Cover Page of Checklist Part A: Tender Procedure for Supplies and Services Part B: Major Elements of Tender/Contract

Country: India P Nasik Thermal Power Station (NTPS) Unit 3- EER&M&LE r o j e c t : N To be given by MAHAGENCO o . : MAHAGENCO Nasik Thermal Power Station Steag Energy Services India Pvt. Ltd., Implementation Support Yes: No: Main Plant Package Sent by NTPS To be executed To be sent by NTPS

Procuring Agency (Name): Contracting Agency: Consultant (Name, Function) Checklist examined by Consultant: Tender Documents (brief descript.): Sent to KfW with letter from Consultant dated Supply/Service Contract (brief description and date incl. checklist) Sent to KfW with letter from Consultant dated Cost Estimate Programme proposal/SA Date To be given by MAHAGENCO

a) Supplies b) S ervices c) S um Exch. rate EUR a)

To be given by MAHAGENCO To be given by MAHAGENCO

To be given by MAHAGENCO

To be given by MAHAGENCO

Cost Estimate Consultant, Project agency Date: 10th June, 2012

(as far as possible, on the basis of the completed list of specifications)

c)

Supplies INR 2317.88m (EURO 33.09.m) b) INR 579.47m (EURO 8.27.m) S ervice s Sum INR 2897.35m (EURO 41.36.m) 70.04 ( INR-EURO)

Exch. rate EUR Bid Date: a) (To be given by MAHAGENCO) Supplies b) S ervice s c) S um

Bids are to be invited Bids are to be invited

Bids are to be invited

-2Exch. Rate EUR Contract Sum a) Date: (To be given by MAHAGENCO) Supplies b) S ervice s c) S um Exch. Rate EUR State Bank of India BC Selling Rate prevailing on date of opening of Envelope I Bids (Item ITB 33.1 of BDS) To be finalized after opening of Price Bid To be finalized after opening of Price Bid

To be finalized after opening of Price Bid

State Bank of India BC Selling Rate prevailing on the date of opening of Envelope I Bids (Item ITB 33.1 of BDS) ....... No L ...

Major changes from the agreed project conception: ....... Yes Main tender provisions (Parts A and B) examined on By 29.6.201 Consulta 2 nt Main supply and service agreements (Part B) examined on by 29.6.2012 Consulta nt

L ...

Teil A:

-2Examination of important rules of the tender procedure

Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes for processing (explanation of numbers in Annex A)

1.

Scope of tender

Volume I Part 1 Section 1 ITB 1.1, Section VIEmployer s Require mentScope of Supply of Plant and Services by the Contract or and Part 3 Section VII GC 7.

Overall project

Part of an overall project ( Main Plant Package excluding BOP, Electrical and CHP) Other:

Teil A:
2.

-3Examination of important rules of the tender procedure

Volume I Part 2 Section VIEmployer s Require mentSpecifica tions, Part 3 Section VII GC 8 and Section IX Contract Forms Appendix 4 Time Schedule

Type of tender:

Tender for services with detailed specifications

(1)

divided into appropriately defined sub-lots (Main Plant Package consists of five related sections as stated in Section VI Employers Requirements. Number and identification of lots (Contracts) comprising this ICB is One(Item ITB 1.1 of BDS) Bids are invited through ICB process and participation of local companies is possible) Inseparable list of specifications

Tender for functions with specified targets Volume I Part 1 Section 1 ITB 13

Alternative bids admitted (Bidders are free to submit alternate bids, if any)

Teil A:

-4Examination of important rules of the tender procedure

Other:

3.

Tender procedure

IFB Clause 3,Volume I Part 1 Section II item ITB 1.1 of BDS and ITB 13.

with pre-qualification (please explain procedure and result in separate annex

With date of publication/number of bidders/ pre-qualification criteria) International competitive bidding ( All countries are eligible Volume 1 Part 1 Section V Eligible Countries) Limited to: Direct award (2)

Volume Paragraph Article Page

Contents (Answer by ticking or filling in the blanks)

Evaluation

Notes for processing (explanation of numbers in Annex A) (2)

Publication in:

Teil A:

-5Examination of important rules of the tender procedure

IFB Clause 1.The invitation to participat e in ICB will be published in Germany as indicated in above Clause of IFB and leading daily newspap ers in India as per paragrap h 2.02 of KfW guideline s for Procure ment.

GTAI /bfai as per KfW Guidelines (required!)

International/

local press

other procedure (for ex. via embassies)

Teil A:
4.

-6Examination of important rules of the tender procedure

Volume I for bids: Part 1 Section I ITB 23 and Section II item ITB 22.2 (a) of BDS ITB19.1 validity: and item ITB 19.1 of BDS Months ( To be given by MAHAGENCO) (3)

Deadlines

Six (6)

Months ( after the Bid Submission deadline date prescribed by the Employer)

5.

Evaluation of bids and award of contract

5.1 Criteria examined at pre-qualification

Volume I Part 1 ITB 15, 2.3 of Section III Evaluatio n and Qualificat ion Criteria,

Financial situation, personnel and material situation of the bidders

(4)

(If no pre-qualification is carried out, these criteria are to be included in the

Teil A:

-7Examination of important rules of the tender procedure

Volume I Part 1 Section I ITB 15, 2.4 of Section III Evaluatio n and Qualificat ion Criteria

tender documents.)

Suitability/experience of the bidders from comparable programmes

Volume I Part 1 Section I ITB 7.2 and 7.3 , Part 3 Section VII GC 9.2

Knowledge of regional/local conditions

Teil A:

-8Examination of important rules of the tender procedure

Volume I Part 1 Section I ITB 4 , ITB 3, and 2.1, 2.2 of Section III Evaluatio n and Qualificat ion Criteria and ITB 35.1

Other:

Eligible Bidders as per KfW Guidelines for Procurement including ILO Declaration and fraud and corruption, nationality , conflict of interest , ineligibility, history of non- performing contracts and pending litigations as per World Bank SBD

(5)

5.2 Evaluation criteria listed in tender documents

Volume I Part 1 Section I ITB 35.3, ITB 36, ITB 32, ITB 33 and ITB 34

Bid price

(6), (7)

Teil A:

-9Examination of important rules of the tender procedure

Volume I Part 1 Item 1.2 (a) of Section III Evaluatio n and Qualificat ion Criteria and Section I ITB 35..2.2.1 (f) and Appendix - 4 Part 3 Section IX Contract Forms

Construction term or delivery periods

Teil A:

- 10 Examination of important rules of the tender procedure

Volume I Part 1 Section I ITB 14, ITB 16, 1.2 (c) and 2.6 of Section III Evaluatio n and Qualificat ion Criteria, ITB 35.2.2.1 and the factors (a) , (b) , (d) and (g) and Appendix 8Section IXContract Forms

Technical advantages (for ex. specific consumption of equipment, capacities, compatibility with exist. equip.).

Teil A:

- 11 Examination of important rules of the tender procedure

Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes for processing (explanation of numbers in Annex A)

Volume I Part 1 Section I ITB , 16.2(b), Section II item ITB 16.2 (b) of BDS , 2.7 of Section III Evaluatio n and Qualificat ion Criteria ITB 35.2.2.1 (c)

Spare parts supplies

Teil A:

- 12 Examination of important rules of the tender procedure

Volume I Part 1 Section I ITB 16.2(b), Section II item ITB 16.2 (b) of BDS , 2.7 of Section III Evaluatio n and Qualificat ion Criteria ITB 35.2.2.1 (c) Volume I Part 1 Section I ITB 29, ITB 35.2.2.1 (e) and ITB 35.2.2.2

Maintenance/service

Other:

Cost Compensation for deviations in scope of work, technical specifications and commercial terms and conditions costs of additional work , services and /or facilities provided by the employer during the duration of the contract

(8)

5.3 Evaluation and awarding procedure

Volume I Part 1 Section I ITB 26

Procedure for opening bids established

(9)

Teil A:

- 13 Examination of important rules of the tender procedure

Volume I Part 1 Section I ITB 35 and ITB 36

Evaluation procedure established with reference to guidelines for the award of contracts?

(10)

Evaluated by:

To be given after completion of evaluation

Awarded by:

To be given after selection of Successful Bidder

5.4 Award subject to the following

Volume I Part 1 Section I ITB 35.1

Positive vote of KfW required

reservations: Consent of other donors/institutions required 5.5 Provisions limiting competition Volume I Part I Section III Evaluatio n and Qualificat ion Criteria (Without Prequalifi cation) Specific norms and standards Section III Evaluation and Qualification Criteria is without pre-qualification . Pre-Qualification criteria specified in the Bidding documents given against 5.1 above and the same will be considered in evaluation of bids

Teil A:
.

- 14 Examination of important rules of the tender procedure

Type designations Other: (8)

Teil A:

- 15 Examination of important rules of the tender procedure

Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes for processing (explanation of numbers in Annex A) (11)

5.6 Fees for tender documents

Volume I IFB Clause (5)

amount:

To be given by MAHAGENCO

(cost-covering fees are appropriate) 5.7 Bid bond Volume I amount: Part 1 Section I ITB 20 and Section II item ITB 20.1 of BDS INR Thirty Million or an equivalent amount in a freely convertible currency and 1.03 % (of order value)

Teil B:

- 16 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes for processing (explanation of numbers see item 14) Deviation from tender documents CONTRACT Evaluation

6.

Description of supplies/ services in

Volume I IFB Volume I Part 1 Section I Volume I Part 3I Section VII Volume I Part 3 Section VIII Volume II

Invitation to submit bids

Instructions for tenderers

elements of contract

general conditions of contract

(12)

specific conditions of contract

technical specifications *) (The project conception is as contained in the Detailed Project Report (DPR) , Technical Specifications prepared subsequently have undergone certain variations as discussed in detail and recorded in the minutes of the meetings between NTPS and Consultant held from time to time ) (Copies Attached)

Teil B:

- 17 Examination of the components of the tender/contract

Volume Part 2

list of specifications *) (The project conception is as contained in the Detailed Project Report (DPR) , Technical Specifications prepared subsequently have undergone certain variations as discussed in detail recorded in the minutes of the meetings between NTPS and Consultant held from time to time ) specimen contract

Volume I Part 3 Section IX Volume I Part 2

drawings

other:

Supplementary Information

7.

Organization/

Volume I Section IV Bidding Forms Site Organisation and Personnel , GC 9 and GC 18

general contractor

responsibility of contractor,

Teil B:

- 18 Examination of the components of the tender/contract

Volume I Part I ITB 11.3.1(d), Volume I Part 3 Section VII GC 9.7, Volume I Part 1 Section IV Bidding Forms Form of Joint Venture/ Consortiu m Agreement

consortium

Particularly in functional

Volume I Part 3 Section VIII GC 19

subcontractor

(13)

tender *)

other:

please provide separate proof that these components of the tender/contract are in conformity with the project conception

Teil B:

- 19 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes for Deviation processing from tender explanation of documents items see page14 CONTRACT Evaluation

8.

Term of contract

Volume I Part 3 Section VII GC 8.2 and Section VIII PC 8.2 Volume I Part 3 Section IX Appendix 4 Volume II Technical Specificati ons

Twenty (20)

months

detailed time schedule

time coordination with other elements

of the project other: (such as latest date)

9.

Transport Volume I Part I Section 1 ITB 17.5

type: - fob

- cif

Teil B:

- 20 Examination of the components of the tender/contract

Volume I Part 3 Section VII GC 34, Section IX Appendix 3 Volume I Part 3 Section IX Appendix 3

insurance sum

(14)

Institute Cargo Clauses (A)

(14)

other:

Teil B:

- 21 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Contents (Answer by ticking or filling in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 (15) CONTRACT Evaluation

10. Guarantee arrangements

Volume I Part 3 Section VII GC 26, GC 27 , GC 28, GC 29, GC 30 and Volume II

Material guarantee

Service guarantee

(15)

guarantee of quantity guarantee of quality guarantee of consumption performance guarantee (construction)

compliance with the relevant environmental regulations other:

Teil B:
11. security

- 22 Examination of the components of the tender/contract

Volume I Part 1 Section I ITB 42 , Section VII GC 13.3 , Section VIII PC 13

performance bond:

(16)

Ten (10)

% of order value

Teil B:

- 23 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 CONTRACT Evaluation

guarantee deductible: % of order value repayment agreed Volume I Part 3 Section IX Performan ce Security Form Volume I Part 3 Section VII GC 34, Section IX Appendix 4

redemption through bank guarantee

insurance (except transport)

(17)

- type:

Installation All Risks Insurance Third Party Liability Insurance Automobile Liability Insurance Workers Compensation Employers Liability As per the policies

risks covered:

Teil B:

- 24 Examination of the components of the tender/contract

other:

12. faulty performance

Volume I Part 3 Section VII GC 28, Appendix 8 of Section IX.

material flaws

(18)

stipulation on elimination of flaws

Volume I Part 3 Section VII GC 28, Appendix 8 of Section IX.

inadequate services

(18)

stipulation on elimination of flaws

Teil B:

- 25 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 (18) CONTRACT Evaluation

Volume I Part 3 Section VII GC 28, Appendix 8 (Clause 4.1 to 4.8) of Section IX and Volume II Section A,B,C & D.

penalty for:

default (amount ____, up to _________) (As specified in Clause 4.1 to 4.8 of Appendix 8 of Section IX .

Volume I Part 3 Section VII GC 27, Section VIII Item PC 27.10

faulty performance (latest date)

other

Teil B:

- 26 Examination of the components of the tender/contract

Volume I Part 3 Section VII GC 26.3, Section VIII Item PC 26.3

13. Early perfor-

bonus for early completion

mance 14. Payment of Volume I Part 3 Section VII GC 11, Article 2 Contract Form Section IX

up to EUR ......../day (Not Applicable) contractual value

price Volume 1 Part 3 Section VII GC 12.4, Appendix 1 of Section IX Contract Forms

EUR equivalent Payable in the following currencies: Payments shall be made in the currencies quoted by the Bidder unless otherwise agreed between the Parties.

15. Payment

Volume 1 Part 3 Section VII GC 12, Appendix 1 of Section IX Contract Forms

down payment

(19)

Teil B:

- 27 Examination of the components of the tender/contract

Volume I Part 3 Section IX Appendix 1 to Contract Forms. Volume I Part 3 Section VII GC 13.2, Section IX Contract Forms Appendix 1

conditions amount: Ten (10) %

down payment guarantee

(20)

provision for reducing guarantee

Teil B:

- 28 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 (19) CONTRACT Evaluation

Volume I Part 3 Section IX Appendix 1 to Contract Forms

interim payments

pro rata performance

other stipulations: (19)

Volume I Part 3 Section IX Appendix 1 to Contract Forms

final payment

amount:

Ten (10) % (20)

clause on latest payment

Teil B:

- 29 Examination of the components of the tender/contract

Volume I Part 3 Section IX Appendix 1 Payment Procedure - to Contract Forms , Article 2.2 of Contract Forms

payment procedure

(21)

direct payment reimbursement procedure

documentary credit procedure

Teil B:

- 30 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 (22) CONTRACT Evaluation

16. Price adjustment

price adjustment clause index procedure evidencing procedure adjustment of unit price when quantities change Volume 1 Part 3 Section VII GC 11.2, Section VII Item PC 11.2

(23)

fixed price

valid until: For the duration of the Contract adjustment clause: Volume I Part 3 Section VII GC 11.2 other:

Teil B:

- 31 Examination of the components of the tender/contract

Volume 1 Part 1 Section 1 ITB 17.5 (b) (iii), Section IV Schedule 7

17. taxes, duties

separate indication

fees, levies no indication Hermes fees (Mixed Finance)

Teil B:

- 32 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 (24) CONTRACT Evaluation

18. Necessary preconditions for achieving purpose of contract Volume I Part 3 Section IX Appendix 6 to Contract Forms.

counterpart contribution: (list in detail with completion dates) (To be considered by MAHAGENCO)

counterpart contribution defined contractually

with ............ (contractual partner) ........ date 19. Other proVolume I Part 3 Section VII GC 5.1 and Section VIII Item PC5.1

applicable law agreed

visions and, in

Teil B:

- 33 Examination of the components of the tender/contract

Volume I Part 3 Section VII GC 5.2 and Section VIII Item PC5.2

particular, obli-

language of contract

gations according to the loan/financ- Volume I Part 3 Section VII GC 37 ing /project agreement and Volume I Part 3 Section VII GC 37, Section VII Item PC 46 separate agreement Volume 1 Part 1 Section 1 ITB 4, Section IV Form DEC (I) ILO Core Labour Standards and Form DEC (II) Other Requireme nts.

force majeure

(25)

arbitration clause

(26)

declaration of undertaking

(27)

Teil B:

- 34 Examination of the components of the tender/contract

TENDER Volume Paragraph Article Page Content (tick as appropriate or fill in the blanks) Evaluation Notes on Deviation processing from tender explanation of documents items see page 14 CONTRACT Evaluation

Volume I Part 3 Section VII GC 21.3

transport clause

KfW payment agent clause for all foreigncurrency disbursements pursuant to II 3.5 b of separate agreement (specimen agreement V028, 030, 032 und 034) ( Not Applicable) Volume I Part I Section IV Form DEC (I) Core Labour Standards

(28)

Inclusion of AIDS/HIV prevention measures

(29)

in construction projects

Teil B:

- 35 Examination of the components of the tender/contract

ICB Are funds tied to German supplies? Proc urem ent Notic e to be publi shed first in bfai and there after in leadi ng daily news pape rs in Empl oyer s coun try. (confirmation on invoice) Non other provisions pursuant to separate e agreement

- 15 Annex Notes on processing the evaluation of tender/contractual elements (1) (2) (3) (4) (5) (6) (7) (8) Participation of local companies possible or desired. Is bidding restricted to the country or specific firms or both? Examine appropriateness. Cf. FC-GAC *) , Item I.5 "Prequalification" Consider any link between bidder and consultant. If more than one bidding currency, fix date of conversion and exchange rate. Foreign-exchange portion customarily is not a criterion for evaluation. Criteria examined in in prequalification may not be considered again when deciding on the award of contract. Cf. FC-GAC, Item I.6 "Opening of bids " Cf. FC-GAC, Item I.7 "Evaluating and rejecting bids " Examine appropriateness. Determine what tender documents later will also be contractual documents. Examine order of rank of documents fixed at conclusion of contract. Subcontractors have to be approved by contracting agency. Contracts may be awarded to subcontractors only up to a specified sum (in specific projects). Cf. VFI055 and FC GAC, item II.8 "Insurance" Cf. FC GAC, item II.5 "Warranties" Cf. FC GAC, item II.6 "Bank Guarantee" Cf. FC GAC, item II.8 "Insurance" and FI056 Cf. GAC, item II.3 "Penalties and Damages" Cf. FC GAC, item II.3 "Payment Conditions" Guarantees are to be provided in freely convertible currency. Payment procedure may affect bid price. Cf. FC GAC, item II.4 "Price Adjustment" Examine project-specific, appropriate provision (exceeding of contract sum or individual position)

(9) (10) (11) (12)

(13)

(14) (15) (16) (17) (18) (19) (20) (21) (22) (23)

*)

Richtlinien fr die Vergabe von Auftrgen in der Finanziellen Zusammenarbeit mit Entwicklungslndern (FZ-Vergabe-Richtlinien), FI051.

- 16 (24) Establish work effort and time expenditure of contracting party if this is essential for project success. Cf. FC GAC, item II.9 "Force Majeure" Cf. FC GAC, item II.10 "Settlement of Disputes " Cf. FC GAC, Tz. 1.03 and annex 5 KfW Payment Agent Clause may be deleted if appropriate. Cf. FI051, Section 2.3, Paragraph 2.17

(25) (26) (27) (28) (29)