an amount calculated as under:
(i) If the Bid Price offered by the Selected Bidder is lower than 20% of the
estimated Project Cost/cost put to tender, the Additional Performance Security
shall be calculated @20% of the difference in the (i) Estimated Project Cost (as
mentioned in RFP)-20% of the Estimated Project Cost and (ii) the Bid Price
offered by the selected Bidder.
(ii) The maximum limit of additional performance security shall be limited to 3% of
the Bid price along with GST as applicable and offered by the selected bidder.
(iii)This Additional Performance Security shall be treated as part of the Performance
Security.

2.21.2 The Performance Security shall be valid until 60 (sixty) days after the Defects
Liability Period. The Additional Performance Security shall be valid until 28 (twenty-
eight) days after the Project Completion Date.

2.21.3 The Selected Bidder shall provide the Performance Security and the Additional
Performance Security, if any, within 30 (thirty) days of receipt of the Letter of
Acceptance, in any case before signing the Contract Agreement.

2.21.4 For the avoidance of any doubt, in case of failure of submission of Performance
Security and Additional Performance Security, if any, within the specified period, the
award shall be deemed to be cancelled/ withdrawn and the Bid Security shall be
encashed and the proceeds thereof appropriated by the Authority. Thereupon all rights,
privileges, claims, and entitlements of the Contractor under or arising out of the
Award shall be deemed to have been waived by, and to have ceased with the

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concurrence of the Contractor, and the Award shall be deemed to have been
withdrawn by the Authority
2.22 The agreement will be executed within 10 days of receipt of Performance Security and
Additional Performance Security, if any, as per sub-clause 2.21 above.

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SECTION-3

3 Evaluation of Technical Bids and Opening & Evaluation of Financial Bids

3.1 Evaluation of Technical Bids

3.1.1 The Authority shall open the BIDs received online after as per the Schedule of
Bidding in Clause 1.3 herein above at the place specified in Clause 2.11.4 (i); and in
the presence of the Bidders who choose to attend. The Authority shall prepare minutes
of the BID opening, including information disclosed to those present at the time of the
BID opening.

3.1.2 Technical Bids of those Bidders, who have not submitted their Bid online, shall not be
considered for opening and evaluation.

3.1.3 If any information furnished by the Bidder is found to be incomplete, or contained in

formats other than those specified herein, the Authority may, in its sole discretion,
exclude the relevant information for consideration of eligibility and qualification of
the Bidder.

3.1.4 To facilitate the evaluation of Technical BIDs, the Authority may, at its sole
discretion, seek clarifications in writing from any Bidder regarding its Technical BID.
Such clarification(s) shall be provided within the time specified by the Authority for
this purpose. Any request for clarification(s) and all clarification(s) in response thereto
shall be in writing. The bids will be examined and evaluated in accordance with the
provisions set out in Section 3. The Authority will subsequently flag issues, if any
with the data updated by the Bidders.

3.1.5 If a Bidder does not provide clarifications sought under Clause 3.1.4 above within the
prescribed time, its Bid may be liable to be rejected. In case the Bid is not rejected, the
Authority may proceed to evaluate the Bid by construing the particulars requiring
clarification to the best of its understanding, and the Bidder shall be barred from
subsequently questioning such interpretation of the Authority.

3.1.6 Tests of responsiveness

3.1.6.1 As a first step towards the evaluation of Technical BIDs, the Authority shall
determine whether each Technical BID is responsive to the requirements of this RFP.
A Technical BID shall be considered responsive only if:
(a) Technical BID is received online as per the format in Appendix-IA including
Annexure I, IV, V and VI(Bid Capacity format);
(b) Technical Bid is accompanied by the BID Security as specified in Clause 1.2.4 and
2.20;
(c) The Power of Attorney is uploaded on the e-procurement portal as specified in Clauses
2.1.5;
(d) Technical Bid is accompanied by Power of Attorney for Lead Member of Joint
Venture and the Joint Bidding Agreement as specified in Clause 2.1.6 if so required;
(e) Technical Bid contains all the information (complete in all respects);
(f) Technical Bid does not contain any condition or qualification; and

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(g) Copy of online receipt towards payment of the cost of Bid document Fee of Rs
20,000/- (Rupees Twenty Thousand only) paid online only through the portal.

3.1.6.2 The Authority reserves the right to reject any Technical BID which is non-responsive
and no request for alteration, modification, substitution, or withdrawal shall be
entertained by the Authority in respect of such BID.

3.1.7 In the event that a Bidder claims credit for an Eligible Project, and such claim is
determined by the Authority as incorrect or erroneous, the Authority may
reject/correct such claim for the purpose of qualification requirements.

3.1.8 The Authority will get the BID security verified from the issuing authority and after
due verification, the Authority will evaluate the Technical BIDs for their compliance
with the eligibility and qualification requirements pursuant to clauses 2.2.1 & 2.2.2 of
this RFP.

3.1.9 After evaluation of Technical Bids, the Authority will publish a list of Technically
Responsive Bidders whose financial bids shall be opened. The Authority shall notify
other Bidders that they have not been technically responsive. The Authority will not
entertain any query or clarification from Applicants who fail to qualify.

3.2 Opening and Evaluation of Financial Bids

The Authority shall inform the venue and time of the online opening of the Financial
Bids to the technically responsive Bidders through the e-procurement portal and e-mail.
The Authority shall open the online Financial Bids of the technically responsive Bidders
on the scheduled date and time in the presence of the authorized representatives of the
Bidders who may choose to attend.
The Authority shall publicly announce the Bid Prices quoted by the technically
responsive Bidder. Thereafter, the Authority shall prepare a record of the opening of
Financial Bids.

3.3 Selection of Bidder

3.3.1 Subject to the provisions of Clause 2.16.1, the Bidder whose BID is adjudged as
responsive in terms of Clause 3.1.6, and who quotes the lowest price shall be declared
as the selected Bidder (The “Selected Bidder”)

3.3.2 In the event that two or more Bidders quote the same BID Price (the "Tie BIDs"), the
Authority shall identify the Selected Bidder by draw of lots, which shall be conducted,
with prior notice, in the presence of the Tie Bidders who choose to attend.

3.3.3 In the event that the Lowest Bidder is not selected for any reason except the reason
mentioned in Clause 2.1.12 (b) (4), the Authority shall annul the Bidding Process and
invite fresh BIDs.

3.3.4 After selection, a Letter of Acceptance (the “LOA”) shall be issued in the format set
forth in Appendix-VIII, in duplicate, by the Authority to the Selected Bidder, and the
Selected Bidder shall, within 7(seven) days of the receipt of the LOA, sign and return
the duplicate copy of the LOA in acknowledgment thereof. In the event the duplicate

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copy of the LOA duly signed by the Selected Bidder is not received by the stipulated
date, the Authority may, unless it consents to an extension of time for submission
thereof, appropriate the BID Security of such Bidder as Damages on account of the
failure of the Selected Bidder to acknowledge the LOA.

3.3.5 After acknowledgment of the LOA as aforesaid by the Selected Bidder, it shall cause
the Bidder to submit Performance Security and Additional Performance Security (if
any) within the period prescribed/extended by Authority and then execute the
Agreement within the period prescribed in Clause 1.3. The Selected Bidder shall not
be entitled to seek any deviation, modification, or amendment in the Agreement.

3.3.6 The authority shall return the Bid Security of all bidders except L-1 and L-2 within 7
working days from the opening of the financial Bid subject to the provision of Clause
2.1.12 (4). The bid security of the L-2 bidder shall be returned within 7 working days
of the issue of the LOA. The Authority shall be responsible for returning the Bid
Security, as above, and the bidders shall not be required to ask for the same.

3.4 Contacts during BID Evaluation

BIDs shall be deemed to be under consideration immediately after they are opened and
until such time the Authority makes official intimation of award/ rejection to the
Bidders. While the BIDs are under consideration, Bidders and/ or their representatives
or other interested parties are advised to refrain, save, and except as required under the
Bidding Documents, from contacting by any means, the Authority and/ or their
employees/representatives on matters related to the BIDs under consideration.

3.5 Correspondence with Bidder

Save and except as provided in this RFP, the Authority shall not entertain any
correspondence with any Bidder in relation to the acceptance or rejection of any Bid.
3.6 Any information contained in the Bid shall not in any way be construed as binding on
the Authority, its agents, successors, or assigns, but shall be binding against the Bidder
if the Project is subsequently awarded to it on the basis of such information.

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SECTION-4

4 FRAUD AND CORRUPT PRACTICES

4.1 The Bidders and their respective officers, employees, agents, and advisers shall observe
the highest standard of ethics during the Bidding Process and subsequent to the issue of
the LOA and during the subsistence of the Agreement. Notwithstanding anything to the
contrary contained herein, or in the LOA or the Agreement, the Authority may reject a
BID, withdraw the LOA, or terminate the Agreement, as the case may be, without being
liable in any manner whatsoever to the Bidder, if it determines that the Bidder, directly
or indirectly or through an agent, engaged in corrupt practice, fraudulent practice,
coercive practice, undesirable practice or restrictive practice in the Bidding Process. In
such an event, the Authority shall be entitled to forfeit and appropriate the BID Security
or Performance Security, as the case may be, as Damages, without prejudice to any
other right or remedy that may be available to the Authority under the Bidding
Documents and/ or the Agreement, or otherwise.
4.2 Without prejudice to the rights of the Authority under Clause 4.1 hereinabove and the
rights and remedies which the Authority may have under the LOA or the Agreement, or
otherwise if a Bidder or Contractor, as the case may be, is found by the Authority to
have directly or indirectly or through an agent, engaged or indulged in any corrupt
practice, fraudulent practice, coercive practice, undesirable practice or restrictive
practice during the Bidding Process, or after the issue of the LOA or the execution of
the Agreement, such Bidder shall not be eligible to participate in any tender or RFP
issued by the Authority during a period of 2 (two) years from the date such Bidder, or
Contractor, as the case may be, is found by the Authority to have directly or indirectly
or through an agent, engaged or indulged in any corrupt practice, fraudulent practice,
coercive practice, undesirable practice or restrictive practices, as the case may be.
4.3 For the purposes of this Section 4, the following terms shall have the meaning
hereinafter respectively assigned to them:
(a) “Corrupt practice” means the offering, giving, receiving, or soliciting of anything of
value, pressurizing to influence the action of a public official in the process of
tendering and execution of the project;
(b) “Fraudulent practice” means a misrepresentation or omission of facts suppression of
facts or disclosure of incomplete facts, in order to influence the Bidding Process;
(c) “Coercive practice” means impairing or harming, or threatening to impair or harm,
directly or indirectly, any person or property to influence any person’s participation or
action in the Bidding Process;
(d) “Undesirable practice” means (i) establishing contact with any person connected with
or employed or engaged by the Authority with the objective of canvassing, lobbying
or in any manner influencing or attempting to influence the Bidding Process; or
(ii)having a Conflict of Interest; and
(e) “Restrictive practice” means forming a cartel or arriving at any understanding or
arrangement among Bidders with the objective of restricting or manipulating a full and
fair competition in the Bidding Process.

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SECTION-5

5 PRE-BID CONFERENCE
5.1 Pre-BID conference of the Bidders shall be convened at the designated date, time, and
place. A maximum of two representatives of prospective Bidders shall be allowed to
participate in the production of authority letters from the Bidder.
5.2 During the course of the Pre-Bid conference(s), the Bidders will be free to seek
clarifications and make suggestions for consideration of the Authority. The Authority
shall endeavor to provide clarifications and such further information as it may, in its sole
discretion, consider appropriate for facilitating a fair, transparent, and competitive
Bidding Process.

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SECTION-6

6 MISCELLANEOUS
6.1 The Bidding Process shall be governed by, and construed in accordance with, the laws of
India, and the Courts at the capital of Uttar Pradesh state (Lucknow), shall have exclusive
jurisdiction over all disputes arising under, pursuant to, and/ or in connection with the
Bidding Process.
6.2 The Authority, in its sole discretion and without incurring any obligation or liability,
reserves the right, at any time, to;
(a) suspend and/ or cancel the Bidding Process and/ or amend and/ or supplement the
Bidding Process or modify the dates or other terms and conditions relating thereto;
(b) consult with any Bidder in order to receive clarification or further information;
(c) retain any information and/ or evidence submitted to the Authority by, on behalf of,
and/ or in relation to any Bidder; and/ or
(d) Independently verify, disqualify, reject, and/ or accept any and all submissions or
other information and/ or evidence submitted by or on behalf of any Bidder.
6.3 It shall be deemed that by submitting the Bid, the Bidder agrees and releases the
Authority, its employees, agents, and advisers, irrevocably, unconditionally, fully, and
finally from any and all liability for claims, losses, damages, costs, expenses or liabilities
in any way related to or arising from the exercise of any rights and/ or performance of any
obligations hereunder, pursuant hereto and/ or in connection with the Bidding Process and
waives, to the fullest extent permitted by applicable laws, any and all rights and/ or claims
it may have in this respect, whether actual or contingent, whether present or in future.

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Appendix – IA

LETTER COMPRISING THE TECHNICAL BID

(Refer Clauses 2.1.4, 2.11 and 3.1.6)

To,
………………………………………
………………………………………
………………………………………
(Name & Address of Tender Inviting Authority)
Sub: BID for“....................................................................................................”(Name of work)

Dear Sir,

1. With reference to your RFP document dated……..…we, having examined the document
and understood its contents, hereby submit our BID for the aforesaid Project. The BID is
unconditional and unqualified.
2. I / We acknowledge that the Authority will be relying on the information provided in the
BID and the documents accompanying such BID for the selection of the Bidders for the
aforesaid Project, and we certify that all information provided in the BID and Annexes I
to VIII along with supporting documents are true and correct; nothing has been
omitted which renders such information misleading; and all documents accompanying
such BID are true copies of their respective originals.
3. This Statement is made for the express purpose of our selection as EPC Contractor for the
development of the subject Project and Maintenance of the Project during the Defects
Liability Period (2 Years).
4. I/ We shall make available to the Authority any additional information it may find
necessary or require to supplement or authenticate the BID.
5. I/ We acknowledge the right of the Authority to reject our BID without assigning any
reason or otherwise and hereby waive, to the fullest extent permitted by applicable law,
our right to challenge the same on any account whatsoever.
6. I/We certify that in the last three years, any of the Joint Venture Members have neither
failed to perform on any contract, as evidenced by the imposition of a penalty by an
arbitral or judicial Authority or a judicial pronouncement or arbitration award, nor been
expelled from any Project or contract by any public Authority nor have had any contract
terminated by any public Authority for breach on our part.
7. I/ We declare that:
(a) I/ We have examined and have no reservations about the Bidding Documents,
including any Addendum issued by the Authority.

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(b) I/ We do not have any conflict of interest in accordance with Clauses 2.2.1(c) and
2.6. 4 of the RFP document; and
(c) I/ We have not directly or indirectly or through an agent engaged or indulged
in any corrupt practice, fraudulent practice, coercive practice, undesirable
practice, or restrictive practice, as defined in Clause 4.3 of the RFP document, in
respect of any tender or request for proposal issued by or any agreement entered
into with the Authority or any other public sector enterprise or any Government,
Central or State; and
(d) I/ We hereby certify that we have taken steps to ensure that in conformity with the
provisions of Section 4 of the RFP document, no person acting for us or on our
behalf has engaged or will engage in any corrupt practice, fraudulent practice,
coercive practice, undesirable practice or restrictive practice.
(e) the undertakings given by us along with the Application in response to the RFP for
the Project and information mentioned for the evaluation of the BID Capacity in
Annexure VI were true and correct as on the date of making the Application and are
also true and correct as on the BID Due Date and I/we shall continue to abide by
them.
8. I/ We understand that you may cancel the Bidding Process at any time and that you are
neither bound to accept any BID that you may receive nor to invite the Bidders to BID for
the Project, without incurring any liability to the Bidders, in accordance with Clause
2.16.2 of the RFP document.
9. I/ We believe that we/ our Joint Venture/ proposed Joint Venture satisfy (s) the Threshold
Technical Capacity, and Net Worth criteria and meet(s) all the requirements as specified
in the RFP document.
10. I/ We declare that we/ any Member of the Joint Venture or our/Joint Venture member, are
not a member of any other Joint Venture submitting a BID for the Project.
11. I/ We certify that in regard to matters other than security and integrity of the country, we/
any Member of the Joint Venture or any of our/their Joint Venture member have not been
convicted by a Court of Law or indicted or adverse orders passed by a regulatory
Authority which could cast doubt on our ability to undertake the Project or which relates
to a grave offense that outrages the moral sense of the community.
12. I/ We further certify that in regard to matters relating to the security and integrity of the
country, we/ any Member of the Joint Venture or any of our/their Joint Venture member
have not been charge-sheeted by any agency of the Government or convicted by a Court
of Law.
13. I/ We further certify that no investigation by a regulatory Authority is pending either
against us/ any Member of the Joint Venture or against our CEO or any of our directors/
managers/ employees.
14. I/ We further certify that we are not disqualified in terms of the additional criteria
specified by Department of Disinvestment OM No. 6/4/2001-DD-II dated 13.07.01, a
copy of which forms part of the RFP at Annexure VII of Appendix-IA thereof.
15. I /We undertake that in case due to any change in facts or circumstances during the
Bidding Process, we are attracted by the provisions of disqualification in terms of the
guidelines referred to above; we shall inform the Authority of the same immediately.

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16 I /We further acknowledge and agree that in the event of a change in control occurring after
signing of the Agreement up to its validity, it would not withstand anything to the contrary
contained in the Agreement, be deemed a breach thereof, and the Agreement shall be
liable to be terminated without the Authority being liable to us in any manner whatsoever
17. I/ We hereby irrevocably waive any right or remedy which we may have at any stage at
law or howsoever otherwise arising to challenge or question any decision taken by the
Authority in connection with the selection of the Bidder, or in connect with the Bidding
Process itself, in respect of the above mentioned Project and the terms and implementation
thereof.
18. In the event of my / our being declared as the Select Bidder, I / We agree to enter into an
Agreement in accordance with the draft that has been provided to us prior to the BID Due
date. We agree not to seek any changes in the aforesaid draft and agree to abide by the same.

19. I/ We have studied all the Bidding Documents carefully and also surveyed the project area.
We understand that except to the extent as expressly set forth in the Agreement, we shall
have no claim, right, or title arising out of any documents or information provided to us by
the Authority or in respect of any matter arising out of or relating to the Bidding process
including aware of the Agreement
20. I/We offer a BID Security of Rs…………… (Rupees …………………………… only)
to the Authority in accordance with the RFP Document.
21. The BID Security has been paid online.
22. The documents accompanying the Technical BID as specified in clause 2.11.1 of the RFP
have been submitted in separate files.
23. I/We understand that the BID is subject to the provisions of the Bidding Documents. In no
case I/ We shall have any claim or right of whatsoever nature if the project/contract is not
awarded to me/us or our BID is not opened or rejected.
24. The BID price has been quoted by me/us or after taking into consideration all the terms and
conditions stated in the RFP, Draft Agreement, our own estimate of costs, and after a
careful assessment of the site and all the conditions that may affect the project cost and
implementation of the project.
25. I /We agree and undertake to abide by all the terms and conditions of the RFP document
26 We the Joint Venture agree and undertake to be jointly and severally liable for all the
obligations of the EPC Contract under the Contract Agreement.
27. I / We shall keep this offer valid for 120 (one hundred and twenty days)from the BID Due
Date specified in the RFP.
28 . I / We hereby submit our BID and offer a BID Price as indicated in Financial BID for
undertaking the aforesaid Project in accordance with the Bidding Documents and the
Agreement.
In witness thereof, I/we submit this BID under and in accordance with the terms of the
RFP document.
Yours faithfully,
Place: (Signature, name, and designation of the Authorised Signatory)Date:
Name and seal of the Bidder/ Lead Member

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Note: Paragraphs in square parenthesis may be omitted by the Bidder, if not applicable, and “
Deleted “ may be indicated there,

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Appendix – IB

Letter Comprising the Financial Bid

(Refer Clauses 2.1.4, 2.11 and 3.1.6)
To,
………………………………………
………………………………………
(Name & Address of Tender Inviting Authority)
Sub: BID for“....................................................................................................”(Name of work)
Dear Sir,
With reference to your RFP document dated………. I/ we, having examined
the Bidding document and understood its contents, hereby submit my/our BID for the
aforesaid Project. The BID is unconditional and unqualified.
2. I /We acknowledge that the Authority will be relying on the information provided in the
BID and the documents accompanying such BID for the selection of the Contractor for the
aforesaid Project, and we certify that all information provided in the BID is true and
correct; nothing has been omitted which renders such information misleading; and all
documents accompanying such BID are true copies of their respective originals.
3. The BID price has been quoted by me/us after taking into consideration all the terms and
conditions stated in the RFP, Draft Agreement, our own estimate of costs, and after a
careful assessment of the site and all the conditions that may affect the project cost and
implementation of the project.
4. I/ We acknowledge the right of the Authority to reject our BID without assigning any
reason or otherwise and hereby waive, to the fullest extent permitted by applicable law,
our right to challenge the same on any account whatsoever.
5. In the event of my/our being declared as the Select Bidder, I/We agree to enter into an
Agreement in accordance with the draft that has been provided to us prior to the BID Due
date. We agree not to seek any changes in the aforesaid draft and agree to abide by the same.

6. I / We shall keep this offer valid for 120 (one hundred and twenty days from the BID Due
Date specified in the RFP.
7 I/ We hereby submit our BID and offer a BID Price of Rs----------------------------------------
(Rs in words) exclusive of GST for undertaking the aforesaid Project in
accordance with the Bidding Documents and the Agreement. The GST shall be paid as
applicable.
Appendix 1B as part of the RFP shall be treated for reference only and not to be filled by the
Bidder. The financial bit shall be evaluated considering financial figures, only available on the
CPP portal
Yours faithfully,
Place: (Signature, name, and designation of the Authorised Signatory)
Date: Name and seal of the Bidder/ Lead Member of Authorized Signatory

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Appendix IA
Annex-I

Annex-I

Details of Bidder

1. (a) Name
(b) Country of incorporation
(c) Address of the corporate headquarters and its branch office(s), if any, in India:
(d) Date of incorporation and/ or commencement of business
2. Brief description of the Company including details of its main lines of business and
proposed role and responsibilities in this Project:
3. Details of individual(s) who will serve as the point of contact/ communication for the
Authority:
a) Name
b) Designation
c) Company
d) Address
e) Telephone number
f) E-mail address
g) Fax Number

4. Particulars of the Authorised Signatory of the Bidder

a) Name
b) Designation
c) Address
d) Telephone number
e) Fax Number
f) Class III Digital Signature Certificate ID number

5. In case of a Joint Venture

a) The information above (1-4) should be provided for all the Members of the Joint
Venture.
b) A copy of the Jt. Bidding Agreement, as envisaged in Clause 2.1.11. (f) should be
attached to the BID.
c) Information regarding the role of each Member should be provided as per the table
below:
S Name of Role* Share of work in the Project{Refer
No Member {Refer Clause 2.1.11 (d)}$ Clauses 2.11. ( a) (f) & (g)}
1
2

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3
* The role of each Member, as may be determined by the Bidder, should be indicated in
accordance with instruction 4 at Annex-IV

d) The following information shall also be provided w.r.t. para 2.1.14 for each Member of
the Joint Venture:
Name of Applicant / member of Joint Venture:
S.No. Criteria Yes No
Has the Bidder/ constituent of the Joint Venture been
barred by the [Central/ State] Government, or any entity
1.
controlled by it, from participating in any Project (BOT,
EPC, or otherwise)?
2. If the answer to 1 is yes, does the bar subsist as on the date
of BID?

e) The updated following information w.r.t para 2.2.2.8 for the Bidder and each
Member of the Joint Venture:
6(a) I/ We certify that in the last two years, we/ any of the JV partners have neither failed to
perform for the works of Highways/City/Urban Roads/Utility provisions as evidenced
by imposition of a penalty by an arbitral or judicial authority or a judicial
pronouncement or arbitral award against us, nor been expelled or terminated by
MORTH/UPPWD/UPSBC or its implementing agencies for breach on our part.
(b) I/ We certify that we/ any of the JV partners do not fall in any of the categories of
being a non-performing entity given in Clause 2.1.14 of Instructions to Bidders in the
projects of Highways/City/Urban Roads/Utility provisions works of Ministry of Road
Transport & Highways or its implementing agencies or other
Government/Government undertaking and furnished the complete details.
7(a) I/ We further certify that no investigation by a regulatory authority is pending either
against us/any member of the Joint Venture or our sister concern or against our CEO
or any of our directors/managers/employees.
(b) I/ We further certify that no investigation by any investigating agency in India or
outside is pending either against us/ any member of the Joint Venture or our sister
concern or against our CEO or any of our directors/managers/employees.
A statement by the Bidder and each of the Members of its Joint Venture (where
applicable) disclosing material non-performance or contractual non-compliance in current
projects, as on bid due date is given below (attach extra sheets, if necessary) w.r.t. para
2.1.14
Name of Bidder/ member of Joint Venture:……………………..

Sr. No. Categories of Non-Performer Name of the

Project(s)
i Fails to set up institutional mechanisms and procedures as
per contract.

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Sr. No. Categories of Non-Performer Name of the

Project(s)
ii
Fails to mobilize key construction equipment within a
period of 4 months from the Appointed Date.
iii Fails to complete or has missed any milestone and progress
not commensurate with contiguous unencumbered project
length /ROW available even after a lapse of 6 months from
respective project milestone/Schedule Completion date,
unless Extension of Time has been granted due to
Authority's Default or Force Majeure.
iv Fails to achieve progress commensurate with funds released
from Escrow Account (Equity + Debt + Grant) in BOT or
HAM project and variation is more than 25% in the last 365
days.
v Fails to achieve the target progress or complete the project
as per the schedule agreed at the time of sanctioning of
funds under One Time Funds Infusion (OTFI) or relaxations
to contract conditions to improve cash flow solely on
account of Contractor’s failure/default.
vi Fails to complete rectification (excluding minor
rectifications) as per time given in non-conformity reports
(NCR) in design/completed works/maintenance or reported
in Inspection Reports issued by Quality Inspectors deployed
by the Authority or Officers of the Authority.
vii
Fails to complete minor rectifications exceeding 3 instances
in a project as per time given in non-conformity reports
(NCR) in design/completed works/maintenance.
viii Fails to fulfill its obligations to maintain a highway in a
satisfactory condition in spite of two rectification notices
issued in this regard.
ix Damages/ penalties recommended by the
Independent/Authority's Engineer during the O&M Period
and remedial works are still not taken up.
x Fails to complete Punch list items even after lapse of time
for completion of such items excluding delays attributable
to the Authority.
xi Occurrence of minor failure of structures/highway due to
construction defect wherein no casualties are reported
(casualties include injuries to human being / animals).

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Sr. No. Categories of Non-Performer Name of the

Project(s)
xii
Occurrence of major failure of structures/highway due to
construction defect wherein no casualties are reported
(casualties include injuries to human being/ animals).
xiii Occurrence of a major failure of structures/highway due to
construction defect leading to loss of human lives besides
loss of reputation etc. of the authority.
xiv Fails to make premium payments excluding the current
installment in one or more projects.
xv Fails to achieve financial closure in two or more projects
within the given or extended period (which shall not be
more than six months in any case).
xvi
Fails to submit the Performance Security within the
permissible time period in more than one project.
xvii Rated as an unsatisfactory performing entity/ non-
performing entity by an independent third-party agency and
so notified on the website of the Authority.
xviii Failed to perform for the works of Expressways, National
Highways, ISC & EI works in the last 2(two) years, as
evidenced by the imposition of a penalty by an arbitral or
judicial authority or a judicial pronouncement or arbitral
award against the Bidder, including individual or any of its
JV/Consortium Member, as the case may be.
xix Expelled from the contract or the contract terminated by the
MORTH/UPPWD/UPSBC or its implementing agencies for
breach by such Bidder, including individual or any of its
JV/Consortium Member; Provided that any such decision of
expulsion or termination of contract leading to debarring of
the Bidder from further participation in bids for the
prescribed period should have been ordered after affording
an opportunity of hearing to such party.
xx Fails to start the works or causes a delay in maintenance &
repair/overlay of the project.

I/ We certify that the list is complete and covers all the projects executed for Government /
Government Undertakings implementing agencies and that we/ any of the JV partners do not
fall in any of the above categories of being a non-performing entity.
(Signature, name and designation of the authorised signatory) For and on behalf
of……………………………………..

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Annex-II

Annex-II –

Technical Capacity of the Bidder

@
Technical Capacity of the Bidder
(Refer to Clauses 2.2.2.2, 2.2.2.5 and 2.2.2.7 of the RFP)

Applicant Project Category Experience**(Equivalent Rs. crore)$$ Technical

type Code* $ Experience£
Payments received
Value of self
for
construction of
construction of
Eligible
Eligible
Projects in categories
Projects in categories
1 and 2
3 and 4

(1) (2) (3) (4) (5) (6)

a
Single entity b
Bidder or Lead
c
Member
including other
d
members of the
Joint Venture e
f
Aggregate Technical Experience =

@ Provide details of only those projects that have been undertaken by the Applicant, or its
Lead member including members in case of joint venture, under its own name separately and/
or by a project company eligible under Clause 2.2.2.6(i) (b). In case of Categories 1 and 2,
include only those projects which have an estimated capital cost exceeding the amount
specified in Clause 2.2.2.6(i) (c) and for Categories 3 and 4, include only those projects
where the payments received exceed the amount specified in Clause 2.2.2. 6(ii). In case the
Bid Due Date falls within 3 (three) months of the close of the latest financial year, refer to
Clause 2.1.13.

* Refer Annex-IV of this Appendix-I. Add more rows if

necessary. $ Refer Clause 2.2.2.5(i)
** Construction shall not include supply of goods or equipment except when such goods or
equipment form part of a turn-key construction contract/ EPC contract for the project. In no

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case shall the cost of maintenance and repair, operation of Highways and land be included
while computing the Experience Score of an Eligible Project.

$$ For conversion of US Dollars to Rupees, the rate of conversion shall be Rupees ** (**)2 to
a US Dollar.

£ . In the case of an Eligible Project situated in an OECD country, the Experience Score so
arrived at shall be further multiplied by 0.5, in accordance with the provisions of Clause
2.2.2.5 (ii) and the product thereof shall be the Experience Score for such Eligible Projects.

NOTE: In case of a Joint Venture, information in Annex-II and Annex-IV of Appendix-I shall
be provided separately for other Members so as to establish that each such Member has 20
percent or more of the Threshold Technical Capacity. (Refer Clause 2.2.2.4).

2
The conversion rate of USD into Rupees shall be the daily representative exchange rates
published by the Reserve Bank of India for the relevant date. Where relevant date should be
as on the date 28 (twenty-eight) days prior to the Application Due Date (Bid Due Date).

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Annex-III
Annex-III
Financial Capacity of the Bidder
(Refer to Clauses 2.2.2.3, 2.2.2.9(i), 2.2.2.8 (iii) of the RFP)
(In Rs. crore$)
Net
Bidder type Net Cash Accruals
Worth£

Year 1 Year 2 Year 3 Year 4 Year 5Year 1

Single entity Bidder or Lead Member

including other members of the Joint
Venture

TOTAL

Bidder Average
A n n u a l Turnover Annual
type
Turnover
Year 1 Year 2 Year 3 Year 4 Year 5 (In Rs.
crore$)
(Rs.) Updation (Rs.) Updation (Rs.) Updation (Rs.) Updation (Rs.) Updation
factor factor factor factor factor (In Rs crore$)

1 2 3 4 5 6 7 8 9 10 11 (2x3+4x5+6x
7+8x9+10x11
)/5
1.00 1.05 1.10 1.15 1.20

Single
entity
Bidder or
Lead
Member
including
other
members
of
the Joint
Venture

Name & address of Bidder’s Bankers:

$
For conversion of other currencies into rupees, see note below Annex-II of Appendix-I
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£ The Bidder should provide details of its own Financial Capacity.

Instructions:
1. The Bidder shall attach copies of the balance sheets, financial Statements and Annual
Reports for 5(five) years preceding the BID Due Date. The financial Statements shall:

a. Reflect the financial situation of the Bidder;

b. Be audited by a statutory auditor;

c. Be complete, including all notes to the financial Statements; and

d. Correspond to accounting periods already completed and audited (no Statements for
partial periods shall be requested or accepted).

2. Net Cash Accruals shall mean Profit after Tax + Depreciation.

3. Net Worth (the “Net worth”) shall mean the aggregate value of the paid-up share capital
and all reserves created out of the profits and securities premium account, after deducting
the aggregate value of the accumulated losses, deferred expenditure and miscellaneous
expenditure not written off, as per the audited balance sheet, but does not include reserves
created out of revaluation of assets, write-back of depreciation and amalgamation.

4. Year 1 will be the latest completed financial year, preceding the Bidding. Year 2 shall be
the year immediately preceding Year 1 and so on. In case the BID Due Date falls within 3
(three) months of the close of the latest financial year, refer to Clause 2.1.13

5. In the case of a Joint Venture, a copy of the Jt. Bidding Agreement shall be submitted in
accordance with Clause 2.1.15 (g) of the RFP document.

6. The Bidder shall also provide the name and address of the Bankers to the Bidder.

7. The Bidder shall provide an Auditor’s Certificate specifying the net worth of the Bidder
and also specifying the methodology adopted for calculating such net worth in accordance
with Clause 2.2.2.9 (ii) of the RFP document.

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Appendix IA
Annex-IV
ANNEX-IV
Details of Eligible Projects
(Refer to Clauses 2.2.2.2, 2.2.2.5 and 2.2.2.7of the RFP)
Project Code: Entity: Self/Members:
Item Refer Particulars of
Instruction the Project
Title & nature of the project
Category 5
Year-wise 6
(a) payments received for construction or work executed
and certified by the Engineer-in-charge/Independent
Engineer/Authority’s Engineer, and/or
(b) revenues appropriated for self-construction under PPP
projects
The entity for which the project was constructed 7
Location
Project cost 8
Date of commencement of project/ contract
Date of completion/ commissioning 9
Equity shareholding (with the period during which equity 10
was held)

Instructions:
1. Bidders are expected to provide information in respect of each Eligible Project in this
Annex. The projects cited must comply with the eligibility criteria specified in Clause
2.2.2.6 (i) and 2.2.2.6 (ii) of the RFP, as the case may be. Information provided in this
section is intended to serve as a back up for information provided in the Application.
Applicants should also refer to the Instructions below.
2. The Project Codes would be a, b, c, d, etc.
3. A separate sheet should be filled for each Eligible Project.
4. In case the Eligible Project relates to other Members, write “Member”.
5. Refer to Clause 2.2.2.5 of the RFP for category number.
6. The total payments received and/or revenues appropriated for self-construction for
each Eligible Project are to be stated in Annex-II of this Appendix-I. The figures to be
provided here should indicate the break-up for the past 5 (five) financial years. Year 1
refers to the financial year immediately preceding the Bid Due Date; Year 2 refers to
the year before Year 1, Year 3 refers to the year before Year 2, and so on (Refer
Clause 2.1.13). For Categories 1 and 2, expenditure on construction of the project by
the Applicant itself should be provided, but only in respect of projects having an
estimated capital cost exceeding the amount specified in Clause 2.2.2.6 (i) (c). In the
case of Categories 3 and 4, payments received only in respect of construction should
be provided, but only if the amount received exceeds the minimum specified in Clause
2.2.2.6 (ii). Receipts for construction works should only include capital expenditure,
and should not include expenditure on maintenance & repair and operation of
Highways.

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7. In the case of projects in Categories 1 and 2, particulars such as name,

address, and contact details of owner/ Authority/ Agency (i.e. concession grantor,
counter party to concession, etc.) may be provided. In the case of projects in
Categories 3 and 4, similar particulars of the client need to be provided.
8. Provide the estimated capital cost of the Eligible Project. Refer to Clauses 2.2.2.6 (i)
and 2.2.2.6 (ii)
9. For Categories 1 and 2, the date of commissioning of the project, upon completion,
should be indicated. In the case of Categories 3 and 4, the date of completion of
construction should be indicated. In the case of projects under construction, the likely
date of completion or commissioning, as the case may be, shall be indicated.
10. For Categories 1 and 2, the equity shareholding of the Bidder, in the company owning
the Eligible Project, held continuously during the period for which Eligible Experience
is claimed, needs to be given (Refer Clause 2.2.2.6 (i)).
11. Experience for any activity relating to an Eligible Project shall not be claimed twice.
In other words, no double counting in respect of the same experience shall be
permitted in any manner whatsoever.
12. Certificates from the Bidder’s statutory auditor or its respective clients must be
furnished as per the formats below for each Eligible Project. In jurisdictions that do
not have statutory auditors, the auditors who audit the annual accounts of the Bidder
may provide the requisite certification.
13. If the Bidder is claiming experience under Categories 1 & 2£, it should provide a
certificate from its statutory auditor in the format below as per Clause 2.2.2.6 (i) (d):
Certificate from the Statutory Auditor regarding PPP projects
Based on its books of accounts and other published information authenticated by it, this is to certify
that ……………………..(name of the Bidder) is/ was an equity shareholder in ………………..(title of
the project company) and holds/held Rs. ……… cr. (Rupees …………………….. crore) of equity
(which constitutes ……..%€ of the total paid up and subscribed equity capital) of the project company
from …………... (date) to …………….. (date)¥The project was/is commenced on ………(date) and
likely to be commissioned on ……………. (date of commissioning of the project).
We further certify that the total estimated capital cost of the project is Rs. ……… cr. (Rupees
…………………crore), of which the applicant has undertaken the construction of a project of Rs.
………(Rupees ………. Crores) excluding any part of the project for which any contractor, sub-
contractor, or other agent was appointed for the purpose of construction as per Clause 2.2.2.6 (i)
(d)by the aforesaid Applicant itself, during the past five financial years as per year-wise details noted
below:
………………………
………………………
Name of the audit firm:
Seal of the audit firm: (Signature, name and designation
Date: of the authorized signatory)

£
Refer Clause 2.2.2.5 of the RFP.
 Provide Certificate as per this format only. Attach Explanatory Notes to the Certificate, if necessary.
Statutory auditor means the entity that audits and certifies the annual accounts of the company.
€
Refer instruction no. 10 in this Annex-IV.
¥
In case the project is owned by the Applicant company, this language may be suitably modified to
read: “It is certified that …………….. (name of Applicant) constructed and/ or owned the …………..
(name of project) from ……………….. (date) to ………………… (date).”
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14. If the Bidder is claiming experience under Category 3 & 4, as per Clauses 2.2.2.5 and
2.2.2.6(ii) of the RFP, it should provide a certificate from its Statutory
Auditor/client/Engineer-in charge/ Independent Engineer/Authority’s Engineer in
the format below:
Certificate regarding construction works
Based on its books of accounts and other published information authenticated by it,
This is to certify that ……………………..(name of the Bidder) was engaged by
………………..(title of the project company) to execute ……………… (name of
project) for …………………. (nature of project). The construction of the project
commenced on …………..(date) and the project was/ is likely to be commissioned on
…………… (date, if any). It is certified that Bidder received payments from its Clients
for Construction Works executed by them or work executed and certified by the
Engineer-in-charge/Independent Engineer/Authority’s Engineer, in the aforesaid
construction works.
We further certify that the total estimated capital cost of the project is Rs. …… cr.
(Rupees …………………crore), of which the Applicant received or has executed the
work as certified by the Engineer-in-charge/Independent Engineer/Authority’s
Engineer Rs. ……… cr. (Rupees ……………………… crore), during the past five
financial years as per year-wise details noted below:
………………………
………………………
It is further certified that the receipts indicated above are restricted to the share of the
Applicant who undertook these works as a partner or a member of the joint venture.
We further certify that the applicant has a share of _____% in the Joint
Venture/Consortium.

(Authorized Signatory)

Date:

15. It may be noted that in the absence of any detail in the above certificates, the
information would be considered inadequate and could lead to the exclusion of the
relevant project in the computation of Experience.


Refer Clauses 2.2.2.5 and 2.2.2.6(ii)of the RFP.

Provide Certificate as per this format only. Attach Explanatory Notes to the Certificate, if necessary.
Statutory auditor means the entity that audits and certifies the annual accounts of the company.
However, in case the work of other member(s) is also executed by the applicant, then this fact should
also be certified by the Statutory Auditor and accordingly the language may be suitably modified.
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Appendix IA
Annex-V

Annex–V

Statement of Legal Capacity

(To be forwarded on the letterhead of the Bidder/ Lead Member of Joint Venture)

Ref. Date:

To,
………………………………………
………………………………………
………………………………………
(Name & Address of Tender Inviting Authority)
Sub: BID for“....................................................................................................”(Name of work)

Dear Sir,

We hereby confirm that we/ our members in the Joint Venture (the constitution of which has
been described in the application) satisfy the terms and conditions laid out in the RFP
document.

We have agreed that …………………… (insert member’s name) will act as the Lead
Member of our Joint Venture.*

We have agreed that ………………….. (insert individual’s name) will act as our
representative/ will act as the representative of the Joint Venture on its behalf* and has been
duly authorized to submit the RFP. Further, the authorized signatory is vested with requisite
powers to furnish such letter and authenticate the same.
Thanking you,
Yours faithfully,

(Signature, name, and designation of the authorized signatory)

For and on behalf of……………………………..

*Please strike out whichever is not applicable.

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Appendix IA
Annex–VI
Information required to evaluate the BID Capacity under clause 2.2.2.1:
To calculate the value of “A” and “C”
1. A table containing the value of Civil Engineering Works with respect to Projects (EPC
Contract / Item Rate Contract / Construction works) undertaken by the Bidder during the
last 5 years is as follows (The amount of Bonus received, if any, shall be indicated
separately):
2.
Value of Civil
Engg. Works
Net Value
S. undertaken w.r.t. Amount of
Year excluding
EPC Projects bonus (Rs.
No bonus (Rs. in
including Bonus, If in Crores)
Crores)
any
(Rs. In Crores)
1 Year-1 (specify year)
2 Year-2 (specify year)
3 Year-3 (specify year)
4 Year-4 (specify year)
5 Year-5 (specify year)

3. Maximum value of Projects that have been undertaken during the F.Y…………… out
of the last 5 years and value thereof is Rs. ___________________ Crores (Rupees).
Further, the value updated to the price level of the year indicated in the Appendix is as
follows:
Rs.…………Croresx…………….(Updation Factor as per Appendix) =Rs…………..Crores
(Rupees………………………………………………..)
4. Amount of bonus received, if any, in EPC Projects during the last 5 years (updated to the
price level of the year indicated in Appendix):

Amount of
S. F.Y. / Calendar Updation Updated Amount of
Bonus (Rs.
No. Year Factor Bonus (Rs. in Crores)
in Crores)

1 Year-1 (specify year) 1.00

2 Year-2 (specify year) 1.05
3 Year-3 (specify year) 1.10
4 Year-4 (specify year) 1.51
5 Year-5 (specify year) 1.20
Total (C)=

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……………………….……. ……………………………
Name of the Chartered Accountant: Signature, name and designation of
(Signature, name and designation and Authorise d Signatory
Membership No. of authorised signatory) : For and on behalf of…………( Name of

Date:
Place:
To calculate the value of “B”

A table containing value of all the existing commitments and on-going works to be
completed during the next ** years is as follows:
S. Name Percentage Date of Constructi Value of Value of Balance Anticipat Balance
No Of of issue of on period contract work value of ed date of value of
. Projec participati LOA / as per as per complete work to completio work at
t/ on Date of Agreement Agreeme d be n 2021-22
β
Work of Bidder opening / nt/LOA complet /2020
in of LOA ed price
the project financial level
bid /
Date of
start /
appointe
d date of
project

Rs. in Rs. in Rs. in

Rs. in
Crore Crore Crore
Crore
10(3x8x
1 2 3 4 5 6 7 8= (6-7) 9
#)

The updation Factor as given below

For Year F.Y. / Calendar Year Updation Factor
1 Year-1 (specify year) 1.00
2 Year-2 (specify year) 1.05
3 Year-3 (specify year) 1.10
4 Year-4 (specify year) 1.15
5 Year-5 (specify year) 1.20

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The Statement showing the value of all existing commitments works for which the
contractor has emerged as the winner of the Bid and anticipated value of work to be
completed in the period of construction of the project for which the bid is invited and
ongoing works, as well as the stipulated period of completion remaining for each of the
works mentioned above, is verified from the certificate issued that has been countersigned
by the Client or it Engineer-in-charge not below the rank of Executive Engineer or
equivalent in respect of EPC Projects or Concessionaire / Authorised Signatory of SPV in
respect of BOT Projects. No awarded / ongoing works/works for which the contractor has
emerged as the winner of the Bid has been left in the aforesaid statement which has been
awarded to M/s………………individually / and other member M/s ……………….. and
M/s
………………., as on the bid due date
of this RFP
......................................................
..................................................... Name of the Statutory Auditor's firm;
Seal of the audit firm:(Signature,
Signature, name, and designation of name and designation, and
Authorised Signatory Membership
No. of authorized signatory
For and on behalf of................... (Name of the
Bidder)
1

β
In case balance period of construction is less than the value of period of construction of the project for
which bid is invited, then full value of contract as per Agreement/LOA to be mentioned, else, anticipated
value of work to be completed in the period of construction of the project for which bid is invited is to be
mentioned. In the absence of the anticipated value of work to be completed, the proportionate value
shall be considered while evaluating the Assessed Available Bid Capacity.

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Appendix IA
Annex–VII

Guidelines of the Department of Disinvestment

(Refer Clause1.2.1)
No. 6/4/2001 -DD-II
Government of India
Department of Disinvestment
Block 14, CGO Complex New Delhi.
Dated 13th July, 2001.
OFFICE MEMORANDUM

Sub: Guidelines for qualification of Bidders seeking to acquire stakes in Public Sector
Enterprises through the process of disinvestment.

The government has examined the issue of framing comprehensive and transparent guidelines
defining the criteria for Bidders interested in PSE-disinvestment so that the parties selected
through competitive bidding could inspire public confidence. Earlier, criteria like net worth,
experience, etc. used to be prescribed. Based on experience and in consultation with concerned
departments, the Government has decided to prescribe the following additional criteria for the
qualification/ disqualification of the parties seeking to acquire stakes in public sector
enterprises through disinvestment:
(a) In regard to matters other than the security and integrity of the country, any conviction
by a Court of Law or indictment/ adverse order by a regulatory authority that casts
doubt on the ability of the Bidder to manage the public sector unit when it is
disinvested, or which relates to a grave offense would constitute disqualification. The
grave offense is defined to be of such a nature that it outrages the moral sense of the
community. The decision in regard to the nature of the offence would be taken on case
to case basis after considering the facts of the case and relevant legal principles, by the
Government of India.
(b) In regard to matters relating to the security and integrity of the country, any charge-
sheet by an agency of the Government/ conviction by a Court of Law for an offence
committed by the bidding party or by any sister concern of the bidding party would
result in disqualification. The decision in regard to the relationship between the sister
concerns would be taken, based on the relevant facts and after examining whether the
two concerns are substantially controlled by the same person/ persons.
(c) In both (a) and (b), disqualification shall continue for a period that the Government
deems appropriate.
(d) Any entity, that is disqualified from participating in the disinvestment process, would
not be allowed to remain associated with it or get associated merely because it has
preferred an appeal against the order based on which it has been disqualified. The mere
pendency of appeal will have no effect on the disqualification.
(e) The disqualification criteria would come into effect immediately and would apply to all
Bidders for various disinvestment transactions, which have not been completed as yet.

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(f) Before disqualifying a concern, a Show Cause Notice why it should not be disqualified
would be issued to it and it would be given an opportunity to explain its position.
(g) Henceforth, these criteria will be prescribed in the advertisements seeking Expression
of Interest (EOI) from the interested parties. The interested parties would be required to
provide the information on the above criteria, along with their Expressions of Interest
(EOI). The Bidders shall be required to provide with their EOI an undertaking to the
effect that no investigation by a regulatory authority is pending against them. In
case any investigation is pending against the concern or its sister concern or against its
CEO or any of its Directors/ Managers/ employees, full details of such investigation
including the name of the investigating agency, the charge/offense for which the
investigation has been launched, name and designation of persons against whom the
investigation has been launched and other relevant information should be
disclosed, to the satisfaction of the Government. For other criteria also, a similar
undertaking shall be obtained along with EOI.

Under Secretary to the Government of India

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Appendix IA
Annex–VIII

Details of Ongoing Works (Ref. Clause 10.3(iv) of Draft Agreement)

S. Name of the Contract Price Appointed Likely Date Reason for
Original
No. work (INR Cr) Date of Delay#
Scheduled
Completion
Completion
Date

1
2
3

(In the event that the Bidder had failed to achieve the Completion of any project within a
period of 90 (ninety) days from the Schedule Completion Date of the project, unless such
failure had occurred due to Force Majeure or for reasons solely attributable to the Authority,
the Bidder shall be deemed to be ineligible for bidding this project (under bidding), both as
the sole party or as one of the parties of Joint Venture/ Consortium, if any, during the period
from Scheduled Completion Date to issuance of Completion Certificate for that project. This
restriction is applicable if the contract value of the delayed project was not less than Rs. 300
Crore.)

#To be supported with a valid certificate issued from the Independent Engineer /
Authority’s Engineer / Supervision Consultant / Engineer-in-charge
I / We certify that all the information furnished above is true in all respects
…………………………………………… Name of the Bidder
Signature of the authorized signatory: ____________________
Name of the Authorised Signatory: ______________________
Date: ___________________
Place: __________________

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APPENDIX –II

BLANK

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Appendix III
Format for Power of Attorney for signing of BID
(Refer Clause 2.1.5)

Know all men by these presents, We……………………………………………..

(name of the firm and address of the registered office) do hereby irrevocably constitute,
nominate, appoint and authorize Mr./ Ms (name), ……………………
son/daughter/wife of ……………………………… and presently residing at
…………………., who is presently employed with us/ the Lead Member of our Joint
Venture and holding the position of ……………………………. , as our true and lawful
attorney (hereinafter referred to as the “Attorney”) to do in our name and on our
behalf, all such acts, deeds and things as are necessary or required in connection with or
incidental to submission of our BID for the Project proposed or being developed by the
UPSBC (the “Authority”) including but not limited to signing and submission of all
applications, BIDs and other documents and writings, participate in Pre-BID and other
conferences and providing information/ responses to the Authority, representing us in all
matters before the Authority, signing and execution of all contracts including the agreement
and undertakings consequent to acceptance of our BID, and generally dealing with the
Authority in all matters in connection with or relating to or arising out of our BID for the said
Project and/ or upon award thereof to us and/or until the entering into of the EPC Contract
with the Authority.

AND we hereby agree to ratify confirm and do hereby ratify and confirm all acts, deeds, and
things done or caused to be done by our said Attorney pursuant to and in the exercise of the
powers conferred by this Power of Attorney and that all acts, deeds, and things done by our
said Attorney in the exercise of the powers hereby conferred shall and shall always be deemed
to have been done by us.

IN WITNESS WHEREOF WE, ………………., THE ABOVE-NAMED

PRINCIPAL HAVE EXECUTED THIS POWER OF ATTORNEY ON THIS ………
DAY OF …………. 2…..
For …………………………..
(Signature, name, designation, and address)
of a person authorized by Board Resolution
(in case of Firm/ Company)/ partner in case Witnesses:
Partnership firm
1.
2.
Accepted
……………………………
(Signature)
(Name, Title and Address of the Attorney)
(Notarised)
Person identified by me/ personally
appeared before me/Attested/ Authenticated*
(*Notary to specify as applicable)
(Signature Name and Address of the Notary)
Seal of the Notary Registration No. of the Notary
Date:............................................

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Notes:
The mode of execution of the Power of Attorney should be in accordance with the
procedure, if any, laid down by the applicable law and the charter documents of
the executant(s) and when it is so required, the same should be under common
seal affixed in accordance with the required procedure.
Wherever required, the Bidder should submit for verification the extract of the
charter documents and documents such as a board or shareholders’ resolution/
power of attorney in favor of the person executing this Power of Attorney for the
delegation of power hereunder on behalf of the Bidder.
For a Power of Attorney executed and issued overseas, the document will also
have to be legalized by the Indian Embassy and notarised in the jurisdiction
where the Power of Attorney is being issued. However, the Power of Attorney
provided by Bidders from countries that have signed the Hague Legislation
Convention 1961 is not required to be legalized by the Indian Embassy if it
carries a conforming Apostille certificate.

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APPENDIX-IV

Format for Power of Attorney for Lead Member of Joint Venture

(Refer Clause 2.1.6)

Whereas the …………………………..…..(“The Authority”) has invited BIDs for the

“……………………………………………………………….……………” (the “Project”).

Whereas, …………………….., …………………….., and …………………….. (Collectively

the“Joint Venture”) being Members of the Joint Venture are interested in bidding for the Project
in accordance with the terms and conditions of the Request for Proposal (RFP) and other BID
documents including agreement in respect of the Project, and

Whereas, it is necessary for the Members of the Joint Venture to designate one of them as the
Lead Member with all necessary power and authority to do for and on behalf of the Joint
Venture, all acts, deeds, and things as may be necessary in connection with the Joint Venture’s
BID for the Project and its execution.

NOW THEREFORE KNOW ALL MEN BY THESE PRESENTS

We, …… having our registered office at ……., M/s. ….. having our registered office at …, M/s.

… having our registered office at ….., and ….. having our registered office at ………,
(hereinafter collectively referred to as the “Principals”) do hereby irrevocably designate,
nominate, constitute, appoint, and authorize M/S ……. Having its registered office at ……….,
being one of the Members of the Joint Venture, as the Lead Member and true and lawful
attorney of the Joint Venture (hereinafter referred to as the “Attorney”). We hereby irrevocably
authorize the Attorney (with power to sub-delegate) to conduct all business for and on behalf of
the Joint Venture and any one of us during the bidding process and, in the event the Joint
Venture is awarded the contract, during the execution of the Project and in this regard, to do on
our behalf and on behalf of the Joint Venture, all or any of such acts, deeds or things as are
necessary or required or incidental to the pre-qualification of the Joint Venture and submission
of its BID for the Project, including but not limited to signing and submission of all applications,
BIDs and other documents and writings, participate in pre BID and other conferences, respond
to queries, submit information/ documents, sign and execute contracts and undertakings
consequent to acceptance of the BID of the Joint Venture and generally to represent the Joint
Venture in all its dealings with the Authority, and/ or any other Government Agency or any
person, in all matters in connection with or relating to or arising out of the Joint Venture’s BID
for the in all respect Project and/ or upon award thereof till the EPC Contract is entered into with
the Authority & Compelled.

AND hereby agree to ratify and confirm and do hereby ratify and confirm all acts, deeds and
things done or caused to be done by our said Attorney pursuant to and in exercise of the powers
conferred by this Power of Attorney and that all acts, deeds and things done by our said
Attorney in exercise of the powers hereby conferred shall and shall always be deemed to have
been done by us/ Joint Venture.

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IN WITNESS WHEREOF WE THE PRINCIPALS ABOVE NAMED HAVE EXECUTED

THIS POWER OF ATTORNEY ON THIS …………………. DAY OF ………. 2..…

For …………………….. For …………………….. For ……………………..

(Signature) (Signature) (Signature)

………………….. ………………….. …………………..

(Name & Title) (Name & Title) (Name & Title)

(Executants)
(To be executed by all the Members of the Joint Venture)

Witnesses:

1.
2.

Notes:

The mode of execution of the Power of Attorney should be in accordance with the procedure,
if any, laid down by the applicable law and the charter documents of the executant(s) and
when it is so required, the same should be under common seal affixed in accordance with the
required procedure.

Also, wherever required, the Bidder should submit for verification the extract of the charter
documents and documents such as a board or shareholders’ resolution/ power of attorney in
favor of the person executing this Power of Attorney for the delegation of power hereunder
on behalf of the Bidder.

For a Power of Attorney executed and issued overseas, the document will also have to be
legalized by the Indian Embassy and notarised in the jurisdiction where the Power of
Attorney is being issued. However, the Power of Attorney provided by Bidders from countries
that have signed the Hague Legislation Convention 1961 is not required to be legalized by
the Indian Embassy if it carries a conforming Apostille certificate.

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APPENDIX V
Format for Joint Bidding Agreement for Joint Venture

(Refer Clause 2.1.11)

(To be executed on Stamp paper of appropriate value)

THIS JOINT BIDDING AGREEMENT is entered into on this the ……. day of ……202…..
AMONGST
1. {………… Limited, and having its registered office at ………… } (hereinafter
referred to as the “First Part” which expression shall, unless repugnant to the context
include its successors and permitted assigns)
AND
2. {………… Limited, having its registered office at ………… } and (hereinafter
referred to as the “Second Part” which expression shall, unless repugnant to the context
include its successors and permitted assigns)

The above-mentioned parties of the FIRST and SECOND PART are collectively referred to
as the “Parties” and each is individually referred to as a “Party”
WHEREAS,
(A) …………………………………………………………………………………………
…………………………………………………………………………………………(
hereinafter referred to as the “Authority” which expression shall, unless repugnant to
the context or meaning thereof, include its administrators, successors and assigns) has
invited bids (the Bids”) by its Request for Proposal No.
………………………………. dated .............................. (the “RFP”) for the award
of contract for “……………………………..” (the “Project”)through an EPC
Contract.
(B) The Parties are interested in jointly bidding for the Project as members of a Joint
Venture and in accordance with the terms and conditions of the RFP document and
other bid documents in respect of the Project, and
(C) It is a necessary condition under the RFP document that the members of the Joint
Venture shall enter into a Joint Bidding Agreement and furnish a copy thereof with
the Application.

NOW IT IS HEREBY AGREED as follows:

1. Definitions and Interpretations
In this Agreement, the capitalized terms shall, unless the context otherwise requires,
have the meaning ascribed thereto under the RFP.

2. Joint Venture

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2.1 The Parties do hereby irrevocably constitute a Joint Venture (the “Joint Venture”)
for the purposes of jointly participating in the Bidding Process for the Project.
2.2 The Parties hereby undertake to participate in the Bidding Process only through this
Joint Venture and not individually and/ or through any other Joint Venture constituted
for this Project, either directly or indirectly.

3. Covenants
The Parties hereby undertake that in the event the Joint Venture is declared the
selected Bidder and awarded the Project, it shall enter into an EPC Contract with the
Authority for performing all its obligations as the Contractor in terms of the EPC
Contract for the Project.

4. Role of the Parties

The Parties hereby undertake to perform the roles and responsibilities as described
below:
(a) Party of the First Part shall be the Lead member of the Joint Venture and shall have
the power of attorney from all Parties for conducting all business for and on behalf of
the Joint Venture during the Bidding Process and for performing all its obligations as
the Contractor in terms of the EPC Contract for the Project;
(b) Party of the Second Part shall be {the Member of the Joint Venture; and}

5. Joint and Several Liability

The Parties do hereby undertake to be jointly and severally responsible for all
obligations and liabilities relating to the Project and in accordance with the terms of
the RFP and the EPC Contract, till such time as the completion of the Project is
achieved under and in accordance with the EPC Contract.

6. Share of work in the Project

The Parties agree that the proportion of construction in the EPC Contract to be
allocated among the members shall be as follows:
First Party:

Second Party:

Further, the Lead Member shall itself undertake and perform at least 51 (fifty-one)
percent of the total length of the project highway if the Contract is allocated to the
Joint Venture.

7. Representation of the Parties

Each Party represents to the other Parties as of the date of this Agreement that:

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(a) Such Party is duly organized, validly existing, and in good standing under the
laws of its incorporation and has all requisite power and authority to enter into
this Agreement;
(b) The execution, delivery, and performance by such Party of this Agreement
have been authorized by all necessary and appropriate corporate or
governmental action, and a copy of the extract of the charter documents and
board resolution/ power of attorney in favor of the person executing this
Agreement for the delegation of power and authority to execute this
Agreement on behalf of the Joint Venture Member is annexed to this
Agreement, and will not, to the best of its knowledge:
(i) require any consent or approval not already obtained;
(ii) violate any Applicable Law presently in effect and having applicability
to it;
(iii) violate the memorandum and articles of association, by-laws, or other
applicable organizational documents thereof;
(iv) violate any clearance, permit, concession, grant, license, or other
governmental authorization, approval, judgment, order or decree or any
mortgage agreement, indenture, or any other instrument to which such
Party is a party or by which such Party or any of its properties or assets
are bound or that is otherwise applicable to such Party; or
(v) create or impose any liens, mortgages, pledges, claims, security
interests, charges or Encumbrances, or obligations to create a lien,
charge, pledge, security interest, encumbrances or mortgage in or on
the property of such Party, except for encumbrances that would not,
individually or in the aggregate, have a material adverse effect on the
financial condition or prospects or business of such Party so as to
prevent such Party from fulfilling its obligations under this Agreement;
(c) this Agreement is the legal and binding obligation of such Party,
enforceable in accordance with its terms against it; and
(d) there is no litigation pending or, to the best of such Party’s knowledge,
threatened to which it or any of its Affiliates is a party that presently
affects or which would have a material adverse effect on the financial
condition or prospects or business of such Party in the 73fulfillment of
its obligations under this Agreement.

8. Termination
This Agreement shall be effective from the date hereof and shall continue in full
force and effect until Project completion (the “Defects Liability Period”) is
achieved under and in accordance with the EPC Contract, in case the Project is
awarded to the Joint Venture. However, in case the Joint Venture is either not
pre-qualified for the Project or does not get selected for award of the Project, the
Agreement will stand terminated in case the Applicant is not pre-qualified or
upon return of the Bid Security by the Authority to the Bidder, as the case may
be.

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9. Miscellaneous
9.1 This Joint Bidding Agreement shall be governed by laws of {India}.
9.2 The Parties acknowledge and accept that this Agreement shall not be amended
by the Parties without the prior written consent of the Authority.

IN WITNESS WHEREOF THE PARTIES ABOVE NAMED HAVE EXECUTED

AND DELIVERED THIS AGREEMENT AS OF THE DATE FIRST ABOVE
WRITTEN.SIGNED, SEALED AND DELIVERED

For and on behalf of

LEAD MEMBER by: SECOND PART

(Signature) (Signature)

(Name) (Name)

(Designation) (Designation)

(Address) (Address)

In the presence of:

Notes:

1. The mode of the execution of the Joint Bidding Agreement should be in accordance
with the procedure, if any, laid down by the Applicable Law and the charter documents
of the executants (s) and when it is so required, the same should be under common seal
affixed in accordance with the required procedure.

2. Each Joint Bidding Agreement should attach a copy of the extract of the charter
documents and documents such as resolution / power of attorney in favour of the person
executing this Agreement for the delegation of power and authority to execute this
Agreement on behalf of the Joint Venture Member.

3. For a Joint Bidding Agreement executed and issued overseas, the document shall be
legalised by the Indian Embassy and notarized in the jurisdiction where the Power of
Attorney has been executed.

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APPENDIX VI
INTEGRITY PACT FORMAT
(To be executed on plain paper and submitted along with Technical Bid/Tender documents
for tenders having a value of Rs. 25 crores Construction projects. To be signed by the
Bidder and the same signatory competent/ authorized to sign the relevant contract on behalf
of the Uttar Pradesh)

This integrity Pact is made at _____ on this _________day of ________202….

BETWEEN

the Governor of UP through UP State Bridge Corporation, Undertaking of Govt of UP

represented by Managing Director UPSBC, 16 Madan Mohan Malviya Marg, Lucknow (UP)
226001 (hereinafter referred to as the “Principal/Owner” which expression shall, unless
repugnant to the context or meaning thereof, include its administrators, successors and
assigns)

AND

{Name and address of the Firm/Company},(hereinafter referred to as “The

Bidder(s)/Contractor(s)” and which expression shall unless repugnant to be meaning or
context thereof include its successors and permitted assigns.)

Preamble

Whereas, the Principal has floated the Tender NIT no…................dated..................

(hereinafter referred to as “Tender/Bid”) and intends to award, under laid down
organizational procedure, contract/s for……………..name of work……….on EPC
Mode(hereinafter referred to as the “Contract”).

The Principal values full compliance with all relevant laws of the land, rules of the land,
regulations, economic use of resources, and fairness/ transparency in its relations with its
Bidder(s) and/ or Contractor(s).

And whereas to meet the purpose aforesaid, both the parties have agreed to enter into this
Integrity Pact (hereafter referred to as “Integrity Pact” or “Pact”) the terms and conditions of
which shall also be read as an integral part and parcel of the Tender documents and contract
between the parties.

Now, therefore, in consideration of mutual covenants contained in this pact, the parties
hereby agree as follows and this pact witnesses as under:
Article-1: Commitments of the Principal

(1) The Principal commits itself to take all measures necessary to prevent corruption and
to observe the following principles: -

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(a) No employee of the Principal, personally or through family members, will in

connection with the Tender for, or the execution of a Contract, demand, take a
promise for or accept, for self, or third person, any material or immaterial
benefit which the person is not legally entitled to.

(b) The Principal will, during the Tender process treat all Bidder(s) with equity
and reason. The Principal will in particular, before and during the Tender
process, provide to all Bidder(s) the same information and will not provide to
any Bidder(s) confidential/ additional information through which the
Bidder(s) could obtain an advantage in relation to the tender process or the
contract execution.

(c) The Principal will exclude all known prejudiced persons from the process,
whose conduct in the past has been of biased nature.

(2) If the Principal obtains information on the conduct of any of its employees which is a
criminal offense under the IPC/PC Act or any other Statutory Acts or if there be a
substantive suspicion in this regard, the Principal will inform the Chief Engineer
(Complaint), PWD, UP and in addition can initiate disciplinary actions as per its
internal laid down Rules/Regulations.

Article – 2: Commitments of the Bidder(s)/ Contractor(s)

The Bidder(s)/ Contractor(s)/ commit himself to take all measures necessary to prevent
corruption. He commits himself to observe the following principles during his participation
in the tender process and during the contract execution.

(a) The Bidder(s)/ Contractor(s) will not, directly or through any other person or firm,
offer, promise, or give to any of the Principal’s employees involved in the tender
process or the execution of the contract or to any third person any material or other
benefit which he/she is not legally entitled to, in order to obtain in exchange any
advantage of any kind whatsoever during the tender process or during the execution
of the contract.

(b) The Bidder(s)/ Contractor(s) will not enter with other Bidders into any undisclosed
agreement or understanding, whether formal or informal. This applies in particular to
prices, specifications, certifications, subsidiary contracts, submission or
nonsubmission bids, or any other actions to restrict competitiveness or to introduce
cartelization in the bidding process.

(c) The Bidder(s)/ Contractor(s) will not commit any offense under the relevant IPC/PC
Act and other Statutory Acts; further, the Bidder(s) / Contractor(s) / Concessionaire(s)
/ Consultant(s) will not use improperly, for purposes of completion or personal gain,
or pass on to others, any information or document provided by the Principal as part of
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the business relationship, regarding plans, technical proposals, and business details,
including information contained or transmitted electronically.

(d) The Bidder(s)/ Contractor(s) of foreign origin shall disclose the name and address of
the Agents/ Representatives in India, if any. Similarly, the Bidder(s)/ Contractor(s) of
Indian Nationality shall furnish the name and address of the foreign principal, if any.
(e) The Bidder(s)/ Contractor(s) will, when presenting his bid, disclose any and all
payments he has made, is committed to, or intends to make to agents, brokers, or any
other intermediaries in connection with the award of the contract. He shall also
disclose the details of services agreed upon for such payments.
(f) The Bidder(s)/ Contractor(s) will not instigate third persons to commit offenses
outlined above or be an accessory to such offenses.
(g) The Bidder(s)/ Contractor(s) will not bring any outside influence through any Govt.
bodies/quarters directly or indirectly on the bidding process in furtherance of his bid.
Article -3 Disqualification from the tender process and exclusion from future contracts

(1) If the Bidder(s)/ Contractor(s), before award or during execution has committed a
transgression through a violation of any provision of Article-2, above or in any other
form such as to put his reliability or credibility in question, the Principal is entitled to
disqualify the Bidder(s)/ Contractor(s) from the tender process.

(2) If the Bidder(s)/ Contractor(s) has committed a transgression through a violation of

Article-2 such as to put his reliability or credibility into question, the Principal shall
be entitled to exclude including blacklist, and put on holiday the Bidder(s)/
Contractor(s) for any future tenders/ contract award process. The imposition and
duration of the exclusion will be determined by the severity of the transgression. The
severity will be determined by the Principal taking into consideration the full facts
and circumstances of each case particularly taking into account the number of
transgressions, the position of the transgressors within the company hierarchy of the
Bidder(s)/ Contractor(s), and the amount of the damage. The exclusion will be
imposed for a maximum of 3 years.

(3) A transgression is considered to have occurred if the Principal after due consideration
of the available evidence concludes that “On the basis of facts available there are no
material doubts”.

(4) The Bidder(s)/ Contractor(s) with its free consent and without any influence agrees
and undertakes to respect and uphold the Principal’s absolute rights to resort to and
impose such exclusion and further accepts and undertakes not to challenge or
question such exclusion on any ground, including the lack of any hearing before the
decision to resort to such exclusion is taken. This undertaking is given freely and
after obtaining independent legal advice.

(5) The decision of the Principal to the effect that a breach of the provisions of this
Integrity Pact has been committed by the Bidder(s)/ Contractor(s) shall be final and

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binding on the Bidder(s)/ Contractor(s), however, the Bidder(s)/ Contractor(s) can

approach IEM(s) appointed for the purpose of this Pact.

(6) On the occurrence of any sanctions/ disqualification etc arising out from violation of
the integrity pact, the Bidder(s)/ Contractor(s) shall not be entitled to any
compensation on this account.
(7) Subject to the full satisfaction of the Principal, the exclusion of the Bidder(s)/
Contractor(s) could be revoked by the Principal if the Bidder(s)/ Contractor(s) can
prove that he has restored/ recouped the damage caused by him and has installed a
suitable corruption prevention system in his organization.

Article – 4: Compensation for Damages

(1) If the Principal has disqualified the Bidder(s) from the tender process prior to the
award according to Arcticle-3, the Principal shall be entitled to forfeit the Earnest
Money Deposit/ Bid Security or demand and recover the damages equivalent to
Earnest Money Deposit/ Bid Security apart from any other legal right that may have
accrued to the Principal.

(2) In addition to 1 above, the Principal shall be entitled to take recourse to the relevant
provisions of the contract related to the Termination of Contract due to the
Contractor/ Concessionaire/Consultant’s Default. In such case, the Principal shall be
entitled to forfeit the Performance Bank Guarantee of the Contractor/ Concessionaire/
Consultant and/ or demand and recover liquidated and all damages as per the
provisions of the contract/concession agreement against Termination.

Article – 5: Previous Transgressions

(1) The Bidder declares that no previous transgressions occurred in the last 3 years
immediately before signing of this Integrity Pact with any other Company in any
country conforming to the anti-corruption/Transparency International (TI) approach
or with any other Public Sector Enterprise/Undertaking in India or any Government
Department in India that could justify his exclusion from the tender process.

(2) If the Bidder makes an incorrect statement on this subject, he can be disqualified from
the tender process or action for his exclusion can be taken as mentioned under
Article-3 above for transgressions of Article-2 and shall be liable for compensation
for damages as per Article-4 above.

Article –6: Equal treatment of all Bidders/ Contractors/ Concessionaires/ Consultants/

Subcontractors

(1) The Bidder(s)/ Contractor(s) undertake(s) to demand from all sub-contractors a

commitment in conformity with this Integrity Pact, and to submit it to the Principal
before contract signing.

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(2) The Principal will enter into agreements with identical conditions as this one with all
Bidders/ Contractors/ Concessionaires/ Consultants and subcontractors.
(3) The Principal will disqualify from the tender process all Bidders who do not sign this
Pact or violate its provisions.

Article –7: Criminal charges against violating Bidder(s)/ Contractor(s) / Sub-

contractor(s)
If the Principal obtains knowledge of the conduct of a Bidder/ Contractor/
Concessionaire/ Consultant or subcontractor, or of an employee or a representative or an
associate of a Bidder/ Contractor/Concessionaire/ Consultant or Subcontractor, which
constitutes corruption, or if the Principal has substantive suspicion in this regard, the
Principal will inform the same to the General Manager (Complaint), UPSBC.

Article- 8: Independent External Monitor (IEM)

(1) The Principal has appointed the General Manager (Commercial) UPSBC as an
Independent External Monitor (hereinafter referred to as “Monitor”) for this Pact.
The task of the Monitor is to review independently and objectively, whether and to
what extent the parties comply with the obligations under this agreement.
(2) The Monitor is not subject to instructions by the representatives of the parties and
performs his functions neutrally and independently. He reports to the Principal

(3) The Bidder(s)/ Contractor(s) accepts that the Monitor has the right to access without
restriction to all project documentation of the Principal including that provided by
the Bidder(s)/ Contractor(s). The Bidder(s)/ Contractor(s) will also grant the
Monitor, upon his request and demonstration of a valid interest, unrestricted and
unconditional access to his project documentation. The same is applicable to
Subcontractors. The Monitor is under contractual obligation to treat the information
and documents of the Bidder(s)/Contractor(s)/Subcontractor(s) with confidentiality.

(4) The Principal will provide the Monitor with sufficient information about all meetings
among the parties related to the Project provided such meetings could have an impact
on the contractual relations between the Principal and the Contractor. The parties
offer the Monitor the option to participate in such meetings.

(5) As soon as the Monitor notices, or has reason to believe, a violation of this Pact, he
will so inform the Management of the Principal and request the Management to
discontinue or take corrective action, or to take other relevant action. The monitor can
in this regard submit non-binding recommendations. Beyond this, the Monitor has no
right to demand from the parties that they act in a specific manner, refrain from
action, or tolerate action.

(6) The Monitor will submit a written report to the Principal within 8 to 10 weeks from
the date of reference or intimation to him by the Principal and, should the occasion
arise, submit proposals for correcting problematic situations.

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(7) If the Monitor has reported to the Principal a substantiated suspicion of an offense
under the relevant IPC/PC Act, and the Principal has not, within the reasonable time
taken visible action to proceed against such offense or reported it to the General
Manager (Complaint), UPSBC, the Monitor may also transmit this information
directly to the General Manager (Complaint), UPSBC.

(8) The word 'Monitor' would include both singular and plural.
Article –9 Pact Duration

This Pact begins when both parties have legally signed it (in the case of EPC i.e. for
projects funded by Principal and consultancy services). It expires for the Contractor/
Consultant 12 months after his Defect Liability Period is over or 12 months after his
last payment under the contract whichever is later and for all other unsuccessful
Bidders 6 months after this Contract has been awarded. (In the case of BOT Projects)
It expires for the concessionaire 24 months after his concession period is over and for
all other unsuccessful Bidders 6 months after this Contract has been awarded.

If any claim is made/ lodged during his time, the same shall be binding and continue
to be valid despite the lapse of this pact as specified above, unless it is discharged/
determined by the Principal.
Article -10 Other Provisions.

(1) This pact is subject to Indian Law. The place of performance and jurisdiction is the
Registered Office of the Principal, i.e. Lucknow, UP.

(2) Changes and supplements as well as termination notices need to be made in writing.

(3) If the Bidder/Contractor is in a partnership or a Joint Venture partner, this pact must
be signed by all partners or members.

(4) Should one or several provisions of this agreement turn out to be invalid, the
remainder of this agreement remains valid. In this case, the parties will strive to come
to an agreement to their original intentions.

(5) Any disputes/ differences arising between the parties with regard to the term of this
pact, any action taken by the Principal in accordance with this Pact or interpretation
thereof shall not be subject to any Arbitration.

(6) The actions stipulated in this Integrity Pact are without prejudice to any other legal
action that may follow in accordance with the provision of the extent law in force
relating to any civil or criminal proceedings.
In witness whereof the parties have signed and executed this Pact at the place and date
first done mentioned in the presence of the following witness:-

(For & On behalf of the Principal)

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(For & On behalf of the Bidder/

Contractor)
(Office Seal)

Place________

Date_________

Witness 1 : (Name & Address):

Witness 2 : (Name & Address)

{COUNTERSIGNED and accepted by:

JV Partner}

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Appendix-VII
(See Clauses 2.21)
FORM OF BANK GUARANTEE
[Performance Security/Additional Performance Security]
To
……………………………….[name of Authority]
……………………………….[address of Authority]
WHEREAS…………………………………………………..[name and address of Contractor]
(hereafter called the “Contractor”) has undertaken, in pursuance of Letter of Acceptance
(LOA) No…………………………….……….…. Dated………… for construction
of……………………………………………….…….[Name of work] (hereinafter
called the “Contract”).
AND WHEREAS the Contract requires the Contractor to furnish an{Performance Security/
Additional Performance Security} for due and faithful performance of its obligations, under
and in accordance with the Contract, during the {Construction Period/ Defects Liability
Period and Maintenance Period} in a sum of Rs….. cr. (Rupees ………..….. crore) (the
“Guarantee Amount”15).
AND WHEREAS we, …………………..through our branch at …………………. (the
“Bank”) have agreed to furnish this Bank Guarantee (hereinafter called the “Guarantee”) by
way of Performance Security.
NOW, THEREFORE, the Bank hereby, unconditionally and irrevocably, guarantees and
affirms as follows:
1. The Bank hereby unconditionally and irrevocably guarantees the due and faithful
performance of the Contractor’s obligations during the {Construction Period/ Defects
Liability Period and Maintenance Period}under and in accordance with the Contract,
and agrees and undertakes to pay to the Authority, upon its mere first written demand,
and without any demur, reservation, recourse, contest or protest, and without any
reference to the Contractor, such sum or sums upto an aggregate sum of the
Guarantee Amount as the Authority shall claim, without the Authority being required
to prove or to show grounds or reasons for its demand and/or for the sum specified
therein.
2. A letter from the Authority, under the hand of an officer not below the rank
of……………………….... Authorized Representative of authority, that the Contractor
has committed default in the due and faithful performance of all or any of its
obligations under and in accordance with the Contract shall be conclusive, final, and
binding on the Bank. The Bank further agrees that the Authority shall be the sole
judge as to whether the Contractor is in default in due and faithful performance of its
obligations during and under the Contract and its decision that the Contractor is in
default shall be final and binding on the Bank, notwithstanding any differences
between the Authority and the Contractor, or any dispute between them pending
before any court, tribunal, arbitrators or any other authority or body, or by the
discharge of the Contractor for any reason whatsoever.

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3. In order to give effect to this Guarantee, the Authority shall be entitled to act as if the
Bank were the principal debtor, and any change in the constitution of the Contractor
and/or the Bank, whether by their absorption with any other body or corporation or
otherwise, shall not in any way or manner affect the liability or obligation of the Bank
under this Guarantee.
4. It shall not be necessary, and the Bank hereby waives any necessity, for the Authority
to proceed against the Contractor before presenting to the Bank its demand under this
Guarantee.
5. The Authority shall have the liberty, without affecting in any manner the liability of
the Bank under this Guarantee, to vary at any time, the terms and conditions of the
Contract or to extend the time or period for the compliance with, fulfilment and/ or
performance of all or any of the obligations of the Contractor contained in the
Contract or to postpone for any time, and from time to time, any of the rights and
powers exercisable by the Authority against the Contractor, and either to enforce or
forbear from enforcing any of the terms and conditions contained in the Contract
and/or the securities available to the Authority, and the Bank shall not be released
from its liability and obligation under these presents by any exercise by the Authority
of the liberty with reference to the matters aforesaid or by reason of time being given
to the Contractor or any other forbearance, indulgence, act or omission on the part of
the Authority or of any other matter or thing whatsoever which under any law relating
to sureties and guarantors would but for this provision have the effect of releasing the
Bank from its liability and obligation under this Guarantee and the Bank hereby
waives all of its rights under any such law.
6. This Guarantee is in addition to and not in substitution of any other guarantee or
security now or which may hereafter be held by the Authority in respect of or relating
to the Contract or for the fulfillment, compliance, and/or performance of all or any of
the obligations of the Contractor under the Contract.
7. Notwithstanding anything contained hereinbefore, the liability of the Bank under this
Guarantee is restricted to the Guarantee Amount and this Guarantee will remain in
force for the period specified in paragraph 8 below and unless a demand or claim in
writing is made by the Authority on the Bank under this Guarantee all rights of the
Authority under this Guarantee shall be forfeited and the Bank shall be relieved from
its liabilities hereunder.
8. The Guarantee shall cease to be in force and effect on ****$. Unless a demand or
claim under this Guarantee is made in writing before the expiry of the Guarantee, the
Bank shall be discharged from its liabilities hereunder.
9. The Bank undertakes not to revoke this Guarantee during its currency, except with the
previous express consent of the Authority in writing and declares and warrants that it
has the power to issue this Guarantee and the undersigned has full powers to do so on
behalf of the Bank.
10. Any notice by way of request, demand, or otherwise hereunder may be sent by post
addressed to the Bank at its above-referred branch, which shall be deemed to have
been duly authorized to receive such notice and to effect payment thereof forthwith,
and if sent by post it shall be deemed to have been given at the time when it ought to
have been delivered in due course of post and in proving such notice when given by
post, it shall be sufficient to prove that the envelope containing the notice was posted

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and a certificate signed by an officer of the Authority that the envelope was so posted
shall be conclusive.
11. This Guarantee shall come into force with immediate effect and shall remain in force
and effect for up to the date specified in paragraph 8 above or until it is released earlier
by the Authority pursuant to the provisions of the Contract.
12. This Guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010
Revision, ICC Publication No. 758, except that the supporting statement under Article
15(a) is hereby excluded.
13. This guarantee shall also be operatable at <Mention Bank name and Branch>at
Ayodhya, from whom confirmation regarding the issue of this guarantee or
extension/renewal thereof shall be made available on demand. In the contingency of
this guarantee being invoked and payment thereunder claimed, the said branch shall
accept such invocation letter and make payment of amounts so demanded under the
said invocation.
Signed and sealed this ………. day of ……….., 20……… at ………..

SIGNED, SEALED AND DELIVERED

For and on behalf of the Bank by: (Signature)
(Name) (Designation) (Code Number) (Address)

$ Insert date being 2 (two) years from the date of issuance of this Guarantee (in accordance
with Clause 7.2 of the Agreement)

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Appendix-VIII
(See Clauses 3.3.4)
Format of LOA

Letter No. Dated,

To,
{Name of selected Bidder}
Subject: {project description}- Letter of Acceptance (LOA)-Reg.
Reference: Your bid for the subject work dated ……………..
Sir,
1. This is to notify you that your Bid dated ………… for the execution of the {project
description}, at your quoted bid price amounting to Rs /- {amount in words} has
been determined to be the lowest evaluated bid and is substantially responsive and has
been accepted.
2. You are requested to return a duplicate of the LOA as an acknowledgment and sign
the Contract Agreement within the period prescribed in Clause 1.3 of the RFP.
3. You are also requested to furnish Performance Security for an amount of
…………………. {and Additional Performance Security for an amount of
……………………….} as per Clause 2.21 of the RFP within 30 (Thirty) days of
receipt of this Letter of Acceptance (LOA.
4. In case of failure of submission of Performance Security and Additional Performance
Security (if any) within above mentioned time period, the award shall be deemed to be
cancelled and Bid security shall be encashed by the Authority as per Clause 2.21 of
the RFP.

Yours faithfully,

{authorized signatory}
“Accepted by
(Name of the Authorized person)
(Name of the sole bidder/lead partner of JV)
Seal of the bidder”

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Appendix-IX
(See Clauses 2.2.1)
Certificate regarding Compliance

A certificate on the letterhead of the Bidder shall be required to be submitted by the bidders
certifying the following:
“I have read the clause regarding restrictions on procurement from a bidder of a country
which shares a land border with India and on sub-contracting to Contractors from such
countries; I certify that this bidder is not from a country or, if from such a country, has
been registered with the Competent Authority as defined in Public Procurement Order no.
F.no.6/ 18/2019-PPD dated 23rd July 2020. I hereby certify that this bidder fulfills all
requirements in this regard and is eligible to be considered.”

Signature Not Verified

Digitally signed by BIJAY KUMAR SEN
Date: 2025.06.18 16:24:47 IST
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Location: Uttar Pradesh-UP