Unnao 22feb2014

UTTAR PRADESH EXPRESSWAYS INDUSTRIAL DEVELOPMENT
AUTHORITY

Government of Uttar Pradesh

DEVELOPMENT OF KANNAUJ (VILLAGE NARMAU) TO UNNAO (VILLAGE NEVAL) (KM 172.5 TO
KM 236.5) ACCESS CONTROLLED EXPRESSWAY (GREENFIELD) PROJECT IN THE STATE OF
UTTAR PRADESH ON EPC BASIS.

REQUEST FOR QUALIFICATION

C-1S, 2nu Flooi, Paiyatan Bhawan
vipin Khanu, uomti Nagai
Lucknow - 226u1u

Febiuaiy 2u14

Kannauj to 0nnao Access Contiolleu Expiessway (uieen Fielu) Pioject

UPEIDA 2
GLOSSARY

Applicant(s) As uefineu in Clause 1.2.1
Application As uefineu in the Bisclaimei
Application Bue Bate As uefineu in Clause 1.1.S
Authoiity As uefineu in Clause 1.1.1
Bius As uefineu in Clause 1.2.S
Biu Piice As uefineu in Clause 1.2.8
Biu Bue Bate As uefineu in Clause 1.2.S
Biu Secuiity As uefineu in Clause 1.2.4
Biuueis As uefineu in Clause 1.1.1
Biuuing Bocuments As uefineu in Clause 1.2.S
Biuuing Piocess As uefineu in Clause 1.2.1
Biu Stage As uefineu in Clause 1.2.1
Constiuction Peiiou As uefineu in Clause 1.2.8
Contiactoi As uefineu in Clause 1.1.2
Conflict of Inteiest As uefineu in Clause 2.2.1(c)
Befect Liability Peiiou As uefineu in Clause 1.2.8
Eligible Expeiience As uefineu in Clause S.2.1
Eligible Piojects As uefineu in Clause S.2.1
EPC Engineeiing, Piocuiement anu Constiuction
EPC Contiact As uefineu in Clause 1.1.2
Estimateu Pioject Cost As uefineu in Clause 1.1.4
Expeiience Scoie As uefineu in Clause S.2.6
Financial Capacity As uefineu in Clause 2.2.2 (B)
uoveinment uoveinment of 0ttai Piauesh
}t. Biuuing Agieement As uefineu in Clause 2.2.6 (g)
}oint ventuie As uefineu in Clause 2.2.1 (a)
Leau Nembei As uefineu in Clause 2.2.6 (c)
L0A Lettei of Awaiu
Lowest Biuuei As uefineu in Clause 1.2.8
Nembei Nembei of a }oint ventuie
Net Woith As uefineu in Clause 2.2.4 (ii)
Pioject As uefineu in Clause 1.1.1
Qualification As uefineu in Clause 1.2.1
Qualification Stage As uefineu in Clause 1.2.1
Re. oi Rs. oi INR Inuian Rupee
RFP oi Request foi Pioposals As uefineu in Clause 1.2.1
RFQ As uefineu in the Bisclaimei
Technical Capacity As uefineu in Clause 2.2.2 (A)
Thiesholu Technical Capacity As uefineu in Clause 2.2.2 (A)


UPEIDA 3

The woius anu expiessions beginning with capital letteis anu uefineu in this uocument shall, unless
iepugnant to the context, have the meaning asciibeu theieto heiein.


UPEIDA 4
Contents
1. INTR0B0CTI0N .............................................................................................................................................................. 8
1.1 Backgiounu .............................................................................................................................................................. 8
1.2 Biief uesciiption of Biuuing Piocess ............................................................................................................. 9
1.S Scheuule of Biuuing Piocess .......................................................................................................................... 12
2. INSTR0CTI0NS T0 APPLICANTS .......................................................................................................................... 1S
2.1 Scope of Application.......................................................................................................................................... 1S
2.2 Eligibility of Applicants .................................................................................................................................... 1S
2.S Change in composition of the }oint ventuie ........................................................................................... 2u
2.4 Numbei of Applications anu costs theieof .............................................................................................. 2u
2.S Site visit anu veiification of infoimation .................................................................................................. 21
2.6 Acknowleugement by Applicant ................................................................................................................. 21
2.7 Right to accept oi ieject any oi all Applications Bius ....................................................................... 21
2.8 Contents of the RFQ.......................................................................................................................................... 22
2.9 Claiifications ........................................................................................................................................................ 2S
2.1u Amenument of RFQ ........................................................................................................................................... 2S
2.11 Language ................................................................................................................................................................ 24
2.12 Foimat anu signing of Application .............................................................................................................. 24
2.1S Sealing anu Naiking of Applications .......................................................................................................... 2S
2.14 Application Bue Bate ....................................................................................................................................... 26
2.1S Late Applications ................................................................................................................................................ 26
2.16 Nouifications substitution withuiawal of Applications ................................................................ 26
2.17 0pening anu Evaluation of Applications .................................................................................................. 27
2.18 Confiuentiality ..................................................................................................................................................... 27
2.19 Tests of iesponsiveness ................................................................................................................................... 28
2.2u Claiifications ........................................................................................................................................................ 29
2.21 Pie-qualification anu notification ............................................................................................................... 29
2.22 Submission of Bius............................................................................................................................................. 29
2.2S Piopiietaiy uata ................................................................................................................................................. 29
2.24 Coiiesponuence with the Applicant ........................................................................................................... Su
S. CRITERIA F0R EvAL0ATI0N .................................................................................................................................. S1
S.1 Evaluation paiameteis..................................................................................................................................... S1
S.2 Technical Capacity foi puiposes of evaluation ..................................................................................... S1

UPEIDA 5
S.S Betails of Expeiience ........................................................................................................................................ SS
S.4 Financial infoimation foi puiposes of evaluation ............................................................................... SS
S.S Pie-qualification of Applicants ..................................................................................................................... S4
4. FRA0B ANB C0RR0PT PRACTICES ..................................................................................................................... SS
S. PRE-APPLICATI0N C0NFERENCE ........................................................................................................................ S7
6. NISCELLANE00S ......................................................................................................................................................... S8
APPENBIX I: Lettei Compiising the Application foi Pie-Qualification ......................................................... S9
Appenuix II: Foimat foi Powei of Attoiney foi signing of Biu ........................................................................... S7
Appenuix III: Foimat foi Powei of Attoiney foi Leau Nembei of }oint ventuie ........................................ S9
APPENBIX Iv: Foimat foi }oint Biuuing Agieement foi }oint ventuie ........................................................... 62
APPENBIX v: uuiuelines of the Bepaitment of Bisinvestment .......................................................................... 67
APPENBIX vI ........................................................................................................................................................................... 69


UPEIDA 6
DISCLAIMER

The infoimation containeu in this Request foi Qualification uocument (the "RFQ") oi subsequently
pioviueu to Applicant(s), whethei veibally oi in uocumentaiy oi any othei foim, by oi on behalf of
the Authoiity oi any of its employees oi auvisois, is pioviueu to Applicant(s) on the teims anu
conuitions set out in this RFQ anu such othei teims anu conuitions subject to which such
infoimation is pioviueu.

This RFQ is not an agieement anu is neithei an offei noi invitation by the Authoiity to the
piospective Applicants oi any othei peison. The puipose of this RFQ is to pioviue inteiesteu paities
with infoimation that may be useful to them in the foimulation of theii application foi qualification
puisuant to this RFQ (the "Application"). This RFQ incluues statements, which ieflect vaiious
assumptions anu assessments aiiiveu at by the Authoiity in ielation to the Pioject. Such
assumptions, assessments anu statements uo not puipoit to contain all the infoimation that each
Applicant may iequiie. This RFQ may not be appiopiiate foi all peisons, anu it is not possible foi
the Authoiity, its employees oi auvisois to consiuei the objectives, financial situation anu paiticulai
neeus of each paity who ieaus oi uses this RFQ. The assumptions, assessments, statements anu
infoimation containeu in this RFQ may not be complete, accuiate, auequate oi coiiect. Each
Applicant shoulu theiefoie, conuuct its own investigations anu analysis anu shoulu check the
accuiacy, auequacy, coiiectness, ieliability anu completeness of the assumptions, assessments,
statements anu infoimation containeu in this RFQ anu obtain inuepenuent auvice fiom appiopiiate
souices.

Infoimation pioviueu in this RFQ to the Applicant(s) is on a wiue iange of matteis, some of which
may uepenu upon inteipietation of law. The infoimation given is not intenueu to be an exhaustive
account of statutoiy iequiiements anu shoulu not be iegaiueu as a complete oi authoiitative
statement of law. The Authoiity accepts no iesponsibility foi the accuiacy oi otheiwise foi any
inteipietation oi opinion on law expiesseu heiein.

The Authoiity, its employees anu auvisois make no iepiesentation oi waiianty anu shall have no
liability to any peison, incluuing any Applicant oi Biuuei, unuei any law, statute, iules oi
iegulations oi toit, piinciples of iestitution oi unjust eniichment oi otheiwise foi any loss,
uamages, cost oi expense which may aiise fiom oi be incuiieu oi suffeieu on account of anything
containeu in this RFQ oi otheiwise, incluuing the accuiacy, auequacy, coiiectness, completeness oi
ieliability of the RFQ anu any assessment, assumption, statement oi infoimation containeu theiein
oi ueemeu to foim pait of this RFQ oi aiising in any way with pie-qualification of Applicants foi
paiticipation in the Biuuing Piocess.

The Authoiity also accepts no liability of any natuie whethei iesulting fiom negligence oi
otheiwise howsoevei causeu aiising fiom ieliance of any Applicant upon the statements containeu
in this RFQ.


UPEIDA 7
The Authoiity may, in its absolute uiscietion but without being unuei any obligation to uo so,
upuate, amenu oi supplement the infoimation, assessment oi assumptions containeu in this RFQ.

The issue of this RFQ uoes not imply that the Authoiity is bounu to select anu shoit- list pie-
qualifieu Applications foi Biu Stage oi to appoint the selecteu Biuuei oi Contiactoi, as the case may
be, foi the Pioject anu the Authoiity ieseives the iight to ieject all oi any of the Applications oi Bius
without assigning any ieasons whatsoevei.

The Applicant shall beai all its costs associateu with oi ielating to the piepaiation anu submission
of its Application incluuing but not limiteu to piepaiation, copying, postage, ueliveiy fees, expenses
associateu with any uemonstiations oi piesentations which may be iequiieu by the Authoiity oi
any othei costs incuiieu in connection with oi ielating to its Application. All such costs anu
expenses will iemain with the Applicant anu the Authoiity shall not be liable in any mannei
whatsoevei foi the same oi foi any othei costs oi othei expenses incuiieu by an Applicant in
piepaiation oi submission of the Application, iegaiuless of the conuuct oi outcome of the Biuuing
Piocess.


UPEIDA 8
Government of Uttar Pradesh
0ttai Piauesh Expiessways Inuustiial Bevelopment Authoiity (0PEIBA)
(International Competitive Bidding)

1. INTRODUCTION

1.1 BACKGROUND

1.1.1 The 0ttai Piauesh Expiessways Inuustiial Bevelopment Authoiity (0PEIBA) (the
"Authoiity") is engageu in the uevelopment of Agia to Lucknow Access Contiolleu
Expiessway (uieen Fielu) Pioject anu as pait of this enueavoui, the Authoiity has ueciueu
to unueitake uevelopment of "Kannauj (village Naimau) to 0nnao (village Neval) (Km
172.S to Km 2S6.S) Access Contiolleu Expiessway (uieen Fielu) Pioject anu Kannauj Link
Roau" (the "Pioject") thiough an Engineeiing, Piocuiement anu Constiuction (the "EPC")
Contiact anu has ueciueu to caiiy out the biuuing piocess foi selection of the successful
biuuei to whom the Pioject may be awaiueu. A biief uesciiption of the pioject may be seen
in the Infoimation Nemoianuum of the Pioject at the Authoiity's website (www.upeiua.in).
Biief paiticulais of the Pioject aie as follows:

S. No. Description Approximate
Length (km)
Estimated Project Cost
I
Kannauj (village Naimau) to
0nnao (village Neval) Access
Contiolleu Expiessway
(uieenfielu) & Kannauj Link
Roau (8 Kms)
64 (Expiessway
Length) + 8
(Kannauj Link
Roau)
Rs. 1648 Cioie

The Authoiity intenus to pie-qualify suitable Applicants (the "Biuueis") who will be eligible
foi paiticipation in the Biu Stage, foi awaiu of the Pioject thiough competitive biuuing, in
accoiuance with the pioceuuie set out heiein.

1.1.2 The Selecteu Biuuei (the Contractor) shall be iesponsible foi uesigning, engineeiing,
piocuiement anu constiuction of the Pioject unuei anu in accoiuance with the piovisions of
an engineeiing, piocuiement anu constiuction contiact (the EPC Contract) to be enteieu
into between the Contiactoi anu the Authoiity in the foim pioviueu by the Authoiity as pait
of the biuuing uocuments puisuant heieto. The Contiactoi shall also be iesponsible foi
maintenance of the pioject uuiing the Befects Liability Peiiou, which is as pei Clause 1.1.S.

1.1.S The scope of woik will bioauly incluue constiuction of six-lane gieen fielu expiessway with
seivice ioau on one of eithei siue in staggeieu mannei anu all stiuctuies such as majoi
biiuges, minoi biiuges, culveits, P0P, v0P, R0B, inteichanges, etc., augmentation of the
Link ioau anu maintenance of the Pioject uuiing the Befects Liability Peiiou, which will be
S (Five) yeais foi the Pioject.

UPEIDA 9

1.1.4 Inuicative capital cost of the Pioject (the "Estimateu Pioject Cost") will be ieviseu anu
specifieu in the Biuuing Bocuments of the Pioject. The assessment of actual costs, howevei,
will have to be maue by the Biuueis.

1.1.S The Authoiity shall ieceive Applications puisuant to this RFQ in accoiuance with the teims
set foith heiein as mouifieu, alteieu, amenueu anu claiifieu fiom time to time by the
Authoiity, anu all Applications shall be piepaieu anu submitteu in accoiuance with such
teims on oi befoie the uate specifieu in Clause 1.S foi submission of Applications (the
"Application Bue Bate").

1.2 BRIEF DESCRIPTION OF BIDDING PROCESS

1.2.1 The Authoiity has auopteu a two-stage piocess (collectively iefeiieu to as the "Biuuing
Piocess") foi selection of the biuuei foi awaiu of the Pioject. The fiist stage (the
"Qualification Stage") of the piocess involves qualification (the "Qualification") of inteiesteu
paities who make an Application in accoiuance with the piovisions of this RFQ (the
"Applicant", which expiession shall, unless iepugnant to the context, incluue the Nembeis
of the }oint ventuie). Piioi to making an Application, the Applicant shall pay to the
Authoiity a sum of Rs. 1,Su,uuu (Rupees one lakh fifty thousanu) as the cost of the RFQ
piocess. At the enu of this stage, the Authoiity expects to announce a list of all pie-qualifieu
Applicants who shall be eligible foi paiticipation in the seconu stage of the Biuuing Piocess
(the "Biu Stage") compiising Request foi Pioposals (the "Request foi Pioposals" oi "RFP").

uoveinment of Inuia has issueu guiuelines (see Appenuix-v) foi qualification of biuueis
seeking to acquiie stakes in any public sectoi enteipiise thiough the piocess of
uisinvestment. These guiuelines shall apply mutatis mutanuis to this Biuuing Piocess. The
Authoiity shall be entitleu to uisqualify an Applicant in accoiuance with the afoiesaiu
guiuelines at any stage of the Biuuing Piocess. Applicants must satisfy themselves that they
aie qualifieu to biu, anu shoulu give an unueitaking to this effect in the foim at Appenuix-I.

1.2.2 In the Qualification Stage, Applicants woulu be iequiieu to fuinish all the infoimation
specifieu in this RFQ. 0nly those Applicants that aie pie-qualifieu by the Authoiity shall be
inviteu to submit theii Bius foi the Pioject. The Authoiity is likely to pioviue a
compaiatively shoit time span foi submission of the Bius foi the Pioject. The Applicants
aie, theiefoie, auviseu to visit the site anu familiaiise themselves with the Pioject.

1.2.S In the Biu Stage, the Biuueis will be calleu upon to submit theii financial offeis (the "Bius")
in accoiuance with the RFP anu othei uocuments to be pioviueu by the Authoiity
(collectively the "Biuuing Bocuments"). The Biuuing Bocuments foi the Pioject will be
pioviueu to eveiy Biuuei on payment of {Rs. 2,uu,uuu (Rs. Two lakhs only)}
1
. The Biu shall

1
The actual amount will be inuicateu in the RFP

UPEIDA 10
be valiu foi a peiiou of not less than 12u uays fiom the uate specifieu in Clause 1.S foi
submission of bius (the "Biu Bue Bate").

1.2.4 In teims of the RFP, a Biuuei will be iequiieu to ueposit, along with its Biu, a biu secuiity
equivalent to Rs. 16,Su,uu,uuu (Rs. Sixteen Cioie Fifty Lakh) (the "Biu Secuiity"), iefunuable
no latei than 6u (sixty) uays fiom the Biu Bue Bate, except in the case of the selecteu Biuuei
whose Biu Secuiity shall be ietaineu till it has pioviueu a Peifoimance Secuiity unuei the
EPC Contiact. The Biuueis will have an option to pioviue Biu Secuiity in the foim of a
uemanu uiaft oi a bank guaiantee acceptable to the Authoiity anu in such event, the valiuity
peiiou of the uemanu uiaft oi bank guaiantee, as the case may be, shall not be less than 18u
(one hunuieu anu eighty) uays fiom the Biu Bue Bate, inclusive of a claim peiiou of 6u
(sixty) uays, anu may be extenueu as may be mutually agieeu between the Authoiity anu
the Biuuei fiom time to time. The Biu shall be summaiily iejecteu if it is not accompanieu
by the Biu Secuiity.

1.2.S ueneially, the Lowest Biuuei shall be the Selecteu Biuuei. The iemaining Biuueis shall be
kept in ieseive anu following pioceuuie shall be followeu in case Lowest Biuuei is not
selecteu foi any ieason whatsoevei.

In the event that the Lowest Biuuei withuiaws oi is not selecteu foi any ieason in the fiist
instance (the "fiist iounu of biuuing"), the Authoiity may invite all the iemaining Biuueis to
ievaliuate oi extenu theii iespective Biu Secuiity, as necessaiy, anu match the Biu of the
afoiesaiu Lowest Biuuei (the "seconu iounu of biuuing"). If in the seconu iounu of biuuing,
only one Biuuei matches the Lowest Biuuei, it shall be the Selecteu Biuuei. If two oi moie
Biuueis match the saiu Lowest Biuuei in the seconu iounu of biuuing, then the Biuuei
whose Biu was lowei as compaieu to othei Biuuei(s) in the fiist iounu of biuuing shall be
the Selecteu Biuuei. Foi example, if the thiiu anu fifth lowest Biuueis in the fiist iounu of
biuuing offei to match the saiu Lowest Biuuei in the seconu iounu of biuuing, the saiu thiiu
lowest Biuuei shall be the Selecteu Biuuei.

In the event that no Biuuei offeis to match the Lowest Biuuei in the seconu iounu of
biuuing as specifieu above, the Authoiity may, in its uiscietion, invite fiesh Bius (the "thiiu
iounu of biuuing") fiom all Biuueis except the Lowest Biuuei of the fiist iounu of biuuing,
oi annul the Biuuing Piocess, as the case may be. In case the Biuueis aie inviteu in the thiiu
iounu of biuuing to ievaliuate oi extenu theii Biu Secuiity, as necessaiy, anu offei fiesh
Bius, they shall be eligible foi submission of fiesh Bius pioviueu, howevei, that in such thiiu
iounu of biuuing only such Bius shall be eligible foi consiueiation which aie lowei than the
Biu of the seconu lowest Biuuei in the fiist iounu of biuuing.

1.2.6 Buiing the Biu Stage, Biuueis aie inviteu to examine the Pioject in uetail, anu to caiiy out,
at theii cost, such stuuies as may be iequiieu foi submitting theii iespective Bius foi awaiu
of the EPC Contiact incluuing implementation of the Pioject.


UPEIDA 11
1.2.7 As pait of the Biuuing Bocuments, the Authoiity will pioviue a uiaft EPC Contiact anu
feasibility iepoit piepaieu by the Authoiity its consultants anu othei infoimation
peitaining ielevant to the Pioject available with it.

1.2.8 Bius will be inviteu foi the Pioject on the basis of the lowest cost iequiieu by a Biuuei foi
implementing the Pioject (the "Biu Piice"). The total time alloweu foi completion of
constiuction unuei the EPC Contiact (the "Constiuction Peiiou") anu the peiiou uuiing
which the Contiactoi shall be liable foi iectification of any uefect oi ueficiency in the Pioject
aftei completion of the Constiuction Peiiou (the "Befect Liability Peiiou") shall be pie-
ueteimineu, anu will be inuicateu in the uiaft EPC Contiact foiming pait of the Biuuing
Bocuments. The Biu Piice shall constitute the sole ciiteiia foi evaluation of Bius. The Pioject
shall be awaiueu to the Biuuei quoting the lowest Biu Piice.

In this RFQ, the teim "Lowest Biuuei" shall mean the Biuuei who is offeiing the lowest Biu
Piice.

1.2.9 0pon the completion of constiuction, the Authoiity may levy anu chaige a pie-ueteimineu
usei fee fiom useis of the Pioject unuei anu in accoiuance with the 0ttai Piauesh
Expiessways (Levy of Tolls anu fixing of Fees anu iealisation theieof) Rules, 2u1u oi as
amenueu fiom time to time.

1.2.1u The Authoiity may also levy anu chaige fees anu othei chaiges on activities such as
auveitisements etc. It is fuithei expiessly claiifieu that the Selecteu Biuuei shall not have
the iight to collect oi ueteimine any kinu of ievenue fiom the Pioject apait fiom the
payments being maue to the Selecteu Biuuei in teims of the EPC Contiact.

1.2.11 Fuithei anu othei uetails of the piocess to be followeu at the Biu Stage anu the teims
theieof will be spelt out in the Biuuing Bocuments.

1.2.12 Any queiies oi iequest foi auuitional infoimation conceining this RFQ shall be submitteu in
wiiting oi by fax anu e-mail to the officei uesignateu in Clause 2.1S.S below. The envelopes
communications shall cleaily beai the following iuentification title:

"Queiies Request foi Auuitional Infoimation: RFQ foi Bevelopment of Kannauj to 0nnao
Access Contiolleu Expiessway (uieen Fielu) Pioject in 0ttai Piauesh".

1.2.1S The piocuiement piocess foi the Agia to Lucknow Expiessway is being caiiieu out
simultaneously by uiviuing the entiie expiessway in five packages. It is expiessly claiifieu
that the Biu of each of the five packages will be openeu in a sequential oiuei to be specifieu
uuiing the Biu Stage. Aftei opening of the Biu foi each package, the Biu Capacity of the
Lowest Biuuei will be upuateu in accoiuance with the piocess to be specifieu uuiing the Biu
Stage. The Biu foi the subsequent packages will be evaluateu by taking in to account the
upuateu Biu Capacity of the saiu Lowest Biuuei.

UPEIDA 12
1.3 SCHEDULE OF BIDDING PROCESS

The Authoiity shall enueavoui to auheie to the following scheuule:

S. No. Event Description Date
Qualification Stage
1 Bate of Issue of RFQ Bocument 22.u2.2u14
2 Last uate foi ieceiving queiies 28.u2.2u14
S Pie-Application meeting2 uS.uS.2u14
4 Authoiity iesponse to queiies latest by u7.uS.2u14
S Application Bue Bate 2S.uS.2u14 upto 1S:uu his. IST
6 Announcement of Shoit-list u1.u4.2u14
Bid Stage Estimated Time
1 Stait of Sale of Biu Bocument u2.u4.2u14
2 Last uate of ieceiving queiies u9.u4.2u14
S Pie-biu Neeting 11.u4.2u14
4 Authoiity iesponse to queiies latest by 17.u4.2u14
S Biu Bue Bate 12.uS.2u14
6 0pening of Bius 12.uS.2u14
7 Lettei of Awaiu (L0A) 22.uS.2u14
8 valiuity of Bius 12u uays of Biu Bue Bate
9 Signing of EPC Contiact uS.u6.2u14

Authoiity will enueavoi to auheie to the uates inuicateu above. Bowevei, it ieseives the iight to
effect changes to the above uates, if the neeu aiises. Such change, if any, woulu be uploaueu at
Authoiity's website fiom time to time.

2
The time anu venue of the Pie-Application meeting shall be publisheu on Authoiity's official website i.e.
www.upeiua.in at least a week in auvance


UPEIDA 13

2. INSTRUCTIONS TO APPLICANTS

A. GENERAL

2.1 SCOPE OF APPLICATION

2.1.1 The Authoiity wishes to ieceive Applications foi Qualification in oiuei to pie- qualify
expeiienceu anu capable Applicants foi the Biu Stage.

2.1.2 Pie-qualifieu Applicants may be subsequently inviteu to submit the Bius foi the Pioject.

2.2 ELIGIBILITY OF APPLICANTS

2.2.1 Foi ueteimining the eligibility of Applicants foi theii pie-qualification heieunuei, the
following shall apply:

a) The Applicant foi pie-qualification may be a single entity oi a gioup of entities (the
"}oint ventuie"), coming togethei to implement the Pioject. Bowevei, no applicant
applying inuiviuually oi as a membei of a }oint ventuie, as the case may be, can be
membei of anothei Applicant. The teim Applicant useu heiein woulu apply to both a
single entity anu a }oint ventuie.

b) An Applicant may be a natuial peison, piivate entity, oi any combination of them with a
foimal intent to entei into a }oint ventuie agieement oi unuei an existing agieement to
foim a }oint ventuie. A }oint ventuie shall be eligible foi consiueiation subject to the
conuitions set out in Clause 2.2.6 below.

c) An Applicant shall not have a conflict of inteiest (the "Conflict of Inteiest") that affects
the Biuuing Piocess. Any Applicant founu to have a Conflict of Inteiest shall be
uisqualifieu. An Applicant shall be ueemeu to have a Conflict of Inteiest affecting the
Biuuing Piocess, if:

i. the Applicant, its Nembei oi any constituent theieof anu any othei
Applicant, its Nembei oi any constituent theieof have common
contiolling shaieholueis oi othei owneiship inteiest; pioviueu that this
uisqualification shall not apply in cases wheie the uiiect oi inuiiect
shaieholuing of an Applicant, its Nembei theieof (oi any shaieholuei theieof
having a shaieholuing of moie than S pei cent of the paiu up anu subsciibeu
shaie capital of such Applicant, Nembei, as the case may be), in the othei
Applicant, its Nembei is less than S pei cent of the subsciibeu anu paiu up
equity shaie capital theieof; pioviueu fuithei that this uisqualification shall not
apply to any owneiship by a bank, insuiance company, pension funu oi a public

UPEIDA 14
financial institution iefeiieu to in section 4A of the Companies Act 19S6. Foi the
puiposes of this Clause 2.2.1(c), inuiiect shaieholuing helu thiough one oi moie
inteimeuiate peisons shall be computeu as follows: (aa) wheie any
inteimeuiaiy is contiolleu by a peison thiough management contiol oi
otheiwise, the entiie shaieholuing helu by such contiolleu inteimeuiaiy in any
othei peison (the "Subject Peison") shall be taken into account foi computing
the shaieholuing of such contiolling peison in the Subject Peison; anu (bb)
subject always to sub-clause (aa) above, wheie a peison uoes not exeicise
contiol ovei an inteimeuiaiy, which has shaieholuing in the Subject Peison,
the computation of inuiiect shaieholuing of such peison in the Subject Peison
shall be unueitaken on a piopoitionate basis; pioviueu, howevei, that no such
shaieholuing shall be ieckoneu unuei this sub- clause (bb) if the shaieholuing of
such peison in the inteimeuiaiy is less than 26% of the subsciibeu anu paiu up
equity shaieholuing of such inteimeuiaiy; oi

ii. a constituent of such Applicant is also a constituent of anothei Applicant;

oi

iii. such Applicant ieceives oi has ieceiveu any uiiect oi inuiiect subsiuy, giant,
concessional loan oi suboiuinateu uebt fiom any othei Applicant, oi has
pioviueu any such subsiuy, giant, concessional loan oi suboiuinateu uebt to any
othei Applicant, its Nembei theieof; oi

iv. such Applicant has the same legal iepiesentative foi puiposes of this
Application as any othei Applicant; oi

v. such Applicant has a ielationship with anothei Applicant, uiiectly oi thiough
common thiiu paity paities, that puts eithei oi both of them in a position to
have access to each otheis' infoimation about, oi to influence the Application of
eithei oi each othei; oi

vi. such Applicant has paiticipateu as a consultant to the Authoiity in the
piepaiation of any uocuments, uesign oi technical specifications of the Pioject.

u) An Applicant shall be liable foi uisqualification if any legal, financial oi technical auvisei
of the Authoiity in ielation to the Pioject is engageu by the Applicant, oi any of its
Nembeis, as the case may be, in any mannei foi matteis ielateu to oi inciuental to the
Pioject. Foi the avoiuance of uoubt, this uisqualification shall not apply wheie such
auvisei was engageu by the Applicant, its Nembei in the past but its assignment expiieu
oi was teiminateu 6 (six) months piioi to the uate of issue of this RFQ. Noi will this
uisqualification apply wheie such auvisei is engageu aftei a peiiou of S (thiee) yeais
fiom the uate of commeicial opeiation of the Pioject.

UPEIDA 15

Explanation: In case an Applicant is a }oint ventuie, then the teim Applicant as useu in
this Clause 2.2.1, shall incluue each Nembei of such }oint ventuie.

e) 0thei eligibility conuitions shall incluue:

Applicants who meet the minimum qualification ciiteiia will be qualifieu only if theii
available biu capacity is moie than the Estimateu Pioject Cost. The available biu capacity
will be calculateu as unuei, baseu on infoimation mentioneu at Annex-vI of Appenuix-I:

Assesseu Available Biu capacity = (A*N*2 - B)

wheie

A = Naximum value of civil engineeiing woiks in iespect of EPC Piojects (incluues
tuinkey piojectitem iate contiactconstiuction woiks) executeu in any one yeai uuiing
the last five yeais (upuateu to the piice level of the yeai inuicateu in Appenuix-vI) taking
into account the completeu as well as woiks in piogiess.

N = S Yeais.

B = value (upuateu to the piice level of the yeai inuicateu in Appenuix-vI) of existing
commitments anu on-going woiks to be completeu uuiing the next S yeais (peiiou of
completion of the woiks foi which bius aie inviteu).

Note: The statement showing the value of existing commitments anu on-going woiks as
well as the stipulateu peiiou completion iemaining foi each of the woiks listeu shoulu be
counteisigneu by the Engineei in the chaige, not below the iank of an Executive Engineei oi
equivalent oi shoulu be ceitifieu by the Statutoiy Auuitoi of the Applicant.

2.2.2 To be eligible foi pie-qualification, an Applicant, shall fulfil the following conuitions of
eligibility:

A. Technical Capacity: Foi uemonstiating technical capacity anu expeiience (the
"Technical Capacity"), the Applicant shall, ovei the past S (five) financial yeais
pieceuing the Application Bue Bate, have ieceiveu payments foi constiuction of Eligible
Pioject(s), oi has unueitaken constiuction woiks by itself in a PPP pioject, such that
the sum total theieof is moie than Rs. 4,12u Cioie (Rs. Foui Thousanu 0ne Bunuieu anu
Twenty Cioie 0nly) (the "Thiesholu Technical Capacity").

Pioviueu that at least one similai EPC woik of Rs. 824 Cioie (Rs. Eight Bunuieu Twenty Foui
Cioie) shall have been completeu substantially completeu
S
fiom the Eligible Piojects in Categoiy
1 anuoi Categoiy S specifieu in Clause S.2.1.

S
Substantial Completion shall mean at least 8u% of oiiginal contiact value having been completeu anu uuly
ceitifieu by Statutoiy Auuitoi Client (Engineei in the chaige, not below the iank of an Executive Engineei oi
equivalent)

UPEIDA 16
B. Financial Capacity: The Applicant shall have a minimum Net Woith (the "Financial
Capacity") of Rs. 16S Cioie (Rs. 0ne Bunuieu Sixty Five Cioie only) at the close of the
pieceuing financial yeai.

ANB

The Applicant shoulu be financially sounu anu shoulu not have applieu foi Coipoiate
Bebt Restiuctuiing (CBR) uuiing the last five yeais. The Applicant has to give a
ceitificate as pei the foimat given at Appenuix-I, Annex-vII.

2.2.S In case of a }oint ventuie, the Thiesholu Technical Capacity anu Financial Capacity of all
the Nembeis of }oint ventuie woulu be taken into account foi satisfying the above
conuitions of eligibility. Fuithei, Leau Nembei shall meet at least 6u% iequiiement of
Technical anu Financial Capacity iequiieu as pei Clause 2.2.2 (A) & (B) anu each of othei }v
membeis shall meet at least Su% iequiiement of Technical anu Financial capacity as pei
Clause 2.2.2 (A) & (B). foi avoiuance of uoubt it is fuithei claiifieu that the }oint
ventuie must collectively anu inuiviuually satisfy the above qualification ciiteiia.

2.2.4 The Applicant shall enclose with its application, to be submitteu as pei the foimat at
Appenuix-I, complete with its Annexes, the following:

i. Ceitificate(s) fiom its statutoiy auuitois
4
oi the conceineu client(s) stating the
payments ieceiveu oi in case of a PPP pioject, the constiuction caiiieu out by
itself, uuiing the past S yeais, in iespect of the Eligible Piojects. In case a
paiticulai job contiact has been jointly executeu by the Applicant (as pait of a
}oint ventuie), it shoulu fuithei suppoit its claim foi the payments ieceiveu oi
constiuction caiiieu out by itself in PPP Piojects as applicable the shaie in woik
uone foi that paiticulai job contiact by piouucing a ceitificate fiom its
statutoiy auuitoi oi the client; anu

ii. ceitificate(s) fiom its statutoiy auuitois specifying the net woith of the
Applicant, as at the close of the pieceuing financial yeai, anu also specifying that
the methouology auopteu foi calculating such net woith confoims to the
piovisions of this Clause 2.2.4 (ii). Foi the puiposes of this RFQ, net woith (the
"Net Woith") shall mean the sum of subsciibeu anu paiu up equity anu ieseives
fiom which shall be ueuucteu the sum of ievaluation ieseives, miscellaneous
expenuituie not wiitten off anu ieseives not available foi uistiibution to
equity shaie holueis.

4
In case uuly ceitifieu auuiteu annual financial statements containing explicitly the iequisite uetails aie
pioviueu, a sepaiate ceitification by statutoiy auuitois woulu not be necessaiy in iespect of Clause 2.2.4 (i).
In juiisuictions that uo not have statutoiy auuitois, the fiim of auuitois which auuits the annual accounts of
the Applicant may pioviue the ceitificates iequiieu unuei this RFQ.

UPEIDA 17
2.2.S The Applicant shoulu submit a Powei of Attoiney as pei the foimat at Appenuix- II,
authoiising the signatoiy of the Application to commit the Applicant. In the case of a }oint
ventuie, the Nembeis shoulu submit a Powei of Attoiney in favoui of the Leau Nembei as
pei foimat at Appenuix-III.

2.2.6 In case the Applicant is a }oint ventuie, it shall comply with the following auuitional
iequiiements:

a) Numbei of membeis in a }oint ventuie shall not exceeu S (thiee);

b) subject to the piovisions of clause (a) above, the Application shoulu contain the
infoimation iequiieu foi each Nembei of the }oint ventuie;

c) Nembeis of the }oint ventuie shall nominate one membei as the leau membei (the
"Leau Nembei"). Leau Nembei shall meet at least 6u% iequiiement of Technical anu
Financial Capacity iequiieu as pei Clause 2.2.2 (A) & (B). The nomination(s) shall be
suppoiteu by a Powei of Attoiney, as pei the foimat at Appenuix-III, signeu by all the
othei Nembeis of the }oint ventuie;

u) the Application shoulu incluue a biief uesciiption of the ioles anu iesponsibilities of
inuiviuual membeis, paiticulaily with iefeience to financial, technical anu uefect
liability obligations;

e) an inuiviuual Applicant cannot at the same time be membei of a }oint ventuie applying
foi pie-qualification. Fuithei, a membei of a paiticulai Applicant }oint ventuie cannot
be membei of any othei Applicant }oint ventuie applying foi pie-qualification;

f) the Leau Nembei shall itself unueitake anu peifoim at least Su (thiity) pei cent of the
total length of the Pioject Expiessway.

g) membeis of the }oint ventuie shall have enteieu into a binuing }oint Biuuing
Agieement, substantially in the foim specifieu at Appenuix-Iv (the "}t. Biuuing
Agieement"), foi the puipose of making the Application anu submitting a Biu in
the event of being pie-qualifieu. The }t. Biuuing Agieement, to be submitteu along with
the Application, shall, intei alia:

i. convey the commitment(s) of the Leau Nembei in accoiuance with this RFQ, in
case the contiact to unueitake the Pioject is awaiueu to the }oint ventuie;

ii. cleaily outline the pioposeu ioles anu iesponsibilities, if any, of each membei;

iii. commit the appioximate shaie of woik to be unueitaken by each membei;


UPEIDA 18
iv. incluue a statement to the effect that all membeis of the }oint ventuie shall be
liable jointly anu seveially foi all obligations of the Contiactoi in ielation to the
Pioject until the completion of the Pioject (the "Befects Liability Peiiou") is
achieveu in accoiuance with the EPC Contiact; anu

h) except as pioviueu unuei this RFQ anu the Biuuing Bocuments, theie shall not be any
amenument to the }t. Biuuing Agieement.

2.2.7 Any entity which has been baiieu by the Cential State uoveinment, oi any entity
contiolleu by it, fiom paiticipating in any pioject, anu the bai subsists as on the uate of
Application, woulu not be eligible to submit an Application, eithei inuiviuually oi as
membei of a }oint ventuie.

2.2.8 An Applicant incluuing any Nembei shoulu, in the last S (thiee) yeais, have neithei faileu to
peifoim on any contiact, as eviuenceu by imposition of a penalty by an aibitial oi juuicial
authoiity oi a juuicial pionouncement oi aibitiation awaiu against the Applicant oi
Nembei, as the case may be, noi has been expelleu fiom any pioject oi contiact by any
public entity noi have hau any contiact teiminateu by any public entity foi bieach by such
Applicant oi Nembei.

2.2.8.1 The Applicant incluuing any Nembei may pioviue uetails of all theii on-going piojects
alongwith stage of litigation, if so, against the Authoiity uoveinments.

2.2.8.2 The Applicant incluuing any membei may also pioviue uetails of on-going piocess of
blacklisting if so, unuei any contiact with Authoiity uoveinment.

2.2.8.S The Authoiity ieseives the iight to ieject an otheiwise eligible biuuei on the basis of the
infoimation pioviueu unuei clause 2.2.8. The uecision of the Authoiity in this case shall be
final.

2.2.9 The Technical Capacity anu Net Woith of the Applicant Nembeis in case of }oint ventuie
shall be computeu unuei Clauses 2.2.2, 2.2.4 anu S.2.

2.2.1u The following conuitions shall be auheieu to while submitting an Application:

a. Applicants shoulu attach cleaily maikeu anu iefeienceu continuation sheets in the
event that the space pioviueu in the piesciibeu foims in the Annexes is insufficient.
Alteinatively, Applicants may foimat the piesciibeu foims making uue piovision foi
incoipoiation of the iequesteu infoimation;

b. infoimation supplieu by an Applicant (oi othei constituent Nembei if the Applicant
is a }oint ventuie) must apply to the Applicant, Nembei nameu in the Application.

UPEIDA 19
Invitation to submit Bius will be issueu only to Applicants whose iuentity anu oi
constitution is iuentical to that at pie-qualification;

c. in iesponuing to the pie-qualification submissions, Applicants shoulu uemonstiate
theii capabilities in accoiuance with Clause S.1 below; anu

u. in case the Applicant is a }oint ventuie, each Nembei shoulu substantially satisfy the
pie-qualification iequiiements to the extent specifieu heiein.

2.2.11 While Qualification is open to peisons fiom any countiy, the following piovisions shall
apply:

a. Wheie, on the uate of the Application, not less than 1S% (fifteen peicent) of the
aggiegate issueu, subsciibeu anu paiu up equity shaie capital in an Applicant oi its
Nembei is helu by peisons iesiuent outsiue Inuia oi wheie an Applicant oi its
Nembei is contiolleu by peisons iesiuent outsiue Inuia; oi

b. if at any subsequent stage aftei the uate of the Application, theie is an acquisition of
not less than 1S% (fifteen peicent) of the aggiegate issueu, subsciibeu anu paiu up
equity shaie capital oi contiol, by peisons iesiuent outsiue Inuia, in oi of the
Applicant oi its Nembei;

then the Qualification of such Applicant oi in the event uesciibeu in sub clause (b) above,
the continueu Qualification of the Applicant shall be subject to appioval of the Authoiity
fiom national secuiity anu public inteiest peispective. The uecision of the Authoiity in this
behalf shall be final anu conclusive anu binuing on the Applicant.

The holuing oi acquisition of equity oi contiol, as above, shall incluue uiiect oi inuiiect
holuing acquisition, incluuing by tiansfei, of the uiiect oi inuiiect legal oi beneficial
owneiship oi contiol, by peisons acting foi themselves oi in conceit anu in ueteimining
such holuing oi acquisition, the Authoiity shall be guiueu by the piinciples, pieceuents
anu uefinitions containeu in the Secuiities anu Exchange Boaiu of Inuia (Substantial
Acquisition of Shaies anu Takeoveis) Regulations, 1997, oi any substitute theieof, as in
foice on the uate of such acquisition.

The Applicant shall piomptly infoim the Authoiity of any change in the shaieholuing, as
above, anu failuie to uo so shall ienuei the Applicant liable foi uisqualification fiom the
Biuuing Piocess.

2.2.12 Notwithstanuing anything to the contiaiy containeu heiein, in the event that the
Application Bue Bate falls within thiee months of the closing of the latest financial
yeai of an Applicant, it shall ignoie such financial yeai foi the puiposes of its Application
anu fuinish all its infoimation anu ceitification with iefeience to the S (five) yeais oi 1

UPEIDA 20
(one) yeai, as the case may be, pieceuing its latest financial yeai. Foi the avoiuance of
uoubt, financial yeai shall, foi the puiposes of an Application heieunuei, mean the
accounting yeai followeu by the Applicant in the couise of its noimal business.

2.3 CHANGE IN COMPOSITION OF THE JOINT VENTURE

2.S.1 Change in the composition of a }oint ventuie will not be peimitteu by the Authoiity
uuiing the Qualification Stage.

2.S.2 Wheie the Biuuei is a }oint ventuie, change in the composition of a }oint ventuie may be
peimitteu by the Authoiity uuiing the Biu Stage, only wheie:

a. the application foi such change is maue no latei than 1S (fifteen) uays piioi to the
Biu Bue Bate;

b. the Leau Nembei continues to be the Leau Nembei of the }oint ventuie;

c. the substitute is at least equal, in teims of Technical Capacity, to the Nembei who is
sought to be substituteu anu the mouifieu }oint ventuie shall continue to meet the
pie-qualification ciiteiia foi Applicants; anu

u. the new Nembei(s) expiessly auopt(s) the Application alieauy maue on behalf of
the }oint ventuie as if it weie a paity to it oiiginally, anu is not an Applicant of any
othei }oint ventuie biuuing foi this Pioject.

2.S.S Appioval foi change in the composition of a }oint ventuie shall be at the sole uiscietion of
the Authoiity anu must be appioveu by the Authoiity in wiiting.

2.S.4 The mouifieu ieconstituteu }oint ventuie shall submit a ieviseu }t. Biuuing Agieement
befoie the Biu Bue Bate.

2.S.S Notwithstanuing anything to the contiaiy containeu in sub-clause (c) (i) of Clause 2.2.1, an
Applicant may, within 1u (ten) uays aftei the Application Bue Bate, iemove fiom its }oint
ventuie any Nembei who suffeis fiom a Conflict of Inteiest, anu such iemoval shall be
ueemeu to cuie the Conflict of Inteiest aiising in iespect theieof.

2.S.6 The mouifieu ieconstituteu joint ventuie shall submit a Powei of Attoiney, substantially
in the foim at Appenuix-Iv, piioi to the Biu Bue Bate.

2.4 NUMBER OF APPLICATIONS AND COSTS THEREOF

2.4.1 No Applicant shall submit moie than one Application foi the Pioject. An applicant
applying inuiviuually oi as a membei of a }oint ventuie shall not be entitleu to submit

UPEIDA 21
anothei application eithei inuiviuually oi as a membei of any }oint ventuie, as the case may
be.

2.4.2 The Applicants shall be iesponsible foi all of the costs associateu with the piepaiation of
theii Applications anu theii paiticipation in the Biu Piocess. The Authoiity will not be
iesponsible oi in any way liable foi such costs, iegaiuless of the conuuct oi outcome of the
Biuuing Piocess.

2.5 SITE VISIT AND VERIFICATION OF INFORMATION

Applicants aie encouiageu to submit theii iespective Applications aftei visiting the Pioject
site anu asceitaining foi themselves the site conuitions, tiaffic, location, suiiounuings,
climate, availability of powei, watei anu othei utilities foi constiuction, access to site,
hanuling anu stoiage of mateiials, weathei uata, applicable laws anu iegulations, anu any
othei mattei consiueieu ielevant by them.

2.6 ACKNOWLEDGEMENT BY APPLICANT

2.6.1 It shall be ueemeu that by submitting the Application, the Applicant has:

a. maue a complete anu caieful examination of the RFQ;

b. ieceiveu all ielevant infoimation iequesteu fiom the Authoiity;

c. accepteu the iisk of inauequacy, eiioi oi mistake in the infoimation pioviueu in the
RFQ oi fuinisheu by oi on behalf of the Authoiity ielating to any of the matteis
iefeiieu to in Clause 2.S above; anu

u. agieeu to be bounu by the unueitakings pioviueu by it unuei anu in teims heieof.

2.6.2 The Authoiity shall not be liable foi any omission, mistake oi eiioi in iespect of any of the
above oi on account of any mattei oi thing aiising out of oi conceining oi ielating to the
RFQ oi the Biuuing Piocess, incluuing any eiioi oi mistake theiein oi in any infoimation oi
uata given by the Authoiity.

2.7 RIGHT TO ACCEPT OR REJECT ANY OR ALL APPLICATIONS/ BIDS

2.7.1 Notwithstanuing anything containeu in this RFQ, the Authoiity ieseives the iight to accept
oi ieject any Application anu to annul the Biuuing Piocess anu ieject all Applications Bius,
at any time without any liability oi any obligation foi such acceptance, iejection oi
annulment, anu without assigning any ieasons theiefoi. In the event that the Authoiity
iejects oi annuls all the Bius, it may, in its uiscietion, invite all eligible Biuueis to submit
fiesh Bius heieunuei.

UPEIDA 22

2.7.2 The Authoiity ieseives the iight to ieject any Application anu oi Biu if:

a. at any time, a mateiial misiepiesentation is maue oi uncoveieu, oi

b. the Applicant uoes not pioviue, within the time specifieu by the Authoiity, the
supplemental infoimation sought by the Authoiity foi evaluation of the Application.

If the ApplicantBiuuei is a }oint ventuie, then the entiie }oint ventuie may be uisqualifieu
iejecteu. If such uisqualification iejection occuis aftei the Bius have been openeu anu the
Lowest Biuuei gets uisqualifieu iejecteu, then the Authoiity ieseives the iight to:

i. invite the iemaining Biuueis to match the Lowest Biuuei submit theii Bius in
accoiuance with the RFP; oi
ii. take any such measuie as may be ueemeu fit in the sole uiscietion of the
Authoiity, incluuing annulment of the Biuuing Piocess.

2.7.S In case it is founu uuiing the evaluation oi at any time befoie signing of the EPC Contiact oi
aftei its execution anu uuiing the peiiou of subsistence theieof, incluuing the Befect
Liability Peiiou, that one oi moie of the pie-qualification conuitions have not been met by
the Applicant, oi the Applicant has maue mateiial misiepiesentation oi has given any
mateiially incoiiect oi false infoimation, the Applicant shall be uisqualifieu foithwith if not
yet appointeu as the Contiactoi eithei by issue of the L0A oi enteiing into the EPC Contiact,
anu if the Applicant has alieauy been issueu the L0A oi has enteieu into the EPC Contiact,
as the case may be, the same shall, notwithstanuing anything to the contiaiy containeu
theiein oi in this RFQ, be liable to be teiminateu, by a communication in wiiting by the
Authoiity to the Applicant, without the Authoiity being liable in any mannei whatsoevei
to the Applicant anu without piejuuice to any othei iight oi iemeuy which the Authoiity
may have unuei this RFQ, the Biuuing Bocuments, the EPC Contiact oi unuei applicable law.

2.7.4 The Authoiity ieseives the iight to veiify all statements, infoimation anu uocuments
submitteu by the Applicant in iesponse to the RFQ. Any such veiification oi lack of such
veiification by the Authoiity shall not ielieve the Applicant of its obligations oi liabilities
heieunuei noi will it affect any iights of the Authoiity theieunuei.

B. DOCUMENTS

2.8 CONTENTS OF THE RFQ

This RFQ compiises the uisclaimei set foith heieinabove, the contents as listeu below, anu
will auuitionally incluue any Auuenua issueu in accoiuance with Clause 2.1u.

Section 1 : Intiouuction

UPEIDA 23
Section 2 : Instiuctions to Applicants
Section S : Ciiteiia foi Evaluation
Section 4 : Fiauu & Coiiupt Piactices
Section S : Pie Application Confeience
Section 6 : Niscellaneous

Appenuices

I. Lettei compiising the Application
II. Powei of Attoiney foi signing of Application
III. Powei of Attoiney foi Leau Nembei of }oint ventuie
Iv. }oint Biuuing Agieement foi }oint ventuie
v. uuiuelines of the Bepaitment of Bisinvestment
vI. Factois foi 0puation

2.9 CLARIFICATIONS

2.9.1 Applicants iequiiing any claiification on the RFQ may notify the Authoiity in wiiting oi by
fax anu e-mail in accoiuance with Clause 1.2.11. They shoulu senu in theii queiies befoie
the uate specifieu in the scheuule of Biuuing Piocess containeu in Clause 1.S. The Authoiity
shall enueavoui to iesponu to the queiies within the peiiou specifieu theiein, but no latei
than 7 (seven) uays piioi to the Application Bue Bate. The iesponses will be sent by fax
anuoi e-mail. The Authoiity will foiwaiu all the queiies anu its iesponses theieto, to all
puichaseis of the RFQ without iuentifying the souice of queiies.

2.9.2 The Authoiity shall enueavoui to iesponu to the questions iaiseu oi claiifications sought
by the Applicants. Bowevei, the Authoiity ieseives the iight not to iesponu to any
question oi pioviue any claiification, in its sole uiscietion, anu nothing in this Clause shall
be taken oi ieau as compelling oi iequiiing the Authoiity to iesponu to any question oi to
pioviue any claiification.

2.9.S The Authoiity may also on its own motion, if ueemeu necessaiy, issue inteipietations anu
claiifications to all Applicants. All claiifications anu inteipietations issueu by the Authoiity
shall be ueemeu to be pait of the RFQ. veibal claiifications anu infoimation given by
Authoiity oi its employees oi iepiesentatives shall not in any way oi mannei be binuing on
the Authoiity.

2.10 AMENDMENT OF RFQ

2.1u.1 At any time piioi to the ueauline foi submission of Application, the Authoiity may, foi any
ieason, whethei at its own initiative oi in iesponse to claiifications iequesteu by an
Applicant, mouify the RFQ by the issuance of Auuenua.


UPEIDA 24
2.1u.2 Any Auuenuum thus issueu will be sent in wiiting to all those who have puichaseu
the RFQ.

2.1u.S In oiuei to affoiu the Applicants a ieasonable time foi taking an Auuenuum into account, oi
foi any othei ieason, the Authoiity may, in its sole uiscietion, extenu the Application Bue
Bate.
S

C. PREPARATION AND SUBMISSION OF APPLICATION

2.11 LANGUAGE

The Application anu all ielateu coiiesponuence anu uocuments in ielation to the Biuuing
Piocess shall be in English language. Suppoiting uocuments anu piinteu liteiatuie
fuinisheu by the Applicant with the Application may be in any othei language pioviueu that
they aie accompanieu by tianslations of all the peitinent passages in the English language,
uuly authenticateu anu ceitifieu by the Applicant. Suppoiting mateiials, which aie not
tianslateu into English, may not be consiueieu. Foi the puipose of inteipietation anu
evaluation of the Application, the English language tianslation shall pievail.

2.12 FORMAT AND SIGNING OF APPLICATION

2.12.1 The Applicant shall pioviue all the infoimation sought unuei this RFQ. The Authoiity will
evaluate only those Applications that aie ieceiveu in the iequiieu foimats anu complete in
all iespects. Incomplete anu oi conuitional Applications shall be liable to iejection.

2.12.2 The Applicant shall piepaie 1 (one) oiiginal set of the Application (togethei with oiiginals
copies of uocuments iequiieu to be submitteu along theiewith puisuant to this RFQ) anu
cleaily maikeu "0RIuINAL". In auuition, the Applicant shall submit 1 (one) copy of the
Application, alongwith uocuments iequiieu to be submitteu along theiewith puisuant to
this RFQ, maikeu "C0PY". In the event of any uisciepancy between the oiiginal anu the
copy, the oiiginal shall pievail.

2.12.S The Application anu its copy shall be typeu oi wiitten in inuelible ink anu signeu by the
authoiiseu signatoiy of the Applicant who shall also initial each page in blue ink. In case of
piinteu anu publisheu uocuments, only the covei shall be initialleu. All the alteiations,
omissions, auuitions oi any othei amenuments maue to the Application shall be initialleu by
the peison(s) signing the Application. The Application shall contain page numbeis anu shall
be bounu togethei in haiu covei.

S
While extenuing the Application Bue Bate on account of an auuenuum, the Authoiity shall have uue iegaiu
foi the time iequiieu by biuueis to auuiess the amenuments specifieu theiein. In the case of significant
amenuments, at least 1S (fifteen) uays shall be pioviueu between the uate of amenument anu the Application
Bue Bate, anu in the case of minoi amenuments, at least 7 (seven) uays shall be pioviueu.

UPEIDA 25
2.13 SEALING AND MARKING OF APPLICATIONS

2.1S.1 The Applicant shall submit the Application in the foimat specifieu at Appenuix-I, togethei
with the uocuments specifieu in Clause 2.1S.2, anu seal it in an envelope anu maik the
envelope as "APPLICATI0N". The Applicant shall seal the oiiginal anu the copy of the
Application, togethei with theii iespective enclosuies, in sepaiate envelopes uuly maiking
the envelopes as "0RIuINAL" anu "C0PY". The envelopes shall then be sealeu in an outei
envelope which shall also be maikeu in accoiuance with Clauses 2.1S.2 anu 2.1S.S.

2.1S.2 Each envelope shall contain:

i. Application in the piesciibeu foimat (Appenuix-I) along with Annexes anu
suppoiting uocuments;

ii. Powei of Attoiney foi signing the Application as pei the foimat at
Appenuix-II;

iii. if applicable, the Powei of Attoiney foi Leau Nembei of }oint ventuie as pei the
foimat at Appenuix-III;

iv. copy of the }t. Biuuing Agieement, in case of a }oint ventuie, substantially
in the foimat at Appenuix-Iv;

v. copy of Nemoianuum anu Aiticles of Association; anu

vi. copies of Applicant's uuly auuiteu balance sheet anu piofit anu loss account
foi the pieceuing five yeais.

Each of the envelopes shall cleaily beai the following iuentification:

"RFQ foi Bevelopment of Kannauj (village Naimau) to 0nnao (village Neval) Access
Contiolleu Expiessway (uieen Fielu) Pioject in 0ttai Piauesh".

anu shall cleaily inuicate the name anu auuiess of the Applicant. In auuition, the Application
Bue Bate shoulu be inuicateu on the iight hanu coinei of each of the envelopes.

2.1S.S Each of the envelopes shall be auuiesseu to:

Manager (Technical)
UPEIDA
C-1S, 2nu Flooi, Paiyatan Bhawan
Lucknow - 226u1u

UPEIDA 26
Phone: +91 S22 2Su1 492
Fax: +91 S22 2Su1 142
Email: upeiua2gmail.com

2.1S.4 If the envelopes aie not sealeu anu maikeu as instiucteu above, the Authoiity assumes no
iesponsibility foi the misplacement oi piematuie opening of the contents of the Application
anu consequent losses, if any, suffeieu by the Applicant.

2.1S.S Applications submitteu by fax, telex, telegiam oi e-mail shall not be enteitaineu anu shall be
iejecteu.

2.14 APPLICATION DUE DATE

2.14.1 Applications shoulu be submitteu befoie the time specifieu in Clause 1.S on the Application
Bue Bate, at the auuiess pioviueu in Clause 2.1S.S in the mannei anu foim as uetaileu in
this RFQ. A ieceipt theieof shoulu be obtaineu fiom the peison specifieu in Clause 2.1S.S.

2.14.2 The Authoiity may, in its sole uiscietion, extenu the Application Bue Bate by issuing an
Auuenuum in accoiuance with Clause 2.1u unifoimly foi all Applicants.

2.15 LATE APPLICATIONS

Applications ieceiveu by the Authoiity aftei the specifieu time on the Application Bue Bate
shall not be eligible foi consiueiation anu shall be summaiily iejecteu.

2.16 MODIFICATIONS/ SUBSTITUTION/ WITHDRAWAL OF APPLICATIONS

2.16.1 The Applicant may mouify, substitute oi withuiaw its Application aftei submission,
pioviueu that wiitten notice of the mouification, substitution oi withuiawal is ieceiveu by
the Authoiity piioi to the Application Bue Bate. No Application shall be mouifieu,
substituteu oi withuiawn by the Applicant on oi aftei the Application Bue Bate.

2.16.2 The mouification, substitution oi withuiawal notice shall be piepaieu, sealeu, maikeu, anu
ueliveieu in accoiuance with Clause 2.1S, with the envelopes being auuitionally maikeu
"N0BIFICATI0N", "S0BSTIT0TI0N" oi "WITBBRAWAL", as appiopiiate.

2.16.S Any alteiation mouification in the Application oi auuitional infoimation supplieu
subsequent to the Application Bue Bate, unless the same has been expiessly sought foi by
the Authoiity, shall be uisiegaiueu.

D. EVALUATION PROCESS


UPEIDA 27
2.17 OPENING AND EVALUATION OF APPLICATIONS

2.17.1 The Authoiity shall open the Applications on the Application Bue Bate, at the time anu place
specifieu in Clause 1.S anu Clause 2.1S.S iespectively anu in the piesence of the Applicants
who choose to attenu.

2.17.2 Applications foi which a notice of withuiawal has been submitteu in accoiuance with Clause
2.16 shall not be openeu.

2.17.S The Authoiity will subsequently examine anu evaluate Applications in accoiuance
with the piovisions set out in Section S.

2.17.4 Applicants aie auviseu that pie-qualification of Applicants will be entiiely at the uiscietion
of the Authoiity. Applicants will be ueemeu to have unueistoou anu agieeu that no
explanation oi justification on any aspect of the Biuuing Piocess oi selection will be given.

2.17.S Any infoimation containeu in the Application shall not in any way be constiueu as binuing
on the Authoiity, its agents, successois oi assigns, but shall be binuing against the Applicant
if the Pioject is subsequently awaiueu to it on the basis of such infoimation.

2.17.6 The Authoiity ieseives the iight not to pioceeu with the Biuuing Piocess at any time
without notice oi liability anu to ieject any oi all Application(s) without assigning any
ieasons.

2.17.7 If any infoimation fuinisheu by the Applicant is founu to be incomplete, oi containeu in
foimats othei than those specifieu heiein, the Authoiity may, in its sole uiscietion, excluue
the ielevant pioject fiom computation of the Eligible Scoie of the Applicant.

2.17.8 In the event that an Applicant claims cieuit foi an Eligible Pioject, anu such claim is
ueteimineu by the Authoiity as incoiiect oi eiioneous, the Authoiity shall ieject such claim
anu excluue the same fiom computation of the Eligible Scoie, anu may also, while
computing the aggiegate Expeiience Scoie of the Applicant, make a fuithei ueuuction
equivalent to the claim iejecteu heieunuei. Wheie any infoimation is founu to be
patently false oi amounting to a mateiial misiepiesentation, the Authoiity ieseives
the iight to ieject the Application anu oi Biu in accoiuance with the piovisions of Clauses
2.7.2 anu 2.7.S.

2.18 CONFIDENTIALITY

Infoimation ielating to the examination, claiification, evaluation, anu iecommenuation foi
the pie-qualifieu Applicants shall not be uiscloseu to any peison who is not officially
conceineu with the piocess oi is not a ietaineu piofessional auvisoi auvising the Authoiity
in ielation to, oi matteis aiising out of, oi conceining the Biuuing Piocess. The Authoiity

UPEIDA 28
will tieat all infoimation, submitteu as pait of Application, in confiuence anu will iequiie all
those who have access to such mateiial to tieat the same in confiuence. The Authoiity may
not uivulge any such infoimation unless it is uiiecteu to uo so by any statutoiy entity that
has the powei unuei law to iequiie its uisclosuie oi is to enfoice oi asseit any iight oi
piivilege of the statutoiy entity anu oi the Authoiity oi as may be iequiieu by law oi in
connection with any legal piocess.

2.19 TESTS OF RESPONSIVENESS

2.19.1 Piioi to evaluation of Applications, the Authoiity shall ueteimine whethei each Application
is iesponsive to the iequiiements of the RFQ. An Application shall be consiueieu iesponsive
only if:

a. it is ieceiveu as pei foimat at Appenuix-I.

b. it is ieceiveu by the Application Bue Bate incluuing any extension theieof puisuant
to Clause 2.14.2;

c. it is signeu, sealeu, bounu togethei in haiu covei, anu maikeu as stipulateu in
Clauses 2.12 anu 2.1S;

u. it is accompanieu by the Powei of Attoiney as specifieu in Clause 2.2.S, anu in the
case of a }oint ventuie, the Powei of Attoiney as specifieu in Clause 2.2.6 (c);

e. it contains all the infoimation anu uocuments (complete in all iespects) as
iequesteu in this RFQ;

f. it contains infoimation in foimats same as those specifieu in this RFQ;

g. it contains ceitificates fiom its statutoiy auuitois
4
in the foimats specifieu at
Appenuix-I of the RFQ foi each Eligible Pioject;

h. it contains an attesteu copy of the ieceipt foi payment of Rs. 1,Su,uuu (Rs. 0ne Lakh
Fifty Thousanu only) to Authoiity towaius the cost of the RFQ uocument;

i. it is accompanieu by the }t. Biuuing Agieement (foi }oint ventuie), specific to
the Pioject, as stipulateu in Clause 2.2.6(g);

j. it uoes not contain any conuition oi qualification; anu

k. it is not non-iesponsive in teims heieof.


UPEIDA 29
2.19.2 The Authoiity ieseives the iight to ieject any Application which is non-iesponsive anu no
iequest foi alteiation, mouification, substitution oi withuiawal shall be enteitaineu by the
Authoiity in iespect of such Application.

2.20 CLARIFICATIONS

2.2u.1 To facilitate evaluation of Applications, the Authoiity may, at its sole uiscietion, seek
claiifications fiom any Applicant iegaiuing its Application. Such claiification(s) shall be
pioviueu within the time specifieu by the Authoiity foi this puipose. Any iequest foi
claiification(s) anu all claiification(s) in iesponse theieto shall be in wiiting.

2.2u.2 If an Applicant uoes not pioviue claiifications sought unuei Clause 2.2u.1 above within the
piesciibeu time, its Application shall be liable to be iejecteu. In case the Application is not
iejecteu, the Authoiity may pioceeu to evaluate the Application by constiuing the
paiticulais iequiiing claiification to the best of its unueistanuing, anu the Applicant shall be
baiieu fiom subsequently questioning such inteipietation of the Authoiity.

E. QUALIFICATION AND BIDDING

2.21 PRE-QUALIFICATION AND NOTIFICATION

Aftei the evaluation of Applications, the Authoiity woulu announce a list of pie- qualifieu
Applicants (Biuueis) who will be eligible foi paiticipation in the Biu Stage. At the same time,
the Authoiity woulu notify the othei Applicants that they have not been pie-qualifieu. The
Authoiity will not enteitain any queiy oi claiification fiom Applicants who fail to qualify.

2.22 SUBMISSION OF BIDS

The Biuueis will be iequesteu to submit a Biu in the foim anu mannei to be set out in the
Biuuing Bocuments.

0nly pie-qualifieu Applicants shall be inviteu by the Authoiity to submit theii Bius foi the
Pioject. The Authoiity is likely to pioviue a compaiatively shoit time span foi submission of
the Bius foi the Pioject. The Applicants aie theiefoie auviseu to visit the site anu familiaiise
themselves with the Pioject by the time of submission of the Application. No extension of
time is likely to be consiueieu foi submission of Bius puisuant to invitation that may be
issueu by the Authoiity.

2.23 PROPRIETARY DATA

All uocuments anu othei infoimation supplieu by the Authoiity oi submitteu by an
Applicant to the Authoiity shall iemain oi become the piopeity of the Authoiity.
Applicants aie to tieat all infoimation as stiictly confiuential anu shall not use it foi any

UPEIDA 30
puipose othei than foi piepaiation anu submission of theii Application. The Authoiity will
not ietuin any Application oi any infoimation pioviueu along theiewith.

2.24 CORRESPONDENCE WITH THE APPLICANT

Save anu except as pioviueu in this RFQ, the Authoiity shall not enteitain any
coiiesponuence with any Applicant in ielation to the acceptance oi iejection of any
Application.


UPEIDA 31
3. CRITERIA FOR EVALUATION

3.1 EVALUATION PARAMETERS

S.1.1 0nly those Applicants who meet the eligibility ciiteiia specifieu in Clause 2.2.2 above shall
qualify foi evaluation unuei this Section S. Applications of fiims }oint ventuie who uo not
meet these ciiteiia shall be iejecteu.

S.1.2 The Applicant's competence anu capability is pioposeu to be establisheu by the following
paiameteis:

a. Technical Capacity; anu
b. Financial Capacity

3.2 TECHNICAL CAPACITY FOR PURPOSES OF EVALUATION

S.2.1 Subject to the piovisions of Clause 2.2, the following categoiies of expeiience woulu qualify
as Technical Capacity anu eligible expeiience (the "Eligible Expeiience") in ielation to
eligible piojects as stipulateu in Clauses S.2.S anu S.2.4 (the "Eligible Piojects"):
Categoiy 1: Pioject expeiience on Eligible Piojects in highways sectoi that qualify unuei
Clause S.2.S
Categoiy 2: Pioject expeiience on Eligible Piojects in coie sectoi that qualify unuei
Clause S.2.S
Categoiy S: Constiuction expeiience on Eligible Piojects in highways sectoi that qualify
unuei Clause S.2.4
Categoiy 4: Constiuction expeiience on Eligible Piojects in coie sectoi that qualify
unuei Clause S.2.4

Foi the puipose of this RFQ:

i. highways sectoi woulu be ueemeu to incluue highways, expiessways, biiuges,
tunnels anu aiifielus; anu

ii. coie sectoi woulu be ueemeu to incluue poits, aiipoits, iailways, metio iail,
inuustiial paiks estates, logistic paiks, pipelines, iiiigation, watei supply, seweiage
anu ieal estate uevelopment.
6

S.2.2 Eligible Expeiience in iespect of each categoiy shall be measuieu only foi Eligible
Piojects.

S.2.S Foi a pioject to qualify as an Eligible Pioject unuei Categoiies 1 anu 2:

6
Real estate uevelopment shall not incluue iesiuential flats unless they foim pait of a ieal estate complex oi
township which has been built by the Applicant.

UPEIDA 32

a. It shoulu have been unueitaken as a PPP pioject on B0T, B0LT, B00, B00T oi othei
similai basis foi pioviuing its output oi seivices to a public sectoi entity oi foi
pioviuing non-uisciiminatoiy access to useis in puisuance of its chaitei, concession
oi contiact, as the case may be. Foi the avoiuance of uoubt, a pioject which
constitutes a natuial monopoly such as an aiipoit oi poit shoulu noimally be
incluueu in this categoiy even if it is not baseu on a long-teim agieement with a
public entity;

b. the entity claiming expeiience shoulu have helu, in the company owning the Eligible
Pioject, a minimum of 26% (twenty six pei cent) equity uuiing the entiie yeai foi
which Eligible Expeiience is being claimeu;

c. the capital cost of the pioject shoulu be moie than Rs. 16S Cioie (Rs. 0ne Bunuieu
anu Sixty Five Cioie); anu

u. the entity claiming expeiience shall, uuiing the last S (five) financial yeais pieceuing
the Application Bue Bate, have itself unueitaken the constiuction of the pioject foi
an amount equal to at least one half of the Pioject Cost of eligible piojects, excluuing
any pait of the pioject foi which any contiactoi, sub-contiactoi oi othei agent was
appointeu foi the puiposes of constiuction.

S.2.4 Foi a pioject to qualify as an Eligible Pioject unuei Categoiies S anu 4, the Applicant shoulu
have ieceiveu payments fiom its client(s) foi constiuction woiks executeu, fully oi paitially,
uuiing the S (five) financial yeais immeuiately pieceuing the Application Bue Bate, anu only
the amounts (gioss) actually ieceiveu, uuiing such S (five) financial yeais shall qualify foi
puiposes of computing the Expeiience Scoie. Bowevei, ieceipts of less than Rs. 16S Cioie
(Rs. 0ne Bunuieu anu Sixty Five Cioie) shall not be ieckoneu as ieceipts foi Eligible
Piojects. Foi the avoiuance of uoubt, constiuction woiks shall not incluue supply of goous
oi equipment except when such goous oi equipment foim pait of a tuin-key constiuction
contiact EPC contiact foi the pioject. Fuithei, the cost of lanu shall not be incluueu
heieunuei.

S.2.S The Applicant shall quote expeiience in iespect of a paiticulai Eligible Pioject unuei any
one categoiy only, even though the Applicant (eithei inuiviuually oi along with a membei of
the }oint ventuie) may have playeu multiple ioles in the citeu pioject. Bouble counting foi a
paiticulai Eligible Pioject shall not be peimitteu in any foim.

S.2.6 Foi the puipose of assigning scoies to the Applicant, its expeiience shall be measuieu anu
stateu in teims of a scoie (the "Expeiience Scoie"). The Expeiience Scoie foi an
Eligible Pioject in a given categoiy woulu be the eligible ieceipts specifieu in Clause 2.2.2
(A), uiviueu by one cioie anu then multiplieu by the applicable factoi in Table S.2.6 below.

UPEIDA 33
In case the Applicant has expeiience acioss uiffeient categoiies, the scoie foi each categoiy
woulu be computeu as above anu then aggiegateu to aiiive at its Expeiience Scoie.

Table 3.2.6: Factors for Experience across categories
Categories of Eligible Projects Multiplying Factor
Categoiy 1 1.uu
Categoiy 2 u.Su
Categoiy S 1.uu
Categoiy 4 u.Su

S.2.7 The Expeiience Scoie ueteimineu in accoiuance with Clause S.2.6 in iespect of an Eligible
Pioject situateu in a uevelopeu countiy which is a membei of 0ECB shall be fuithei
multiplieu by a factoi of u.S (zeio point five) anu the piouuct theieof shall be the
Expeiience Scoie foi such Eligible Pioject.

S.2.8 Expeiience foi any activity ielating to an Eligible Pioject shall not be claimeu by two oi
moie Nembeis of the }oint ventuie. In othei woius, no uouble counting by a }oint ventuie
in iespect of the same expeiience shall be peimitteu in any mannei whatsoevei.

3.3 DETAILS OF EXPERIENCE

S.S.1 The Applicant shoulu fuinish the uetails of Eligible Expeiience foi the last S (five) financial
yeais immeuiately pieceuing the Application Bue Bate.

S.S.2 The Applicants must pioviue the necessaiy infoimation ielating to Technical Capacity as
pei foimat at Annex-II of Appenuix-I.

S.S.S The Applicant shoulu fuinish the iequiieu Pioject-specific infoimation anu eviuence in
suppoit of its claim of Technical Capacity, as pei foimat at Annex-Iv of Appenuix-I.

3.4 FINANCIAL INFORMATION FOR PURPOSES OF EVALUATION

S.4.1 The Application must be accompanieu by the Auuiteu Annual Repoits of the Applicant (of
each Nembei in case of a }oint ventuie) foi the last S (five) financial yeais, pieceuing the
yeai in which the Application is maue.

S.4.2 In case the annual accounts foi the latest financial yeai aie not auuiteu anu theiefoie the
Applicant cannot make it available, the Applicant shall give an unueitaking to this effect anu
the statutoiy auuitoi shall ceitify the same. In such a case, the Applicant shall pioviue the
Auuiteu Annual Repoits foi S (five) yeais pieceuing the yeai foi which the Auuiteu Annual
Repoit is not being pioviueu.


UPEIDA 34
S.4.S The Applicant must establish the minimum Net Woith specifieu in Clause 2.2.2 (B), anu
pioviue uetails as pei foimat at Annex-III of Appenuix-I.

3.5 PRE-QUALIFICATION OF APPLICANTS

S.S.1 The cieuentials of eligible Applicants shall be measuieu in teims of theii Expeiience Scoie.
The sum total of the Expeiience Scoies foi all Eligible Piojects shall be the 'Aggiegate
Expeiience Scoie' of a paiticulai Applicant. In case of a }oint ventuie, the Aggiegate
Expeiience Scoie of the Leau Nembei incluuing othei membeis shall be the Aggiegate
Expeiience Scoie of the }oint ventuie. All Applicants who fulfill the conuitions of eligibility
specifieu in Clause 2.2.2 anu meet the othei conuitions specifieu in this RFQ shall be pie-
qualifieu.

S.S.2 The Applicants meeting the pie-qualification ciiteiia shall be eligible foi paiticipation in the
Biu Stage.


UPEIDA 35
4. FRAUD AND CORRUPT PRACTICES

4.1 The Applicants anu theii iespective officeis, employees, agents anu auviseis shall obseive
the highest stanuaiu of ethics uuiing the Biuuing Piocess. Notwithstanuing anything to
the contiaiy containeu heiein, the Authoiity may ieject an Application without being liable
in any mannei whatsoevei to the Applicant if it ueteimines that the Applicant has, uiiectly
oi inuiiectly oi thiough an agent, engageu in coiiupt piactice, fiauuulent piactice, coeicive
piactice, unuesiiable piactice oi iestiictive piactice in the Biuuing Piocess.

4.2 Without piejuuice to the iights of the Authoiity unuei Clause 4.1 heieinabove, if an
Applicant is founu by the Authoiity to have uiiectly oi inuiiectly oi thiough an agent,
engageu oi inuulgeu in any coiiupt piactice, fiauuulent piactice, coeicive piactice,
unuesiiable piactice oi iestiictive piactice uuiing the Biuuing Piocess, such Applicant shall
not be eligible to paiticipate in any tenuei oi RFQ issueu by the Authoiity uuiing a peiiou of
2 (two) yeais fiom the uate such Applicant is founu by the Authoiity to have uiiectly oi
inuiiectly oi thiough an agent, engageu oi inuulgeu in any coiiupt piactice, fiauuulent
piactice, coeicive piactice, unuesiiable piactice oi iestiictive piactice, as the case may be.

4.S Foi the puiposes of this Clause 4, the following teims shall have the meaning heieinaftei
iespectively assigneu to them:

a. "coiiupt piactice" means (i) the offeiing, giving, ieceiving, oi soliciting, uiiectly oi
inuiiectly, of anything of value to influence the actions of any peison connecteu with
the Biuuing Piocess (foi avoiuance of uoubt, offeiing of employment to, oi
employing, oi engaging in any mannei whatsoevei, uiiectly oi inuiiectly, any official
of the Authoiity who is oi has been associateu in any mannei, uiiectly oi inuiiectly,
with the Biuuing Piocess oi the L0A oi has uealt with matteis conceining the
EPC Contiact oi aiising theiefiom, befoie oi aftei the execution theieof, at any time
piioi to the expiiy of one yeai fiom the uate such official iesigns oi ietiies fiom oi
otheiwise ceases to be in the seivice of the Authoiity, shall be ueemeu to constitute
influencing the actions of a peison connecteu with the Biuuing Piocess); oi (ii) save
anu except as peimitteu unuei sub clause (u) of Clause 2.2.1, engaging in any
mannei whatsoevei, whethei uuiing the Biuuing Piocess oi aftei the issue of the
L0A oi aftei the execution of the EPC Contiact, as the case may be, any peison in
iespect of any mattei ielating to the Pioject oi the L0A oi the EPC Contiact, who at
any time has been oi is a legal, financial oi technical auvisei of the Authoiity in
ielation to any mattei conceining the Pioject;

b. "fiauuulent piactice" means a misiepiesentation oi omission of facts oi suppiession
of facts oi uisclosuie of incomplete facts, in oiuei to influence the Biuuing Piocess ;


UPEIDA 36
c. "coeicive piactice" means impaiiing oi haiming oi thieatening to impaii oi haim,
uiiectly oi inuiiectly, any peison oi piopeity to influence any peison's paiticipation
oi action in the Biuuing Piocess;

u. "unuesiiable piactice" means (i) establishing contact with any peison connecteu
with oi employeu oi engageu by the Authoiity with the objective of canvassing,
lobbying oi in any mannei influencing oi attempting to influence the Biuuing
Piocess; oi (ii) having a Conflict of Inteiest; anu

e. "iestiictive piactice" means foiming a caitel oi aiiiving at any unueistanuing oi
aiiangement among Applicants with the objective of iestiicting oi manipulating a
full anu faii competition in the Biuuing Piocess.


UPEIDA 37
5. PRE-APPLICATION CONFERENCE

S.1 Pie-Application confeience of the inteiesteu paities shall be conveneu at the uesignateu
uate, time anu place. 0nly those peisons who have puichaseu the RFQ uocument shall be
alloweu to paiticipate in the Pie-Application Confeiences. Applicants who have
uownloaueu the RFQ uocument fiom the Authoiity's website |www.upeiua.inj shoulu
submit a Bemanu Biaft of Rs. 1,Su,uuu (Rs. 0ne Lakh Fifty Thousanu only) towaius the cost
of uocument, thiough theii iepiesentative attenuing the confeience. A maximum of two
iepiesentatives of each Applicant shall be alloweu to paiticipate on piouuction of
authoiity lettei fiom the Applicant.

S.2 Buiing the couise of Pie-Application confeience, the Applicants will be fiee to seek
claiifications anu make suggestions foi consiueiation of the Authoiity. The Authoiity shall
enueavoui to pioviue claiifications anu such fuithei infoimation as it may, in its sole
uiscietion, consiuei appiopiiate foi facilitating a faii, tianspaient anu competitive Biuuing
Piocess.

S.S The Biuuei is auviseu, as fai as possible, to submit the queiies in wiiting oi by fax oi email
anu the same shoulu be sent to the Authoiity on oi befoie the specifieu uate in scheuule of
biuuing piocess in clause 1.S of this RFQ.


UPEIDA 38

6. MISCELLANEOUS

6.1. The Biuuing Piocess shall be goveineu by, anu constiueu in accoiuance with, the laws of
Inuia anu the Couits at Lucknow shall have exclusive juiisuiction ovei all uisputes aiising
unuei, puisuant to anu oi in connection with the Biuuing Piocess.

6.2 The Authoiity, in its sole uiscietion anu without incuiiing any obligation oi liability,
ieseives the iight, at any time, to;

a. suspenu anu oi cancel the Biuuing Piocess anu oi amenu anu oi
supplement the Biuuing Piocess oi mouify the uates oi othei teims anu conuitions
ielating theieto;

b. consult with any Applicant in oiuei to ieceive claiification oi fuithei infoimation;

c. pie-qualify oi not to pie-qualify any Applicant anu oi to consult with any Applicant
in oiuei to ieceive claiification oi fuithei infoimation;

u. ietain any infoimation anu oi eviuence submitteu to the Authoiity by, on behalf of,
anu oi in ielation to any Applicant; anu oi

e. inuepenuently veiify, uisqualify, ieject anu oi accept any anu all
submissions oi othei infoimation anu oi eviuence submitteu by oi on behalf of any
Applicant.

6.S It shall be ueemeu that by submitting the Application, the Applicant agiees anu ieleases the
Authoiity, its employees, agents anu auviseis, iiievocably, unconuitionally, fully anu finally
fiom any anu all liability foi claims, losses, uamages, costs, expenses oi liabilities in any way
ielateu to oi aiising fiom the exeicise of any iights anu oi peifoimance of any obligations
heieunuei anu the Biuuing Bocuments, puisuant heieto, anu oi in connection with the
Biuuing Piocess, to the fullest extent peimitteu by applicable law, anu waives any anu all
iights anu oi claims it may have in this iespect, whethei actual oi contingent, whethei
piesent oi in futuie.


UPEIDA 39
APPENDIX I: LETTER COMPRISING THE APPLICATION FOR PRE-QUALIFICATION
(Refei Clause 2.1S.2)

Bateu:

Manager (Technical)
UPEIDA
C-1S, 2
nu
Flooi, Paiyatan Bhawan
Lucknow - 226u1u
Phone: +91 S22 2Su1 492
Fax: +91 S22 2Su1 142

Sub: Application for pre-qualification of Development of Kannauj (Village Narmau) to
Unnao (Village Neval) Access Controlled Expressway (Green Field) Project, Uttar
Pradesh

Beai Sii,

With iefeience to youi RFQ uocument uateu .....
7
, we, having examineu the RFQ uocument anu
unueistoou its contents, heieby submit oui Application foi Qualification foi the afoiesaiu pioject.
The Application is unconuitional anu unqualifieu.

2. We acknowleuge that the Authoiity will be ielying on the infoimation pioviueu in the
Application anu the uocuments accompanying such Application foi pie-qualification of the
Applicants foi the afoiesaiu pioject, anu we ceitify that all infoimation pioviueu in the Application
anu in Annexes I to Iv is tiue anu coiiect; nothing has been omitteu which ienueis such
infoimation misleauing; anu all uocuments accompanying such Application aie tiue copies of theii
iespective oiiginals.

S. This statement is maue foi the expiess puipose of qualifying as a Biuuei foi the uevelopment,
constiuction, iehabilitation anu augmentation of the afoiesaiu Pioject anu maintenance of the
Pioject uuiing the Befect Liability Peiiou.

4. We shall make available to the Authoiity any auuitional infoimation it may finu necessaiy oi
iequiie to supplement oi authenticate the Qualification statement.

S. We acknowleuge the iight of the Authoiity to ieject oui Application without assigning any
ieason oi otheiwise anu heieby waive, to the fullest extent peimitteu by applicable law, oui iight to
challenge the same on any account whatsoevei.

7
All blank spaces shall be suitably filleu up by the Applicant to ieflect the paiticulais ielating to such
Applicant.

UPEIDA 40

6. We ceitify that in the last thiee yeais, we any of the }oint ventuie Nembeis have neithei
faileu to peifoim on any contiact, as eviuenceu by imposition of a penalty by an aibitial oi juuicial
authoiity oi a juuicial pionouncement oi aibitiation awaiu, noi been expelleu fiom any pioject oi
contiact by any public authoiity noi have hau any contiact teiminateu by any public authoiity foi
bieach on oui pait.

7. We ueclaie that:

a. We have examineu anu have no ieseivations to the RFQ uocument, incluuing
any Auuenuum issueu by the Authoiity.

b. We uo not have any conflict of inteiest in accoiuance with Clauses 2.2.1(c) anu
2.2.1(u) of the RFQ uocument; anu

c. We have not uiiectly oi inuiiectly oi thiough an agent engageu oi inuulgeu in
any coiiupt piactice, fiauuulent piactice, coeicive piactice, unuesiiable piactice oi
iestiictive piactice, as uefineu in Clause 4.S of the RFQ uocument, in iespect of any
tenuei oi iequest foi pioposal issueu by oi any agieement enteieu into with the
Authoiity oi any othei public sectoi enteipiise oi any goveinment, Cential oi State;
anu

u. We heieby ceitify that we have taken steps to ensuie that in confoimity with the
piovisions of Section 4 of the RFQ uocument, no peison acting foi us oi on oui
behalf has engageu oi will engage in any coiiupt piactice, fiauuulent piactice,
coeicive piactice, unuesiiable piactice oi iestiictive piactice.

8. We unueistanu that you may cancel the Biuuing Piocess at any time anu that you aie neithei
bounu to accept any Application that you may ieceive noi to invite the Applicants to Biu foi the
Pioject, without incuiiing any liability to the Applicants, in accoiuance with Clause 2.17.6 of the
RFQ uocument.

9. We believe that we oui }oint ventuie pioposeu }oint ventuie satisfy(ies) the Net Woith
ciiteiia anu meet(s) all the iequiiements as specifieu in the RFQ uocument anu aie qualifieu to
submit a Biu.

1u. We ueclaie that we any Nembei of the }oint ventuie aie not a Nembei of a any othei }oint
ventuie applying foi pie-qualification.

11. We ceitify that in iegaiu to matteis othei than secuiity anu integiity of the countiy, we any
Nembei of the }oint ventuie have not been convicteu by a Couit of Law oi inuicteu oi auveise
oiueis passeu by a iegulatoiy authoiity which coulu cast a uoubt on oui ability to unueitake the
Pioject oi which ielates to a giave offence that outiages the moial sense of the community.

UPEIDA 41

12. We fuithei ceitify that in iegaiu to matteis ielating to secuiity anu integiity of the countiy,
we any Nembei of the }oint ventuie have not been chaige-sheeteu by any agency of the
uoveinment oi convicteu by a Couit of Law.

1S. We fuithei ceitify that no investigation by a iegulatoiy authoiity is penuing eithei against
us any Nembei of the }oint ventuie oi against oui CE0 oi any of oui uiiectois manageis
employees.

14. We fuithei ceitify that we aie qualifieu to submit a Biu in accoiuance with the guiuelines foi
qualification of biuueis seeking to acquiie stakes in Public Sectoi Enteipiises thiough the piocess
of uisinvestment issueu by the u0I viue Bepaitment of Bisinvestment 0N No. 642uu1-BB-II
uateu 1Sth }uly, 2uu1 which guiuelines apply mutatis mutanuis to the Biuuing Piocess. A copy of
the afoiesaiu guiuelines foim pait of the RFQ at Appenuix-v theieof.

1S. We unueitake that in case uue to any change in facts oi ciicumstances uuiing the Biuuing
Piocess, we aie attiacteu by the piovisions of uisqualification in teims of the piovisions of this RFQ,
we shall intimate the Authoiity of the same immeuiately.

16. The Statement of Legal Capacity as pei foimat pioviueu at Annex-v in Appenuix-I of the
RFQ uocument, anu uuly signeu, is encloseu. The powei of attoiney foi signing of application anu
the powei of attoiney foi Leau Nembei of }oint ventuie, as pei foimat pioviueu at Appenuix II anu
III iespectively of the RFQ, aie also encloseu.

17. We heieby iiievocably waive any iight oi iemeuy which we may have at any stage at law oi
howsoevei otheiwise aiising to challenge oi question any uecision taken by the Authoiity in
connection with the selection of Applicants, selection of the Biuuei, oi in connection with the
selection Biuuing Piocess itself, in iespect of the above mentioneu Pioject anu the teims anu
implementation theieof.

18. We agiee anu unueitake to abiue by all the teims anu conuitions of the RFQ uocument.

19. We ceitify that in teims of the RFQ, oui Netwoith is Rs. ........ (Rs. in woius) anu
Expeiience Scoie is .......... (numbei in woius).

{2u. We agiee anu unueitake to be jointly anu seveially liable foi all the obligations of the
Contiactoi unuei the EPC Contiact.}
8

In witness theieof, we submit this application unuei anu in accoiuance with the teims of the RFQ
uocument.
Youis faithfully,

8
0mit if the Applicant is not a }oint ventuie.

UPEIDA 42

Bate: (Signatuie, name anu uesignation of the Authoiiseu Signatoiy)

Place: Name anu seal of the Biuuei Leau Nembei


UPEIDA 43
Appendix I
Annex-I
ANNEX-I
Details of Applicant

1. (a) Name:
(b) Countiy of incoipoiation:
(c) Auuiess of the coipoiate heauquaiteis anu its bianch office(s), if any, in Inuia:
(u) Bate of incoipoiation anu oi commencement of business:

2. Biief uesciiption of the Company incluuing uetails of its main lines of business anu
pioposeu iole anu iesponsibilities in this Pioject:

S. Betails of inuiviuual(s) who will seive as the point of contact communication foi the
Authoiity:
(a) Name:
(b) Besignation:
(c) Company:
(u) Auuiess:
(e) Telephone Numbei:
(f) E-Nail Auuiess:
(g) Fax Numbei:

4. Paiticulais of the Authoiiseu Signatoiy of the Applicant:

(a) Name:
(b) Besignation:
(c) Auuiess:
(u) Phone Numbei:
(e) Fax Numbei:

S. In case of a }oint ventuie:
a. The infoimation above (1-4) shoulu be pioviueu foi all the Nembeis of the }oint
ventuie.
b. A copy of the }t. Biuuing Agieement, as envisageu in Clause 2.2.6(g) shoulu be
attacheu to the Biu.
c. Infoimation iegaiuing the iole of each Nembei shoulu be pioviueu as pei table
below:


UPEIDA 44
Sl.
No.
Name of Member Role*
{Refei Clause
2.2.6(u)}
$

Share of Work in the
Project{Refei Clauses 2.2.6(a),
(f) & (h)}
1.
2.
S.
* The iole of each Nembei, as may be ueteimineu by the Applicant, shoulu be inuicateu in
accoiuance with instiuction 4 at Annex-Iv.

(u) The following infoimation shall also be pioviueu foi each Nembei of the }oint ventuie:
Name of Applicant/ member of Joint Venture:
No
.
Criteria Yes No
1. Bas the Applicant constituent of the }oint ventuie
been baiieu by the |Cential Statej uoveinment, oi
any entity contiolleu by it, fiom paiticipating in any
pioject (B0T, EPC oi otheiwise).

2. If the answei to 1 is yes, uoes the bai subsist as on the
uate of Biu.

S. Bas the Biuuei constituent of the }oint ventuie paiu
liquiuateu uamages of moie than S% of the contiact
value in a contiact uue to uelay oi has been penaliseu
uue to any othei ieason in ielation to execution of a
contiact, in the last thiee yeais.

6. A statement by the Applicant anu each of the Nembeis of its }oint ventuie (wheie
applicable) uisclosing mateiial non-peifoimance oi contiactual noncompliance in past piojects,
contiactual uisputes anu litigation aibitiation in the iecent past is given below (Attach extia
sheets, if necessaiy):

$
All provisions contained in curly parenthesis shall be suitably modified by the Bidder to reflect the
particulars relating to such Bidder.

UPEIDA 45
Appendix I
Annex-II

ANNEX-II
Technical Capacity of the Applicant
@

(Refer to Clauses 2.2.2(A), 2.3, 3.2 and 3.3 of the RFQ)

Applicant
type
Project
Code*
Category
$
Experience**
(Equivalent Rs. Crore)
$$

Experienc
e Score

Payments
ieceiveu
foi
constiuctio
n of Eligible
Piojects in
Categoiies
S anu 4
value of
self-
constiuctio
n in Eligible
Piojects in
Categoiies
1 anu 2
(1) (2) (S) (4) (S) (6)
Single
entity
Biuuei oi
Leau
Nembei
incluuing
othei
membeis of
the }oint
ventuie
a
b
c
u
e
f
Aggregate Experience Score=

@
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 3.2.3(b). In case of Categories 1 and 2, include only those
projects which have an estimated capital cost exceeding the amount specified in Clause 3.2.3(c) and
for Categories 3 and 4, include only those projects where the payments received exceed the amount
specified in Clause 3.2.4. In case the Application Due Date falls within 3 (three) months of the close of
the latest financial year, refer to Clause 2.2.12.

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

$
Refer Clause 3.2.1.

UPEIDA 46

** 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 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 60 (sixty) to a US
Dollar. In case of any other currency, the same shall first be converted to US Dollars as on the date 60
(sixty) days prior to the Bid Due Date, and the amount so derived in US Dollars shall be converted into
Rupees at the aforesaid rate. The conversion rate of such currencies shall be the daily representative
exchange rates published by the International Monetary Fund for the relevant date.

Divide the amount in the Experience column by one crore and then multiply the result thereof by the
applicable factor set out in Table 3.2.6 to arrive at the Experience Score for each Eligible Project. 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 3.2.7, 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 30
percent or more of the Threshold Technical Capacity. Such information may be provided as
Annex-IIA, Annex-IIB, Annex-IVA and Annex- IVB respectively. (Refer Clause 2.2.3).


UPEIDA 47
Appendix I
Annex-III

ANNEX-III
Financial Capacity of the Applicant
(Refer to Clauses 2.2.2(B), 2.2.4 (ii) and 3.4 of the RFQ)
(In Rs. crore
$$
)
Applicant
type
Net Cash Accruals Net
Wort

(1)

Year 1 Year
2
Year 3 Year 4 Year
5
Year 1
(2) (S) (4) (S) (6) (7)
Single entity
Applicant oi
Leau Nembei
incluuing
othei
membeis of
the }oint
ventuie

Total

Name & address of Applicants Bankers:

The Applicant shoulu pioviue uetails of its own Financial Capability.

$$
Foi conveision of othei cuiiencies into iupees, see note below Annex-II of Appenuix-I.

Instructions:
1. The Applicant shall attach copies of the balance sheets, financial statements anu Annual
Repoits foi S (five) yeais pieceuing the Application Bue Bate. The financial statements
shall:

(a) ieflect the financial situation of the Applicant;
(b) be auuiteu by a statutoiy auuitoi;
(c) be complete, incluuing all notes to the financial statements; anu
(u) coiiesponu to accounting peiious alieauy completeu anu auuiteu (no statements foi
paitial peiious shall be iequesteu oi accepteu).

2. Net Cash Acciuals shall mean Piofit Aftei Tax + Bepieciation.

S. Net Woith shall mean (Subsciibeu anu Paiu-up Equity + Reseives) less (Revaluation
ieseives + miscellaneous expenuituie not wiitten off + ieseives not available foi
uistiibution to equity shaieholueis).

UPEIDA 48

4. Yeai 1 will be the latest completeu financial yeai, pieceuing the biuuing. Yeai 2 shall be the
yeai immeuiately pieceuing Yeai 1 anu so on. In case the Application Bue Bate falls within S
(thiee) months of the close of the latest financial yeai, iefei to Clause 2.2.12.

S. In the case of a }oint ventuie, a copy of the }t. Biuuing Agieement shall be submitteu in
accoiuance with Clause 2.2.6 (g) of the RFQ uocument.

6. The Applicant shall also pioviue the name anu auuiess of the Bankeis to the Applicant.

7. The Applicant shall pioviue an Auuitoi's Ceitificate specifying the net woith of the
Applicant anu also specifying the methouology auopteu foi calculating such net woith in
accoiuance with Clause 2.2.4 (ii) of the RFQ uocument.


UPEIDA 49

Appendix I
Annex-IV

ANNEX-Iv:
Details of Eligible Projects
(Refei to Clauses 2.2.2(A), S.2 anu S.S of the RFQ)

Pioject Coue: Entity: SelfNembeis

Item

(1)
Refer
Instruction
(2)
Particulars of the Project

(S)
Title & natuie of the pioject
Categoiy S
Yeai-wise (a) payments
ieceiveu foi constiuction, anuoi
(b) ievenues appiopiiateu foi self
constiuction unuei PPP piojects
6
Entity foi which the pioject was
constiucteu
7
Location
Pioject cost 8
Bate of commencement of
pioject contiact

Bate of completion
commissioning
9
Equity shaieholuing
(with peiiou uuiing which equity
was helu)
1u

Instructions:

1. Applicants aie expecteu to pioviue infoimation in iespect of each Eligible Piojects in this
Annex. The piojects citeu must comply with the eligibility ciiteiia specifieu in Clause S.2.S
anu S.2.4 of the RFQ, as the case may be. Infoimation pioviueu in this section is intenueu to
seive as a back up foi infoimation pioviueu in the Application. Applicants shoulu also iefei
to the Instiuctions below.

2. The Pioject Coues woulu be a, b, c, u etc.

S. A sepaiate sheet shoulu be filleu foi each Eligible Pioject.


UPEIDA 50
4. In case the Eligible Pioject ielates to othei Nembeis, wiite "Nembei".

S. Refei to Clause S.2.1 of the RFQ foi categoiy numbei.

6. The total payments ieceiveu anuoi ievenues appiopiiateu foi self constiuction foi each
Eligible Pioject aie to be stateu in Annex-II of this Appenuix-I. The figuies to be pioviueu
heie shoulu inuicate the bieak-up foi the past S (five) financial yeais. Yeai 1 iefeis to the
financial yeai immeuiately pieceuing the Application Bue Bate; Yeai 2 iefeis to the yeai
befoie Yeai 1, Yeai S iefeis to the yeai befoie Yeai 2, anu so on (Refei Clause 2.2.12). Foi
Categoiies 1 anu 2, expenuituie on constiuction of the pioject by the Applicant itself shoulu
be pioviueu, but only in iespect of piojects having an estimateu capital cost exceeuing the
amount specifieu in Clause S.2.S(c). In case of Categoiies S anu 4, payments ieceiveu only in
iespect of constiuction shoulu be pioviueu, but only if the amount ieceiveu exceeus the
minimum specifieu in Clause S.2.4. Receipts foi constiuction woiks shoulu only incluue
capital expenuituie, anu shoulu not incluue expenuituie on maintenance & iepaii anu
opeiation of Bighways.

7. In case of piojects in Categoiies 1 anu 2, paiticulais such as name, auuiess anu contact
uetails of ownei Authoiity Agency (i.e. concession giantoi, countei paity to concession,
etc.) may be pioviueu. In case of piojects in Categoiies S anu 4, similai paiticulais of the
client neeu to be pioviueu.

8. Pioviue the estimateu capital cost of Eligible Pioject. Refei to Clauses S.2.S anu S.2.4

9. Foi Categoiies 1 anu 2, the uate of commissioning of the pioject, upon completion, shoulu
be inuicateu. In case of Categoiies S anu 4, uate of completion of constiuction shoulu be
inuicateu. In the case of piojects unuei constiuction, the likely uate of completion oi
commissioning, as the case may be, shall be inuicateu.

1u. Foi Categoiies 1 anu 2, the equity shaieholuing of the Applicant, in the company owning
the Eligible Pioject, helu continuously uuiing the peiiou foi which Eligible Expeiience is
claimeu, neeus to be given (Refei Clause S.2.S).

11. Expeiience foi any activity ielating to an Eligible Pioject shall not be claimeu twice. In othei
woius, no uouble counting in iespect of the same expeiience shall be peimitteu in any
mannei whatsoevei.

12. Ceitificate fiom the Applicant's statutoiy auuitoi
9
oi its iespective clients must be fuinisheu
as pei foimats below foi each Eligible Pioject. In juiisuictions that uo not have statutoiy
auuitois, the auuitois who auuit the annual accounts of the Applicant may pioviue the
iequisite ceitification.

9
In case uuly ceitifieu auuiteu annual financial statements containing the iequisite uetails aie pioviueu, a
sepaiate ceitification by statutoiy auuitois woulu not be necessaiy.

UPEIDA 51

1S. If the Applicant is claiming expeiience unuei Categoiies 1 & 2
1u
, it shoulu pioviue a
ceitificate fiom its statutoiy auuitoi in the foimat below:

Certificate from the Statutory Auditor regarding PPP projects
11

Baseu on its books of accounts anu othei publisheu infoimation authenticateu by it, this is to ceitify
that .......... (name of the Applicant) is was an equity shaieholuei in ........ (title of
the project company) anu holus helu Rs. ... ci. (Rupees ............ cioie) of equity
(which constitutes ....%
12
of the total paiu up anu subsciibeu equity capital) of the pioject
company fiom ....... (date) to ....... (date)
1S
The pioject wasis commenceu on ....
(date) anu likely to be commissioneu on ......... (date of commissioning of the project).

We fuithei ceitify that the total estimateu capital cost of the pioject is Rs. ... ci. (Rupees
.......cioie), of which the applicant has itself unueitaken the constiuction of pioject of Rs.
...(Rupees .... Cioies) excluuing any pait of the pioject foi which any contiactoi, sub-
contiactoi oi othei agent was appointeu foi the puipose of constiuction as pei Clause S.2.S(u) by
the afoiesaiu Applicant itself, uuiing the past five financial yeais as pei yeai-wise uetails noteu
below:
.........
.........

Name of the auuit fiim:
Seal of the auuit fiim: (Signatuie, name anu uesignation
Bate: of the authoiiseu signatoiy)

14. If the Applicant is claiming expeiience unuei Categoiy S & 4
14
, it shoulu pioviue a
ceitificate fiom its statutoiy auuitois oi the client in the foimat below:

1u
Refei Clause S.2.1 of the RFQ.
11
Pioviue Ceitificate as pei this foimat only. Attach Explanatoiy Notes to the Ceitificate, if necessaiy.
Statutoiy auuitoi means the entity that auuits anu ceitifies the annual accounts of the company.
12
Refei instiuction no. 1u in this Annex-Iv.
1S
In case the pioject is owneu by the Applicant company, this language may be suitably mouifieu to ieau: "It
is ceitifieu that ....... (name of Applicant) constiucteu anu oi owneu the ...... (name of pioject) fiom
........ (uate) to ....... (uate)."
14
Refei Clauses S.2.1 anu S.2.4 of the RFQ.

UPEIDA 52

Certificate from the Statutory Auditor/ Client regarding construction works
15

Baseu on its books of accounts anu othei publisheu infoimation authenticateu by it, {this is to
ceitify that .......... (name of the Applicant) was engageu by ........ (title of the project
company) to execute ...... (name of project) foi ........ (nature of project)}. The
constiuction of the pioject commenceu on ...... (date) anu the pioject was is likely to be
commissioneu on ..... (date, if any). It is ceitifieu that Applicant ieceiveu payments fiom its
Clients foi Constiuction Woiks executeu by them, in the afoiesaiu constiuction woiks.

We fuithei ceitify that the total estimateu capital cost of the pioject is Rs. .. ci. (Rupees
.......cioie), of which the Applicant ieceiveu Rs. ... ci. (Rupees ......... cioie), in
teims of Clauses S.2.1 anu S.2.4 of the RFQ, uuiing the past five financial yeais as pei yeai-wise
uetails noteu below:
.........
.........
It is fuithei ceitifieu that the ieceipts inuicateu above aie iestiicteu to the shaie of the Applicant
who unueitook these woiks as a paitnei oi a membei of joint ventuieconsoitium.
16

We fuithei ceitify that applicant has a shaie of % in the }oint ventuieConsoitium.

Name of the auuit fiim:
Seal of the auuit fiim: (Signatuie, name anu uesignation of the
Bate: authoiiseu signatoiy).

1S. It may be noteu that in the absence of any uetail in the above ceitificates, the infoimation
woulu be consiueieu inauequate anu coulu leau to exclusion of the ielevant pioject in
computation of Expeiience Scoie
17
.

1S
Pioviue Ceitificate as pei this foimat only. Attach Explanatoiy Notes to the Ceitificate, if necessaiy.
Statutoiy auuitoi means the entity that auuits anu ceitifies the annual accounts of the company.
16
This ceitification shoulu be stiike out in case of jobs contiacts, which aie executeu a sole fiim. The
payments inuicateu in the ceitificate shoulu be iestiicteu to the shaie of Applicant in such paitneiship joint
ventuie. This poition may be omitteu if the contiact uiu not involve a paitneiship joint ventuie. In case
wheie woik is not executeu by paitneiship joint ventuie, this paiagiaph may be ueleteu.
17
Refei Clause S.2.6 of the RFQ.

UPEIDA 53

Appendix I
Annex-V

ANNEX-v
Statement of Legal Capacity
(To be forwarded on the letterhead of the Applicant/ Lead Member of Joint Venture)

Ref. Bate:

To,
***********
***********

Beai Sii,
We heieby confiim that we oui membeis in the }oint ventuie (constitution of which has been
uesciibeu in the application) satisfy the teims anu conuitions laiu out in the RFQ uocument.

We have agieeu that ........ (inseit membei's name) will act as the Leau Nembei of oui
}oint ventuie.*

We have agieeu that ......... (inseit inuiviuual's name) will act as oui iepiesentative will act
as the iepiesentative of the }oint ventuie on its behalf* anu has been uuly authoiizeu to submit the
RFQ. Fuithei, the authoiiseu signatoiy is vesteu with iequisite poweis to fuinish such lettei anu
authenticate the same.

Thanking you,

Youis faithfully,

(Signatuie, name anu uesignation of the authoiiseu signatoiy)

Foi anu on behalf of.............

*Please strike out whichever is not applicable.


UPEIDA 54
Appendix I
Annex VI
Information required to evaluate the BID Capacity under clause 2.2.1 (e):
To calculate the value of "A"

1. A table containing value of Civil Engineeiing Woiks in iespect to EPC Piojects (incluues
tuinkey piojectitem iate contiactconstiuction woiks) unueitaken by the Applicant
uuiing the last S yeais is as follows:

Sl. No. Yeai value of Civil Engg. Woiks
unueitaken w.i.t. EPC Piojects
(Rs. In Cioies)
1 2u12-1S
2 2u11-12
S 2u1u-11
4 2uu9-1u
S 2uu8-u9

2. Naximum value of piojects that have been unueitaken uuiing the F.Y. ________ out of the last
S yeais anu value theieof is Rs._____Cioies (Rupees__________________________). Fuithei, value
upuateu to the piice level of the yeai inuicateu in Appenuix vI is as follows:

Rs. ______ Cioies x _____ (Updation Factor as per Appendix VI) = Rs. _______ Cioies
(Rupees______________________________________)

..........

..........

Signatuie, name anu uesignation of
Authoiiseu Signatoiy

Foi anu on behalf of ......(Name
of the Applicant)
..........

...........

Name of the Statutoiy Auuitoi's fiim:
Seal of the auuit fiim: (Signatuie, name anu
uesignation anu Nembeiship No. of
authoiiseu signatoiy)


UPEIDA 55
To calculate the value of "B"

A table containing value of all the existing commitments anu on-going woikings to be completeu
uuiing the next 3 yeais is as follows:

S No. Name of
Pioject
Woik
Peicentage
of
paiticipation
of Applicant
in the
pioject
Stipulateu
peiiou of
completion
as pei
Agieement
L0A
value of
Contiact as
pei
Agieement
L0A
(Rs. In
Crore)
value of
woik
Completeu
(Rs. In
Crore)
Balance
value of
woik to be
completeu
(Rs. In
Crore)
Anticipateu
uate of
completion
Balance
value of
woik at
2u12-1S
piice
level
1 2 S 4 S 6 7 8 S X 7 X #

# 0puation Factoi as given below:

Foi
Yeai
F.Y. Calenuai
Yeai
0puation
Factoi
1 2u12-1S 2u12 1.uu
2 2u11-12 2u11 1.uS
S 2u1u-11 2u1u 1.1u
4 2uu9-1u 2uu9 1.1S
S 2uu8-u9 2uu8 1.2u

The Statement showing the value of all existing commitments anu ongoing woiks as well as the
stipulateu peiiou of completion iemaining foi each of the woiks mentioneu above is veiifieu fiom
the ceitificate issueu that has been counteisigneu by the Client oi its Engineei-in-chaige not below
the iank of Executive Engineei oi equivalent oi shoulu be ceitifieu by the Statutoiy Auuitoi of the
Applicant in iespect of EPC Piojects oi Concessionaiie Authoiiseu Signatoiy of SPv in iespect of
B0T Piojects.

..........

..........


of the Applicant)
..........

...........


Bate:
Place

UPEIDA 56
Appendix I
Annex VII
Statement of Undertaking Regarding Corporate Debt Restructuring (CDR) during the past
five years, clause 2.2.2 B

Manager (Technical) Bateu:
UPEIDA
C-1S, 2
nu
Flooi, Paiyatan Bhawan
Lucknow - 226u1u
Phone: +91 S22 2Su1 492
Fax: +91 S22 2Su1 142

Sub: Application for pre-qualification of Development of Kannauj to Unnao Access
Controlled Expressway (Green Field) Project, Uttar Pradesh

Beai Sii,

We heieby confiim that we any membeis in the }v (constitution of which has been uesciibeu in
the application) have not unueigone CBR uuiing the last five yeais pieceuing the Application Bue
Bate.

We also confiim that we any membei in the }v is not unueitaking CBR as on Application Bue Bate.

Thanking you,

..........

..........


of the Applicant)
..........

...........


Note: This undertaking is to be signed by the Applicant / Lead Member of the JV and is to be
countersigned by the Statutory Auditor.

UPEIDA 57
APPENDIX II: FORMAT FOR POWER OF ATTORNEY FOR SIGNING OF BID
(Refei Clause 2.2.S)

Know all men by these piesents, We................... (name of the fiim anu auuiess
of the iegisteieu office) uo heieby iiievocably constitute, nominate, appoint anu authoiise Ni Ns
(name), ........ sonuaughteiwife of ............ anu piesently iesiuing at
........, who is piesently employeu with us the Leau Nembei of oui }oint ventuie anu
holuing the position of ............ , as oui tiue anu lawful attoiney (heieinaftei iefeiieu to
as the "Attoiney") to uo in oui name anu on oui behalf, all such acts, ueeus anu things as aie
necessaiy oi iequiieu in connection with oi inciuental to submission of oui application foi the
Bevelopment of Kannauj (village Naimau) to 0nnao (village Neval) Access Contiolleu Expiessway
(uieen Fielu) Pioject, 0ttai Piauesh pioposeu by the 0ttai Piauesh Expiessways Inuustiial
Bevelopment Authoiity (the "Authoiity") incluuing but not limiteu to signing anu submission of all
applications, bius anu othei uocuments anu wiitings, paiticipate in Pie-Applications anu othei
confeiences anu pioviuing infoimation iesponses to the Authoiity, iepiesenting us in all matteis
befoie the Authoiity, signing anu execution of all contiacts incluuing the EPC Contiact anu
unueitakings consequent to acceptance of oui biu, anu geneially uealing with the Authoiity in all
matteis in connection with oi ielating to oi aiising out of oui biu foi the saiu Pioject anu oi upon
awaiu theieof to us anuoi till the enteiing into of the EPC Contiact with the Authoiity.

ANB we heieby agiee to iatify anu confiim anu uo heieby iatify anu confiim all acts, ueeus anu
things uone oi causeu to be uone by oui saiu Attoiney puisuant to anu in exeicise of the poweis
confeiieu by this Powei of Attoiney anu that all acts, ueeus anu things uone by oui saiu Attoiney in
exeicise of the poweis heieby confeiieu shall anu shall always be ueemeu to have been uone by us.

IN WITNESS WBERE0F WE, ..........., TBE AB0vE NANEB PRINCIPAL BAvE EXEC0TEB
TBIS P0WER 0F ATT0RNEY 0N TBIS ... BAY 0F ..... 2...

Foi ............

(Signatuie, name, uesignation anu auuiess)

Witnesses:

1.
(Notaiiseu)
2.

Accepteu

...........
(Signatuie)

UPEIDA 58

(Name, Title anu Auuiess of the Attoiney)

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 Applicant should submit for verification the extract of the charter
documents and documents such as a board or shareholders resolution/ power of attorney in
favour of the person executing this Power of Attorney for the delegation of power hereunder on
behalf of the Applicant.

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


UPEIDA 59
APPENDIX III: FORMAT FOR POWER OF ATTORNEY FOR LEAD MEMBER OF JOINT VENTURE
(Refer Clause 2.2.5)

Wheieas the 0ttai Piauesh Expiessways Inuustiial Bevelopment Authoiity ("the Authoiity") has
inviteu applications fiom inteiesteu paities foi the Bevelopment of Kannauj (village Naimau) to
0nnao (village Neval) Access Contiolleu Expiessway (uieen Fielu) Pioject (the "Pioject").

Wheieas, .........., .........., .......... anu .......... (collectively the "}oint
ventuie") being Nembeis of the }oint ventuie aie inteiesteu in biuuing foi the Pioject in
accoiuance with the teims anu conuitions of the Request foi Qualification (RFQ), Request foi
Pioposal (RFP) anu othei connecteu uocuments in iespect of the Pioject, anu

Wheieas, it is necessaiy foi the Nembeis of the }oint ventuie to uesignate one of them as the Leau
Nembei with all necessaiy powei anu authoiity to uo foi anu on behalf of the }oint ventuie, all acts,
ueeus anu things as may be necessaiy in connection with the }oint ventuie's biu foi the Pioject anu
its execution.

N0W TBEREF0RE KN0W ALL NEN BY TBESE PRESENTS

We, .......... having oui iegisteieu office at .........., Ns. .......... having oui
iegisteieu office at .........., Ns. .......... having oui iegisteieu office at
.........., anu .......... having oui iegisteieu office at .........., (heieinaftei
collectively iefeiieu to as the "Piincipals") uo heieby iiievocably uesignate, nominate, constitute,
appoint anu authoiise Ns .......... having its iegisteieu office at .........., being one
of the Nembeis of the }oint ventuie, as the Leau Nembei anu tiue anu lawful attoiney of the }oint
ventuie (heieinaftei iefeiieu to as the "Attoiney"). We heieby iiievocably authoiise the Attoiney
(with powei to sub-uelegate) to conuuct all business foi anu on behalf of the }oint ventuie anu any
one of us uuiing the biuuing piocess anu, in the event the }oint ventuie is awaiueu the contiact,
uuiing the execution of the Pioject anu in this iegaiu, to uo on oui behalf anu on behalf of the }oint
ventuie, all oi any of such acts, ueeus oi things as aie necessaiy oi iequiieu oi inciuental to the
qualification of the }oint ventuie anu submission of its biu foi the Pioject, incluuing but not limiteu
to signing anu submission of all applications, bius anu othei uocuments anu wiitings, paiticipate in
biuueis anu othei confeiences, iesponu to queiies, submit infoimation uocuments, sign anu
execute contiacts anu unueitakings consequent to acceptance of the biu of the }oint ventuie anu
geneially to iepiesent the }oint ventuie in all its uealings with the Authoiity, anu oi any othei
uoveinment Agency oi any peison, in all matteis in connection with oi ielating to oi aiising out of
the }oint ventuie's biu foi the Pioject anu oi upon awaiu theieof till the EPC Contiact is enteieu
into with the Authoiity.

ANB heieby agiee to iatify anu confiim anu uo heieby iatify anu confiim all acts, ueeus anu things
uone oi causeu to be uone by oui saiu Attoiney puisuant to anu in exeicise of the poweis confeiieu
by this Powei of Attoiney anu that all acts, ueeus anu things uone by oui saiu Attoiney in exeicise

UPEIDA 60
of the poweis heieby confeiieu shall anu shall always be ueemeu to have been uone by us }oint
ventuie.

IN WITNESS WBERE0F WE TBE PRINCIPALS AB0vE NANEB BAvE EXEC0TEB TBIS P0WER 0F
ATT0RNEY 0N TBIS ........ BAY 0F .... 2...

Foi ..........

(Signatuie)
..........
(Name & Title)

Foi ..........

(Signatuie)

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

Foi ..........

(Signatuie)

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

Witnesses:

1.

2.

...............

(Executants)

(To be executeu by all the Nembeis of the }oint ventuie)


UPEIDA 61
Notes:
The moue of execution of the Powei of Attoiney shoulu be in accoiuance with the pioceuuie, if
any, laiu uown by the applicable law anu the chaitei uocuments of the executant(s) anu when it
is so iequiieu, the same shoulu be unuei common seal affixeu in accoiuance with the iequiieu
pioceuuie.
Also, wheievei iequiieu, the Applicant shoulu submit foi veiification the extiact of the chaitei
uocuments anu uocuments such as a boaiu oi shaieholueis' iesolution powei of attoiney in
favoui of the peison executing this Powei of Attoiney foi the uelegation of powei heieunuei on
behalf of the Applicant.
Foi a Powei of Attoiney executeu anu issueu oveiseas, the uocument will also have to be
legaliseu by the Inuian Embassy anu notaiiseu in the juiisuiction wheie the Powei of Attoiney
is being issueu. Bowevei, the Powei of Attoiney pioviueu by Applicants fiom countiies that
have signeu the Bague Legislation Convention 1961 aie not iequiieu to be legaliseu by the
Inuian Embassy if it caiiies a confoiming Appostille ceitificate.


UPEIDA 62
APPENDIX IV: FORMAT FOR JOINT BIDDING AGREEMENT FOR JOINT VENTURE
(Refei Clause 2.1S.2)

(To be executeu on Stamp papei of appiopiiate value)

TBIS }0INT BIBBINu AuREENENT is enteieu into on this the .... uay of .... 2u.

AN0NuST

1. {.... Limiteu} having its iegisteieu office at .... (heieinaftei iefeiieu to as the "Fiist
Pait" which expiession shall, unless iepugnant to the context incluue its successois anu
peimitteu assigns)

ANB

2. {.... Limiteu} having its iegisteieu office at .... (heieinaftei iefeiieu to as the
"Seconu Pait" which expiession shall, unless iepugnant to the context incluue its successois
anu peimitteu assigns)

ANB

S. {.... Limiteu having its iegisteieu office at .... (heieinaftei iefeiieu to as the "Thiiu
Pait" which expiession shall, unless iepugnant to the context incluue its successois anu
peimitteu assigns)}

The above mentioneu paities of the FIRST, {SEC0NB anu TBIRB} PART aie collectively iefeiieu to
as the "Paities" anu each is inuiviuually iefeiieu to as a "Paity"

WBEREAS,

(A) TBE 0TTAR PRABESB EXPRESSWAYS INB0STRIAL BEvEL0PNENT A0TB0RITY 0F
0TTAR PRABESB, establisheu unuei 0P Inuustiial Aiea Bevelopment Act 1976 (heieinaftei
iefeiieu to as the "Authoiity" which expiession shall, unless iepugnant to the context oi
meaning theieof, incluue its auministiatois, successois anu assigns) has inviteu
Applications (the "Applications") by its Request foi Qualification No. .... uateu
....(the "RFQ") foi pie-qualification of biuueis foi Bevelopment of Kannauj (village
Naimau) to 0nnao (village Neval) Access Contiolleu Expiessway (uieen Fielu) Pioject (the
"Pioject") thiough an EPC Contiact.


UPEIDA 63
(B) The Paities aie inteiesteu in jointly biuuing foi the Pioject as membeis of a }oint ventuie
anu in accoiuance with the teims anu conuitions of the RFQ uocument anu othei biu
uocuments in iespect of the Pioject, anu

(C) It is a necessaiy conuition unuei the RFQ uocument that the membeis of the }oint ventuie
shall entei into a }oint Biuuing Agieement anu fuinish a copy theieof with the Application.

N0W IT IS BEREBY AuREEB as follows:

1. Definitions and Interpretations

In this Agieement, the capitaliseu teims shall, unless the context otheiwise iequiies, have
the meaning asciibeu theieto unuei the RFQ.

2. Joint Venture

2.1 The Paities uo heieby iiievocably constitute a }oint ventuie (the "}oint ventuie") foi
the puiposes of jointly paiticipating in the Biuuing Piocess foi the Pioject.

2.2 The Paities heieby unueitake to paiticipate in the Biuuing Piocess only thiough this
}oint ventuie anu not inuiviuually anu oi thiough any othei }oint ventuie constituteu foi
this Pioject, eithei uiiectly oi inuiiectly.

3. Covenants

The Paities heieby unueitake that in the event the }oint ventuie is ueclaieu the selecteu
Biuuei anu awaiueu the Pioject, it shall entei into an EPC Contiact with the Authoiity foi
peifoiming all its obligations as the Contiactoi in teims of the EPC Contiact foi the Pioject.

4. Role of the Parties

The Paities heieby unueitake to peifoim the ioles anu iesponsibilities as uesciibeu below:

a) Paity of the Fiist Pait shall be the Leau membei of the }oint ventuie anu shall have the
powei of attoiney fiom all Paities foi conuucting all business foi anu on behalf of the
}oint ventuie uuiing the Biuuing Piocess anu until the Appointeu Bate unuei the EPC
Contiact;

b) Paity of the Seconu Pait shall be {the Nembei of the }oint ventuie; anu}

c) {Paity of the Thiiu Pait shall be the Nembei of the }oint ventuie.}

5. Joint and Several Liability

UPEIDA 64

The Paities uo heieby unueitake to be jointly anu seveially iesponsible foi all obligations
anu liabilities ielating to the Pioject anu in accoiuance with the teims of the RFQ, RFP anu
the EPC Contiact, till such time as the completion of the Pioject is achieveu unuei anu in
accoiuance with the EPC Contiact.

6. Share of work in the Project

The Paities agiee that the piopoition of constiuction in the EPC Contiact to be allocateu
among the membeis shall be as follows:

Fiist Paity:

Seconu Paity:

{Thiiu Paity:}

Fuithei, the Leau Nembei shall itself unueitake anu peifoim at least Su (thiity) pei
cent of the total length of the pioject highway if the Contiact is allocateu to the }oint
ventuie.

7. Representation of the Parties

Each Paity iepiesents to the othei Paities as of the uate of this Agieement that:

a) Such Paity is uuly oiganiseu, valiuly existing anu in goou stanuing unuei the laws of its
incoipoiation anu has all iequisite powei anu authoiity to entei into this Agieement;

b) The execution, ueliveiy anu peifoimance by such Paity of this Agieement has been
authoiiseu by all necessaiy anu appiopiiate coipoiate oi goveinmental action anu a
copy of the extiact of the chaitei uocuments anu boaiu iesolution powei of attoiney in
favoui of the peison executing this Agieement foi the uelegation of powei anu authoiity
to execute this Agieement on behalf of the }oint ventuie Nembei is annexeu to this
Agieement, anu will not, to the best of its knowleuge:

i. iequiie any consent oi appioval not alieauy obtaineu;
ii. violate any Applicable Law piesently in effect anu having applicability to it;
iii. violate the memoianuum anu aiticles of association, by-laws oi othei applicable
oiganisational uocuments theieof;
iv. violate any cleaiance, peimit, concession, giant, license oi othei
goveinmental authoiisation, appioval, juugement, oiuei oi ueciee oi any
moitgage agieement, inuentuie oi any othei instiument to which such Paity is a

UPEIDA 65
paity oi by which such Paity oi any of its piopeities oi assets aie bounu oi that
is otheiwise applicable to such Paity; oi
v. cieate oi impose any liens, moitgages, pleuges, claims, secuiity inteiests,
chaiges oi Encumbiances oi obligations to cieate a lien, chaige, pleuge,
secuiity inteiest, encumbiances oi moitgage in oi on the piopeity of such
Paity, except foi encumbiances that woulu not, inuiviuually oi in the aggiegate,
have a mateiial auveise effect on the financial conuition oi piospects oi
business of such Paity so as to pievent such Paity fiom fulfilling its obligations
unuei this Agieement;

c) this Agieement is the legal anu binuing obligation of such Paity, enfoiceable in
accoiuance with its teims against it; anu

u) theie is no litigation penuing oi, to the best of such Paity's knowleuge, thieateneu to
which it oi any of its Affiliates is a paity that piesently affects oi which woulu have a
mateiial auveise effect on the financial conuition oi piospects oi business of such Paity
in the fulfillment of its obligations unuei this Agieement.

8. Termination

This Agieement shall be effective fiom the uate heieof anu shall continue in full foice anu
effect until Pioject completion (the "Befects Liability Peiiou") is achieveu unuei anu in
accoiuance with the EPC Contiact, in case the Pioject is awaiueu to the }oint ventuie.
Bowevei, in case the }oint ventuie is eithei not pie-qualifieu foi the Pioject oi uoes not get
selecteu foi awaiu of the Pioject, the Agieement will stanu teiminateu in case the Applicant
is not pie-qualifieu oi upon ietuin of the Biu Secuiity by the Authoiity to the Biuuei, as the
case may be.

9. Miscellaneous

9.1 This }oint Biuuing Agieement shall be goveineu by laws of 0ttai Piauesh.

9.2 The Paities acknowleuge anu accept that this Agieement shall not be amenueu by the
Paities without the piioi wiitten consent of the Authoiity.


UPEIDA 66
IN WITNESS WBERE0F TBE PARTIES AB0vE NANEB BAvE EXEC0TEB ANB BELIvEREB TBIS
AuREENENT AS 0F TBE BATE FIRST AB0vE WRITTEN.

SIuNEB, SEALEB ANB BELIvEREB

Foi anu on behalf of
LEAB NENBER by:
(Signatuie)
(Name)
(Besignation)
(Auuiess)

Seconu Pait by:
(Signatuie)
(Name)
(Besignation)
(Auuiess)


Foi anu on behalf of
Thiiu Pait by:
(Signatuie)
(Name)
(Besignation)
(Auuiess)

In the piesence of:

1. 2.

Notes:

1. The moue of the execution of the }oint Biuuing Agieement shoulu be in accoiuance with the
pioceuuie, if any, laiu uown by the Applicable Law anu the chaitei uocuments of the
executant(s) anu when it is so iequiieu, the same shoulu be unuei common seal affixeu in
accoiuance with the iequiieu pioceuuie.

2. Each }oint Biuuing Agieement shoulu attach a copy of the extiact of the chaitei uocuments
anu uocuments such as iesolution powei of attoiney in favoui of the peison executing this
Agieement foi the uelegation of powei anu authoiity to execute this Agieement on behalf of
the }oint ventuie Nembei.

S. Foi a }oint Biuuing Agieement executeu anu issueu oveiseas, the uocument shall be
legaliseu by the Inuian Embassy anu notaiizeu in the juiisuiction wheie the Powei of
Attoiney has been executeu.


UPEIDA 67

APPENDIX V: GUIDELINES OF THE DEPARTMENT OF DISINVESTMENT
18

(Refer Clause1.2.1)

No. 642uu1-BB-II
uoveinment of Inuia
Bepaitment of Bisinvestment
Block 14, Cu0 Complex
New Belhi.
Bateu 1S
th
}uly, 2uu1.

OFFICE MEMORANDUM

Sub: uuiuelines foi qualification of Biuueis seeking to acquiie stakes in Public Sectoi Enteipiises
thiough the piocess of uisinvestment

uoveinment has examineu the issue of fiaming compiehensive anu tianspaient guiuelines uefining
the ciiteiia foi biuueis inteiesteu in PSE-uisinvestment so that the paities selecteu thiough
competitive biuuing coulu inspiie public confiuence. Eailiei, ciiteiia like net woith, expeiience etc.
useu to be piesciibeu. Baseu on expeiience anu in consultation with conceineu uepaitments,
uoveinment has ueciueu to piesciibe the following auuitional ciiteiia foi the qualification
uisqualification of the paities seeking to acquiie stakes in public sectoi enteipiises thiough
uisinvestment:
(a) In iegaiu to matteis othei than the secuiity anu integiity of the countiy, any conviction
by a Couit of Law oi inuictment auveise oiuei by a iegulatoiy authoiity that casts a
uoubt on the ability of the biuuei to manage the public sectoi unit when it is
uisinvesteu, oi which ielates to a giave offence woulu constitute uisqualification. uiave
offence is uefineu to be of such a natuie that it outiages the moial sense of the
community. The uecision in iegaiu to the natuie of the offence woulu be taken on case
to case basis aftei consiueiing the facts of the case anu ielevant legal piinciples, by the
uoveinment of Inuia.
(b) In iegaiu to matteis ielating to the secuiity anu integiity of the countiy, any chaige-
sheet by an agency of the uoveinment conviction by a Couit of Law foi an offence
committeu by the biuuing paity oi by any sistei concein of the biuuing paity woulu
iesult in uisqualification. The uecision in iegaiu to the ielationship between the sistei
conceins woulu be taken, baseu on the ielevant facts anu aftei examining whethei the
two conceins aie substantially contiolleu by the same peison peisons.
(c) In both (a) anu (b), uisqualification shall continue foi a peiiou that uoveinment ueems
appiopiiate.
(u) Any entity, which is uisqualifieu fiom paiticipating in the uisinvestment piocess, woulu
not be alloweu to iemain associateu with it oi get associateu meiely because it has

18
These guiuelines may be mouifieu oi substituteu by the uoveinment fiom time to time

UPEIDA 68
piefeiieu an appeal against the oiuei baseu on which it has been uisqualifieu. The meie
penuency of appeal will have no effect on the uisqualification.
(e) The uisqualification ciiteiia woulu come into effect immeuiately anu woulu apply to all
biuueis foi vaiious uisinvestment tiansactions, which have not been completeu as yet.
(f) Befoie uisqualifying a concein, a Show Cause Notice why it shoulu not be uisqualifieu
woulu be issueu to it anu it woulu be given an oppoitunity to explain its position.
(g) Bencefoith, these ciiteiia will be piesciibeu in the auveitisements seeking Expiession
of Inteiest (E0I) fiom the inteiesteu paities. The inteiesteu paities woulu be iequiieu
to pioviue the infoimation on the above ciiteiia, along with theii Expiessions of
Inteiest (E0I). The biuueis shall be iequiieu to pioviue with theii E0I an unueitaking to
the effect that no investigation by a iegulatoiy authoiity is penuing against them. In case
any investigation is penuing against the concein oi its sistei concein oi against its CE0
oi any of its Biiectois Nanageis employees, full uetails of such investigation incluuing
the name of the investigating agency, the chaige offence foi which the investigation has
been launcheu, name anu uesignation of peisons against whom the investigation has
been launcheu anu othei ielevant infoimation shoulu be uiscloseu, to the satisfaction of
the uoveinment. Foi othei ciiteiia also, a similai unueitaking shall be obtaineu along
with E0I.

su-
(A.K. Tewaii)
0nuei Secietaiy to the uoveinment of Inuia


UPEIDA 69
APPENDIX VI

Factois to upuate the value of civil engineeiing woiks in iespect of EPC Piojects executeu in any
one yeai uuiing the last five yeais:

S. No. F.Y. Calenuai Yeai Updation Factor
1. 2u12-1S 2u12 1.uu
2. 2u11-12 2u11 1.uS
S. 2u1u-11 2u1u 1.1u
4. 2uu9-1u 2uu9 1.1S
S. 2uu8-u9 2uu8 1.2u

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UTTAR PRADESH EXPRESSWAYS INDUSTRIAL DEVELOPMENT

The Applicant shoulu pioviue uetails of its own Financial Capability.

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