Tendernotice 2

REQUEST FOR PROPOSAL
FOR
Design, Build, Finance, Operate and Transfer Sewage Treatment Plants
(STPs) along with Associated Infrastructure for a period of 15 years
through Hybrid Annuity Based Public Private Partnership (PPP) Mode
in Saharanpur, Uttar Pradesh under the Namami Gange Programme
NOVEMBER 2022
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TABLE OF CONTENT
TABLE OF CONTENT ........................................................................................................................ 2

GLOSSARY........................................................................................................................................... 5
SECTION I: INTRODUCTION ........................................................................................................ 17
1. BACKGROUND .......................................................................................17
2. BRIEF DESCRIPTION OF THE BID PROCESS ....................................20
SECTION II: ELIGIBILITY AND QUALIFICATION CRITERIA ............................................ 25
3. ELIGIBILITY OF BIDDERS ....................................................................25
4. QUALIFICATION CRITERIA .................................................................34
SECTION III: INSTRUCTION TO BIDDERS ............................................................................... 58
5. SCOPE OF RFP .........................................................................................58
6. ACKNOWLEDGEMENT BY THE BIDDER ..........................................58
7. RIGHTS OF THE JAL NIGAM ................................................................59
8. CLARIFICATIONS ON THE RFP ...........................................................60
9. AMENDMENT OF THE RFP...................................................................61
10. AVAILABILITY OF INFORMATION ....................................................62
11. CORRESPONDENCE WITH BIDDERS .................................................62
12. CONFIDENTIAL INFORMATION AND PROPRIETARY DATA .......62
13. GOVERNING LAW AND JURISDICTION ............................................63
14. VALIDITY OF THE BIDS .......................................................................63
PART B. BID SECURITY, PERFORMANCE SECURITY AND ESHS PERFORMANCE
SECURITY ............................................................................................................................. 63
15. BID SECURITY ..........................................................................................................63
16. PERFORMANCE SECURITY ...................................................................................64
16A. ESHS PERFORMANCE SECURITY .......................................................66
16B. O&M SECURITY .....................................................................................................66
PART C. PREPARATION AND SUBMISSION OF BIDS ............................................................ 67
17. NUMBER OF BIDS ....................................................................................................67
18. LANGUAGE OF BIDS AND CORRESPONDENCE..............................67
19. BID DUE DATE ........................................................................................67
20. QUALIFICATION PROPOSAL ...............................................................67
21. FINANCIAL PROPOSAL.........................................................................70
22. COST AND CURRENCY OF BIDS .........................................................70
23. SIGNING OF BIDS ...................................................................................71
24. MARKING, SEALING AND SUBMISSION OF BIDS ..........................71
25. SUBSTITUTION/WITHDRAWAL/MODIFICATION OF BIDS ...........72
PART D. OPENING AND EVALUATION OF BIDS ..................................................................... 73
26. PUBLIC OPENING OF BIDS...................................................................73
27. DETERMINATION OF RESPONSIVENESS AND EVALUATION OF
QUALIFICATION PROPOSALS .............................................................74
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28. PUBLIC OPENING AND EVALUATION OF FINANCIAL
PROPOSALS .............................................................................................75
29. CLARIFICATION ON BIDS ....................................................................76
PART E. AWARD OF PROJECT .................................................................................................... 77
30. EVALUATION AND COMPARISON OF BIDS ....................................77
31. TECHNICAL EVALUATION ....................................................................................78
32.0 FINANCIAL EVALUATION ...................................................................................78
33. ABNORMALLY LOW BIDS ....................................................................79
34 UNBALANCED OR FRONT-LOADED BIDS ......................................................79
35 MOST ADVANTAGEOUS BID ..............................................................79
36. JAL NIGAM’S RIGHT TO ACCEPT ANY BID, AND TO REJECT ANY OR
ALL BIDS ..................................................................................................79
37. STANDSTILL PERIOD ............................................................................80
38. NOTIFICATION OF INTENTION TO AWARD ....................................80
39. AWARD CRITERIA .................................................................................80
40. NOTIFICATION OF AWARD .................................................................80
41. LETTER OF AWARD (LOA)...................................................................80
42. DEBRIEFING BY THE JAL NIGAM ......................................................81
43. SIGNING OF CONCESSION AGREEMENT .........................................82
44. PROCUREMENT RELATED COMPLAINTS ........................................82
45. EXECUTION OF THE CONCESSION AGREEMENT ..........................82
ANNEXURE 1A .................................................................................................................................. 84
ANNEXURE 1B .................................................................................................................................. 87
ANNEXURE 1C .................................................................................................................................. 89
ANNEXURE 1D .................................................................................................................................. 91
ANNEXURE 1E .................................................................................................................................. 92
ANNEXURE 1F ................................................................................................................................ 102
ANNEXURE 1G ................................................................................................................................ 103
ANNEXURE 1H ................................................................................................................................ 104
ANNEXURE 1I ................................................................................................................................. 106
ANNEXURE 1J ................................................................................................................................. 108
ANNEXURE 1K ................................................................................................................................ 110
ANNEXURE 1L ................................................................................................................................ 114
ANNEXURE 1M ............................................................................................................................... 116
ANNEXURE 2A -DELETED........................................................................................................... 125
ANNEXURE 2B ................................................................................................................................ 126
ANNEXURE 3A ................................................................................................................................ 128
ANNEXURE 3B- DELETED ........................................................................................................... 130
ANNEXURE 3C ................................................................................................................................ 131
ANNEXURE 3D ................................................................................................................................ 133
ANNEXURE 4 ................................................................................................................................... 135
ANNEXURE 5 ................................................................................................................................... 137
ANNEXURE 6 ................................................................................................................................... 138
ANNEXURE 7 ................................................................................................................................... 140
ANNEXURE 8 ................................................................................................................................... 140
ANNEXURE 9 ................................................................................................................................... 141
ANNEXURE 10 ................................................................................................................................. 142
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ANNEXURE 11 ................................................................................................................................. 145
ANNEXURE 12 - Guarantee Information...................................................................................... 148
Draft Guarantee Term Sheet ........................................................................................................... 148
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GLOSSARY
In this RFP, unless the context otherwise requires, capitalised terms shall have the meaning given to
them in the table below. Capitalised terms not defined below shall have the meaning given to them in
the Concession Agreement.
Addendum or Addenda means an addendum or addenda to this RFP.
Additional Performance means a performance security that must be submitted by the

Security Selected Bidder to the Jal Nigam before the issuance of LOA to
secure the obligations of the Concessionaire/Bidder in relation
to Clause 16.5 of this RFP.
Saharanpur STP Means the STP of 135 MLD Capacity, proposed to be set up as
part of this project.
Annexure means an annexure to this RFP.

Appointed Date means the date of signing of the Concession Agreement.
Associate Means, a Person who Controls the Bidder or a Member of a
Consortium, or a Person Controlled by the Bidder or a Member
of a Consortium
Associated Infrastructure means collectively the interception & diversion works, the nala
tapping works, SCADA system and such other facilities in
Saharanpur Facilities that are required to be setup by the
Concessionaire, as described in greater detail in the Scope of
Work (Schedule 1) and Technical Specifications (Schedule 10)
of the Concession Agreement
Associated Infrastructure means the maximum number of units of power per MLD of
Guaranteed Energy treated flow quoted by a Bidder in the Financial Proposal, which
Consumption the Bidder expects to consume during the Saharanpur Facilities
O&M Period (other than any units expected to be generated and
consumed from any power plant proposed to be set up by the
Concessionaire), to operate and maintain the Saharanpur
Associated Infrastructure
Associated Infrastructure means the cost of the power consumed by the Concessionaire to
Power Charges operate and maintain the Saharanpur Associated Infrastructure,
which will be calculated in accordance with the Concession
Agreement.
For the purpose of evaluation of Bids, the ' Saharanpur

Associated Infrastructure Power Charges' will be calculated
for each Bidder in accordance with the formula set out in the Bid
Price Sheet.
Average Guaranteed Energy has the meaning ascribed to it in Clause 2.5 (e)
Consumption
Bank means the International Bank for Reconstruction and
Development (IBRD)/International Development Association
(IDA).
RBI Rate means the rate of interest specified by the Reserve Bank of India
from time to time in pursuance of section 49 of the Reserve Bank
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of India Act, 1934 or any replacement of such Bank Rate for the
time being in effect;
Bid means a bid consisting of the Qualification Proposal and the
Financial Proposal submitted by a Bidder for qualification and
award of the Project, and Bids mean collectively, all the bids for
the Project.
Bidding Documents The Bidding Documents consist of:
1. the Request for Proposal
2. Appendage A – Forms
Annexure 1:
1A. Format of Bid Letter
1B. Description of the Bidder
1C. Format of Power of Attorney
1D. Format of Certificate from the Statutory Auditor for
net worth and compliance with other financial
qualification criteria
1E. Part I - Format of details of the Development/ Design
and Construction Experience of Eligible STP/ ETP/
CETP
Part II - Format of details of the Operation And
Maintenance (O&M) of Experience of STP/ ETP/
CETP
Part III - Technical Capacity of the Bidder
Part IV - Details of Eligible Projects
1F. Part A - Format of certificate from the statutory
Auditor regarding development experience for STP/
ETP/ CETP
Part B - Format of Certificate from the Statutory
Auditor regarding Development Experience for
Biogas Power Plant
1G. Format of Self-Attested Certificate Regarding
Associate
1H. Format of Information On Litigation
1I. Format of Bid Security
1J. Format of Power of Attorney for Appointing Lead
Member
1K. Format of Joint Bidding Agreement
1L. Format of Environmental, Social, Health, And Safety
Performance Declaration
1M. Format of Undertaking for the Nominated STP Sub-
Contractor
1N. Sexual Exploitation and Abuse (SEA) and/or Sexual
Harassment Performance Declaration
1O. Code of Conduct for Contractor’s Personnel (ES)
Form
Annexure 2A - DELETED
Annexure 2B - Experience Certificate for Network/ Pipeline
Annexure 3:
3A – Consent Letter for Experience in STP /CETP/ETP,
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3B - Consent Letter for Experience of Biogas Power Plant
3C - Consent Letter for Experience of Technology
Provider
3D - Consent Letter for Experience of Network / Pipeline
Annexure 4 - Format for Performance Security

Annexure 5 - Format for ESHS Performance Security
Annexure 6 - List of Public Financial Institutions
Annexure 7 – DELETED
Annexure 8 – Form for Clarification Questions
Annexure 9 – Financial Proposal Form comprising the Bid
Price Sheet
Annexure 10 - Notification of Intention to Award
Annexure 11 - Beneficial Ownership Disclosure Form

Annexure 12 - Guarantee Information
Annexure 13 Fraud and Corruption
3. Appendage B – Concession Agreement:
a. General Conditions of the Contract; and
b. Schedules to the General Conditions,
4. Addenda to the documents listed above, if any are issued by
the Jal Nigam.
Bid Due Date means the last date for submission of the Bids specified in the
Bid Schedule, as may be extended from time to time in
accordance with Clause 19.2.
Bid Price means the price calculated for each Bidder, based on the values
provided by such Bidder in the Bid Price Sheet, as a part of the
Financial Proposal to design, finance, construct, complete,
operate, and maintain the Saharanpur Facilities.
Bid Price Sheet means the Microsoft Excel sheet provided on the website of the
Jal Nigam/ e-Procurement Portal, in which the Bidders shall
quote separately for the Saharanpur Facilities and its Associated
Infrastructure,, the following components:
(a) Bid Project Cost (including all Taxes and Goods and Service
Tax); (b) O&M Charges for the first month after COD for the
STP Facilities (including all Taxes and Goods and Service Tax);
(c) O&M Charges for the first month after COD for the
Associated Infrastructure (including all Taxes and Goods and
Service Tax) (d) Guaranteed Energy Consumption for the O&M
Period for the STP Facilities; (e) Guaranteed Energy
Consumption for the O&M Period for the Associated
Infrastructure; (f) Land Requirement (applicable for the
Saharanpur STP Facilities, based on which the Bid Price will be
calculated.
Bid Process means the single-stage bidding process, with two sub-stages,
undertaken by the Jal Nigam to award the Project to the Selected
Bidder on the terms and conditions set out in the RFP. The Bid
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Process commenced with the issuance of the RFP and ends on
the Appointed Date.
Bid Project Cost means the cost of construction of the Saharanpur Facilities and
any power plant proposed to be set up by the Bidder, as quoted
by a Bidder in its Bid, which must include interest during
construction, Taxes and all other pre-operative expenses in
relation to the Saharanpur Facilities.
Bid Schedule means the schedule of the Bid Process set out in Clause 2.14, as
may be amended from time to time.
Bid Security means a bid security that must be submitted by a Bidder along
with its Bid in accordance with Clause 15.
Bidder means an interested Company or a Consortium of Companies
which submits a Bid to the Jal Nigam in accordance with this
RFP and includes each Member when the Bidder is a
Consortium, and Bidders shall be construed accordingly.
BOD means biochemical oxygen demand.
Capex Annuity means the amount payable to the Concessionaire per quarter
during the O&M Period, towards reimbursement of 60% of the
Completion Cost.
Clause means a clause of this RFP.

COD Certificate means the certificate issued by the Jal Nigam to the
Concessionaire upon successful completion of the Trial
Operations of the Saharanpur Facilities, in accordance with the
Concession Agreement;
Commercial Operations Date means the date on which the COD Certificate is issued or
or COD deemed to be issued to the Concessionaire for the Saharanpur
Facilities, in accordance with Clause 7.15(a) of the Concession
Agreement.
Companies Act means the (Indian) Companies Act, 1956 or the (Indian)
Companies Act, 2013, as amended from time to time, as the
context may require.
Company means a company incorporated under the Companies Act or a
foreign company incorporated under the relevant statute of its
jurisdiction.
Concession Agreement means the tripartite concession agreement to be executed
between NMCG, the Jal Nigam and the Concessionaire. A draft
of the Concession Agreement is attached to this RFP.
Concessionaire means the Special Purpose Vehicle incorporated by the Selected
Bidder to implement the Project
Conflict of Interest has the meaning ascribed to it in Clause 3.3.
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Consortium means any combination of Companies that have formed a
consortium for the purpose of submitting a Bid and to implement
the Project if such consortium is declared the Selected Bidder.
Construction Period means the Saharanpur Facility Construction Period, , as the
context may require.
Control means, with respect to a Person:
(a) the ownership, directly or indirectly, of more than 50%

of the voting shares of such Person; or
(b) the power, directly or indirectly, to direct or influence

the Board of Directors, or the management and policies
of such Person by operation of law, contract or
otherwise,
and the term Controlled and Controlling shall be construed

accordingly.
Facilities Termed as Facilities or the Saharanpur Facilities,
means collectively the Saharanpur STP Facilities and
Associated Infrastructure, and the term ‘Facility’ shall be
construed accordingly.
O&M Charges means the amount required by the Concessionaire per quarter
(including all Taxes) to operate and maintain the Saharanpur
Facilities, excluding the Power Charges during the O&M Period.
The O&M Charges for the first quarter after the COD will be
determined on the basis of the O&M Charges quoted by the
Bidder for the first month from the COD for both of the STP
Facilities and Associated Infrastructure, in the Financial
Proposal, which amount shall be adjusted to reflect the variation
in the O&M Price Index, for each quarter till the expiry of the
O&M Period, in accordance with the Concession Agreement.
Power Charges means collectively the STP Power Charges and the Associated
Infrastructure Power Charges.
Saharanpur Site Or Site, means collectively the STP Site and the Associated
Infrastructure
Saharanpur STP means the STP of 135 MLD proposed to be set up at the
Saharanpur STP Site, as part of the Project.
Saharanpur STP Facilities means collectively the Saharanpur STP, the online monitoring
system, the on-site testing laboratory facilities, the Power Plant
and such other facilities associated with the Saharanpur STP,
required to be setup by the Concessionaire, as described in
greater detail in the Scope of Work (Schedule 1) and Technical
Specifications (Schedule 10) of the Concession Agreement.
Saharanpur STP Average has the meaning ascribed to it in Clause 2.5.
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Guaranteed Energy
Consumption
Saharanpur STP Guaranteed means the maximum number of units of power (in kWh) per
Energy Consumption MLD of treated flow quoted by a Bidder in the Financial
Proposal, which the Bidder expects to consume during the O&M
Period (other than any units expected to be generated and
consumed from the solar, hydro based power plant, if any,
proposed to be set up by the Concessionaire), to operate and
maintain the Saharanpur STP Facilities (At varying volumes and
BOD of sewage).
While quoting the Saharanpur STP Guaranteed Energy
Consumption, the Concessionaire shall not take into account any
power generation from the biogas produced at the Saharanpur
STP, although the Concessionaire will be required to produce
biogas and create necessary facilities to supply the same at a
specified point within the premises.
Saharanpur STP Power means the cost of the power consumed by the Concessionaire to
Charges operate and maintain the Saharanpur STP during the Saharanpur
O&M Period, which will be calculated in accordance with the
Concession Agreement.
For the purpose of evaluation of Bids, the 'Saharanpur STP

Power Charges' will be calculated for each Bidder in
accordance with the formula set out in the Bid Price Sheet
Saharanpur STP Site Or the STP Site, means the land admeasuring 4.50 hectares
(45,000 square meters) in area in Saharanpur, on which the
Saharanpur STP is proposed to be built, as set out in more detail
in the Information Memorandum.
Land Price means the price of the land required by the Bidder to develop the
Facilities (except the Associated Infrastructure), determined by
multiplying the Land Requirement quoted by such Bidder and
the Land Rate
Land Rate means the cost per sq.m. of the land forming the Saharanpur STP
Site, which, for the purpose of this RFP is Rs. 5,500 per sqm
(Five Thousand Five Hundred Rs/sqm only).
Land Requirement means the area required by the Selected Bidder at the STP Site
to construct, operate and maintain the Saharanpur STP Facilities,
as quoted by a Bidder in its Bid, (shall not include the land
earmarked for CBG facilities).1
Effective Date means the date on which all the Conditions Precedent have been
satisfied by the Jal Nigam, NMCG, and the Concessionaire in
accordance with the Concession Agreement.
Eligibility Criteria means the eligibility criteria set out in Clause 3 that a Bidder is
required to satisfy (in addition to the Qualification Criteria), to
be qualified for evaluation of the Financial Proposal.
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End of Concession means the date occurring after the expiry of 15 years from the
Saharanpur Facilities COD, whichever is later.
e-Procurement Portal means the e-Procurement Portal of the GoUP available at the
following url: https://www.etender.up.nic.in
ESHS means environment, social, health and safety.
ESHS Performance Security means the Saharanpur Facilities ESHS Performance Security
Equity means the sum expressed in INR representing the paid-up share
capital of the Concessionaire for meeting the equity component
of its financial obligations under this Concession Agreement
and the Financing Documents, which, for the purpose of this
Concession Agreement, shall include convertible instruments
that shall compulsorily convert into equity share capital and
any loans provided by any shareholder of the Concessionaire.
Escrow bank means the commercial bank holding in trust for NMCG and the
Concessionaire the escrow account receiving monies from
NMCG for settlement of NMCG’s ongoing payment obligations
to the Concessionaire under the Project
Financial Capacity means the financial capacity and strength of the Bidder, as
determined in accordance with Clause 4.2 of this RFP.
Financial Proposal means the financial proposal, comprising the Bid Price Sheet, to
be submitted by a Bidder in accordance with this RFP.
Financial Year means each 12-month period commencing on 1 April of one
calendar year and ending on 31 March of the next calendar year;
and if different for a Bidder, then the 12-month period for which
such Bidder files its statutory audited accounts in the normal
course of its business.
Ganga 2016 Order has the meaning ascribed to it in Clause 1.2.
GoI means the Government of India.
GoUP means the Government of Uttar Pradesh
Guarantee Agreement means the legal agreement between IBRD and the L/C Bank
setting forth the terms and conditions on which the L/C Bank
may call on the IBRD guarantee
Guaranteed Energy means the STP Guaranteed Energy Consumption and/or the
Consumption Associated Infrastructure Guaranteed Energy Consumption, as
the context may require
Guidelines has the meaning ascribed to it in Clause 1.8
Handover Date means, the date of handover of Saharanpur Facilities,
Information Memorandum means the information memorandum for the along with
Schedules to Concession Agreement.
Jal Nigam means the Uttar Pradesh Jal Nigam (Rural), a statutory body
constituted under the Uttar Pradesh Water Supply and Sewerage
Amendment Act, 2021.
Joint Bidding Agreement means a binding joint bidding agreement to be entered into by
the Members of a Consortium that submits a Bid pursuant to this
RFP, in the format set out at Annexure 1K.
kW means kilo-watt
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KWH means kilo-watt hour
Lead Member means the Member nominated by the Members of the Selected
Bidder to act as the lead member.
L/C Bank means the commercial bank issuing an irrevocable standby letter
of credit (L/C) procured by NMCG in favour of the Escrow Bank
and covering up to two quarterly payments payable by NMCG
to the Concessionaire during the O&M period of the Project.
LOA means the letter of award that will be issued by the Jal Nigam to
the Selected Bidder in accordance with Clause 41 of this RfP.
Member means a member of a Consortium.
MLD means million litres per day.
DoWR means the Department of Water Resources, River Development
and Ganga Rejuvenation, Ministry of Jal Shakti, Government of
India.
Net Worth means the net worth of a Bidder, which shall be determined
as follows, in case of a:
(a) Company, means
(i) subscribed and paid up equity share capital;

and
(ii) reserves
LESS
(iii) revaluation reserves;

(iv) miscellaneous expenditure not written off;
(v) reserves not available for distribution to
equity shareholders; and
(vi) aggregate value of accumulated losses.
(b) trust or society, means the sum of available corpus

and reserves;
(c) partnership firm, means the sum of the partners'

capital account and undistributed profits;
(d) limited liability partnership, means the sum of

partners' capital account and undistributed profits
as per the 'Statement of Account' prepared as per
Limited Liability Partnership Rules, 2009;
(e) sole proprietorship, means the value of all assets

minus liabilities of the proprietorship but does not
include the personal assets or liabilities of the sole
proprietor; and
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(f) individual, means the sum of the value of all
unencumbered assets owned by the individual
minus the sum of the value of all liabilities of the
individual.
NMCG means the National Mission for Clean Ganga, a statutory body
constituted under the Environment (Protection) Act, 1986.
Nominated STP Sub- means a sub-contractor nominated by the Bidder, in accordance
Contractor with Clause 4.1(a)(C)(v) and 4.1(b)(ii) of this RFP, for
construction and operation and maintenance of STPs for the
Project.
Construction Completion means the certificate issued by the Jal Nigam to the
Certificate Concessionaire to certify completion of construction of the
Facilities and the satisfaction of all other conditions required to
be fulfilled by the Concessionaire in accordance with the
Construction Completion Date means the date on which the Construction Completion
Certificate is issued or deemed to be issued to the
Concessionaire, in accordance with the Concession Agreement.
Construction Period means the period commencing from the Effective Date until the
COD, during which the Concessionaire is required to design,
finance, develop, construct and complete the Facilities in
O&M Means Operation and maintenance
O&M Cost means cumulatively, the amount quoted by Bidder as O&M
Charges for the first month after COD, for each Facility,
multiplied with 180 months, the scheduled O&M Period.
By way of illustration, if the Bidder has quoted 20 Lakhs for the

Saharanpur Facilities towards the O&M Charges for first
month after COD, then the O&M Cost may be computed as (20
Lakh x180) => 3600 Lakh.
O&M Period means the period commencing from the COD and ending on the
End of Concession, during which the Concessionaire is required
to operate and maintain the Facilities.
O&M Security means a performance security that must be submitted by the
Selected Bidder or the Concessionaire to the Jal Nigam to secure
the obligations of the Concessionaire during the O&M Period in
Payment Milestones means the 8 milestones specified in the Concession Agreement
for release of 40% of the Bid Project Cost (as adjusted to account
for inflation in accordance with the Concession Agreement) to
the Concessionaire.
Performance Security means a performance security that must be submitted by the
Selected Bidder or the Concessionaire to the Jal Nigam on or
before execution of the Concession Agreement to secure the
obligations of the Concessionaire during the Construction
Period in accordance with Clause 16 of the RFP.
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Person means any individual, company, corporation, partnership, joint
venture, trust, society, sole proprietor, limited liability
partnership, co-operative society, government company,
unincorporated organization or any other legal entity.
Power Cost means, the total cost of electricity required for operating
Facilities, computed as per the Financial Proposal based on the
relevant Guaranteed Energy Consumption and relevant quantity
of waste water quoted by the Bidder.
Power Plant means a biogas power plant or a solar power plant that the
Concessionaire needs or decides to set up at the relevant Site;
as part of the Project, for production of clean energy. (With
regards to solar power plants, the Concessionaire may refer to
the guidelines prescribed by Ministry of New and Renewable
Energy.)
Power Unit Rate means the cost per unit of power drawn from the grid (through
the relevant distribution licensee for the Site, which will be the
prevailing tariff per unit of power charged by the relevant
distribution licensee in the relevant month during the relevant
O&M Period.
PPP means public private partnership.
Pre-Bid Meeting means the meeting to be held in accordance with Clause 8.2.
Preferred Bidder means the Bidder which: (a) meets the Qualification Criteria and
the Eligibility Criteria; and (b) quotes the lowest Bid Price.
Project means:
(i) to design, finance, construct, complete, operate and maintain
the Facilities & associated infrastructure;
during the term of concession and to handover the Facilities on

expiry or termination of the concession in accordance with the
Project Engineer means the engineering firm appointed by NMCG for the Project,
in accordance with the Concession Agreement.
Public Financial Institution: means a Public Financial Institution referred to in the Companies
Act 2013 and/or as regulated by the Reserve Bank of India.
Qualification Criteria means the qualification criteria set out in Clause 4 that a Bidder
is required to satisfy (in addition to the Eligibility Criteria), to be
qualified for evaluation of the Financial Proposal.
Qualification Proposal means the proposal to be submitted by each Bidder to
demonstrate that it meets the Eligibility Criteria and the
Qualification Criteria as set out in Clause 3 and Clause 4.
RFP means the request for proposal dated November 21 , 2022 along
with its Schedules and Annexures and includes any Addenda/
Corrigenda, if issued.
Rupee or INR means Indian Rupees, the lawful currency of India.

Schedule means a schedule of this RFP or Concession Agreement.
Scheduled Bank means a bank as defined under section 2(e) of the Reserve Bank
of India Act, 1934.
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Scheduled Construction means the date which is 21 months from the Effective Date, by
Completion Date which the Concessionaire is required to achieve the Construction
Completion Date
Scheduled COD means the date which is 3 months from the Construction
Completion Date, by which the Concessionaire is required to
achieve the COD.
Scope of Work means the scope of work for designing, financing, development,
construction, completion, operation and maintenance of the
Facilities, , as set out in the Concession Agreement.
Second Preferred Bidder means the Bidder who: (a) meets the Qualification Criteria and
the Eligibility Criteria; and (b) quotes the second lowest Bid
Price.
Section means a section of this RFP.
Selected Bidder means the eligible Bidder selected by the Jal Nigam for award
of the Project.
Site means the Saharanpur Site
SPV or Special Purpose means a company incorporated under the Companies Act by the
Vehicle Selected Bidder to carry out the obligations of the
Concessionaire under the Concession Agreement.
STP means a sewage treatment plant.
Sub-Contractor Undertaking: means an irrevocable and duly notarized undertaking to be
submitted by the Nominated STP Sub-Contractor on a stamp
paper, to meet the Technical Criteria defined in Clause
4.1(a)(B), 4.1(a)(F)(ii) and 4.1(b)(ii) of this RFP, in the format
set out at Annexure 1M.
Supporting Infrastructure means the supporting infrastructure facilities required for the
operation of the Project, which will be provided, operated and
maintained by the Jal Nigam during the term of the Concession
Agreement. The supporting infrastructure facilities comprises
the three common chambers from where the sewage flows to the
Saharanpur STP,
Taxes means all taxes, levies, imposts, cesses, duties and other forms
of taxation, including (but without limitation) income tax, goods
and services tax, entry tax, corporation profits tax, advance
corporation tax, capital gains tax, residential and property tax,
customs and other import and export duties, excise duties, stamp
duty or capital duty, and any interest, surcharge, penalty or fine
in connection therewith which may be payable by the
Concessionaire or the subcontractors and the term Tax shall be
construed accordingly.
TDS Means total dissolved solids
Technical Capacity means the technical capacity and experience of a Bidder, as
determined in accordance with the RFP.
Technology Agreement means a binding agreement to be entered into between the
proposed technology provider and the Bidder that submits a Bid
pursuant to this RFP, to meet the technology requirement to be
15
adopted for the proposed STP in this Project as defined in Clause
4.1(a)(F)(x) of this RFP.
Technical Specifications means the technical specifications for designing, construction,
operation and maintenance of the STP Facilities as set out in the
Trial Operations means the operation of the STP Facilities on a trial basis as set
out in Article 8 of the Concession Agreement.
16
SECTION I: INTRODUCTION
1. BACKGROUND
1.1 The GoI, recognizing that long-term rejuvenation of the river Ganga and its tributaries will have
significant social and economic benefits on the lives of the 500 million people living along its
basin, has identified cleaning of the river Ganga and its tributaries as one of its priorities. For
this purpose, in May 2015, the GoI approved the flagship Namami Gange programme for
cleaning, rejuvenation, and protection of the river Ganga. In January 2016, the GoI approved a
hybrid annuity model to implement STP projects under the Namami Gange programme on a
PPP basis.
1.2 The Government of India (GoI) has requested support from the World Bank for a
US$400 million operation called the Second National Ganga River Basin Project (SNGRBP).
This operation will be supported by a loan in the amount of US$381 million from the
International Bank for Reconstruction and Development (IBRD) (hereafter interchangeably
called “IBRD” or “the Bank”) and a proposed IBRD Payment Guarantee of up to $19 million.
The loan will be used in various currencies toward the cost of the Project. The Borrower intends
to apply a portion of the proceeds of this loan to eligible payments under the contract for which
this RFP is issued. The Borrower intends to utilize the IBRD Payment Guarantee to backstop
the government’s payment obligations under three Hybrid-Annuity-Model Public-Private
Partnership (HAM-PPP) investments on the Ganga’s tributaries, including the proposed
investment in Saharanpur, Uttar Pradesh, which is the focus of this RFP. The Guarantee
Agreement-related documents will be finalized with the L/C Bank, the Escrow Bank, and the
NMCG following the procurement process.
1.3 Disbursement by the Bank under the loan will be made only at the request of the Borrower and
upon approval by the Bank, and will be subject, in all respects, to the terms and conditions of
the Loan (or other financing) Agreement. The Loan (or other financing) Agreement prohibits a
withdrawal from the loan account for the purpose of any payment to persons or entities, or for
any import of goods, equipment, plant, or materials, if such payment or import is prohibited by
a decision of the United Nations Security Council issued under Chapter VII of the Charter of
the United Nations. No party other than the Borrower shall derive any rights from the Loan (or
other financing) Agreement or have any claim to the proceeds of the Loan (or other financing).
1.4 The DoWR, RD&GR issued the River Ganga (Rejuvenation, Protection and Management)
Authorities Order, 2016 (Ganga 2016 Order) to constitute various authorities to assist the GoI
in achieving its aim of effective abatement of pollution in the river Ganga and its tributaries.
The Ganga 2016 Order applies to all states in the catchment of the river Ganga basin. The
Ganga 2016 Order revised the legal status of NMCG (which was initially constituted as a
registered society under the Societies Registration Act, 1860) to an authority constituted under
the Environment (Protection) Act, 1986, and designated NMCG as the nodal agency for the
implementation of the Ganga 2016 Order.
1.5 The Uttar Pradesh Jal Nigam (“Jal Nigam”) has, in association with NMCG, decided to
undertake the development of sewerage facilities on a PPP basis, through a hybrid annuity
model as mentioned below:
(i) Saharanpur Facilities - Development of a STP Facility with a proposed capacity of 135
MLD at Pinjora Village in Saharanpur, along with its Associated Infrastructure, which
includes interception and diversion works such as nala tapping at 61 locations, pumping
station, rising main and appurtenant structures and allied works
17
While the Jal Nigam will be the principal executing agency and bidding authority for the
Project, NMCG will be responsible for making payments to the Concessionaire.
1.6 The objectives that NMCG and the Jal Nigam wish to achieve through the Project are to
(a) intercept raw sewage flowing into the river Paondhoi &Dhamola and divert the raw
sewage to the Saharanpur STP;
(b) treatment of the raw sewage at the Saharanpur STP;
(c) implement viable technologies and international best practices for development,
operation and maintenance of all Facilities; and
(d) demonstrate large-scale private sector participation and mobilisation of private sector
investment to further the national aim of rejuvenation of the river Ganga and its
tributaries.
1.7 The main features of the Project are set out below:
(a) The Jal Nigam will provide to the Concessionaire the Site to develop all relevant
Facilities and implement the Project, based on the Land Requirement quoted by the
Selected Bidder, free of all encumbrances and encroachments, and along with all
necessary rights of way.
(b) The Concessionaire will be required to design, finance, construct and complete the
Facilities, on or prior to the relevant Scheduled Construction Completion Date, in
(c) The Jal Nigam will provide, operate and maintain the Supporting Infrastructure for the
Saharanpur STP, to enable the Concessionaire to operate the Saharanpur STP in
(d) The Concessionaire will be required to construct and operate a biogas plant at the
Saharanpur STP Site and deliver the biogas at a specified point within the premises.
The Concessionaire may also opt to set up a rooftop solar / Micro Hydro project at any
of the STP Site to meet its power consumption requirements.
(e) On and from the relevant COD and until the End of Concession, the Concessionaire
will be required to operate and maintain the relevant Facilities in accordance with the
Concession Agreement, such that the Facilities meet the key performance indicators
specified in the Concession Agreement.
(f) Upon the expiry of the O&M Period, all Facilities set up by the Concessionaire, will be
transferred to the Jal Nigam after the rectification of any defects or deficiencies, in
(g) The Concessionaire will pre-finance the construction and O&M of all Facilities, which
must be in accordance with Applicable Laws, Applicable Permits and other
requirements specified in the Concession Agreement.
(h) Prior to the Effective Date, NMCG will appoint a Project Engineer to assist the Jal
18
Nigam in reviewing the designs and drawings, supervising the construction, operation
and maintenance of all Facilities. The Project Engineer shall support the Jal Nigam in
monitoring compliance with the key performance indicators to be specified in the
Concession Agreement. NMCG will solely bear the costs of the Project Engineer.
(i) The Concessionaire shall operate all Facilities at its risk for the term of the Concession
Agreement.
(j) 40% of the relevant Bid Project Cost will be paid to the Concessionaire during the
relevant Construction Period for the Facilities, which will be linked to completion and
certification of the works corresponding to specified Payment Milestones (refer clause
9.3 of Concession Agreement).
(k) From the relevant COD and during the entire O&M Period, the Capex Annuity (along
with interest) and the O&M Charges will be paid on a quarterly basis to the
Concessionaire. Additionally, the Concessionaire will also be reimbursed on a
quarterly basis for the Power Charges at actuals (subject to a cap of the Power Charges
based on the Guaranteed Energy Consumption for the relevant Facility) for the power
consumed for the O&M of the relevant Facility. If the Concessionaire consumes more
power for O&M of any Facility than the Guaranteed Energy Consumption for such
Facility in any given quarter, it will be liable to pay damages to the Jal Nigam in
accordance with the Concession Agreement in addition to the dues related to the
additional consumption.
(l) NMCG will set up a revolving escrow account for the Project, and all Payment
Milestone-linked construction payments, Capex Annuities (along with interest), O&M
Charges, and Power Charges will be paid to the Concessionaire through this escrow
account.
From the Effective Date and until the later of the Saharanpur Facilities COD, NMCG
will ensure that the escrow account is funded with an amount equivalent to the
construction payment due to the Concessionaire for the next Payment Milestone for
each of the Facilities, (Construction Period Minimum Escrow Balance).
From the relevant COD and at all times thereafter until the expiry or termination of the
Concession Agreement, NMCG shall deposit, by an agreed date towards the beginning
of each calendar quarter, into the abovementioned escrow account: (i) the Capex
Annuity along with interest for all Facilities; (ii) the O&M Charges for all Facilities;
and (iii) the estimated Power Charges for each of the Facilities (based on the relevant
Guaranteed Energy Consumption), for such quarter. An IBRD Payment Guarantee is
proposed as a payment security mechanism to support NMCG’s ongoing payment
obligations to the Concessionaire from COD onwards and during the entire O&M
Period, to be performed through the above-mentioned escrow account. The IBRD
Payment Guarantee will be negotiated and contracted in the last stage of the
procurement process, in accordance with the term sheet attached in Annexure 12. The
IBRD Payment Guarantee would backstop an irrevocable revolving standby Letter of
Credit (L/C) procured by NMCG in consultation with IBRD. This L/C would provide
liquidity support for those O&M Period payment obligations of NMCG for the entire
duration of the O&M Period. The escrow bank may draw on the L/C to make a quarterly
O&M Period payment to the Concessionaire if, as of the due date of such payment, the
19
balance in the escrow account is insufficient to make that payment from the escrow
account. The maximum amount available for draw under the L/C will be capped at the
equivalent of 2 (two) quarters of O&M Period payments. (See the form of Escrow
Agreement set out as Schedule 3 to the Concession Agreement.)
(m) Subject to early termination, the Concession Agreement shall be valid until the end of
the Concession.
1.8 The Jal Nigam is now inviting interested Companies to submit Bids to implement the Project.
1.9 The bidding will be conducted through the International Competitive Procurement (ICP)
procedures specified in the World Bank's Procurement Regulations for IPF Borrower July 2016
and revised from time to time (Procurement Regulations) and is open to all Bidders from
eligible source countries as defined in the Regulations.
1.10 This RFP follows the General Procurement Notice for Second National Ganga River Basin
Project (SNGRBP) that was published on United Nations Development Business online on
June 16, 2020
1.11 The Selected Bidder is required to incorporate a Special Purpose Vehicle (SPV)2 to implement
the Project and such SPV will be required to execute the Concession Agreement with the Jal
Nigam and NMCG in the format attached to this RFP.
1.12 The statements and explanations contained in this RFP are intended to provide the Bidders with
an understanding of this subject matter of this RFP and the Project. Such statements and
explanations should not be construed or interpreted as limiting in any way or manner:
(a) the scope of the rights and obligations of the Concessionaire, which will be set out
definitively in the Concession Agreement; or
(b) the Jal Nigam's right to alter, amend, change, supplement or clarify the rights and
obligations of the Concessionaire or the terms and conditions that will be set out in the
Concession Agreement, in accordance with this RFP.
Consequently, any omissions, conflicts or contradictions between this RFP and the Concession
Agreement are to be noted, interpreted and applied appropriately to give effect to this intent.
NMCG and the Jal Nigam will not entertain any claims on account of such omissions, conflicts
or contradictions.
2. BRIEF DESCRIPTION OF THE BID PROCESS
2.1 The Jal Nigam has adopted a single-stage two envelope Bidding Process for declaration of the
Selected Bidder for award of the Project, which is divided into 2 sub-stages.
2.2 A complete set of bidding documents will be available on UP government e-procurement

website, www.etender.up.nic.in w.e.f. 21st November 2022, 18:00 Hrs. The bidders who are
interested to participate in the bidding process can download the bid documents from the e-
Procurement Portal. The RFP will appear on the e-Procurement Portal in the “Latest Tenders”
2
SPV is a company incorporated under the provisions of Companies Act, 2013
20
section and will be available only until the specified time on the Bid Due Date. The Jal Nigam
is not responsible for the completeness of the RFP, if it is not downloaded directly from the e-
Procurement Portal complete with Addenda, if issued and uploaded on the e-Procurement
Portal by the bid inviting authority.
2.3 Each Bidder is required to submit a single Bid, which should consist of 2 separate parts: (a) the
Qualification Proposal; and (b) the Financial Proposal.
2.4 Evaluation stages

The evaluation of the Bids will be carried out in 2 sub-stages:
(a) The first sub-stage will involve qualification of the Bidders based on the evaluation of
their Qualification Proposals to determine compliance with the Eligibility Criteria and
the Qualification Criteria in accordance with Clauses 3 and 4 of this RFP. Only those
Bidders who are found to meet the Eligibility Criteria and the Qualification Criteria
will be qualified for the next sub-stage.
(b) The second sub-stage will involve evaluation of the Financial Proposals of those
Bidders whose Qualification Proposals meet the requirements set out in Clauses 3 and
4 of this RFP, to identify the Selected Bidder for the Project.
(c) The Bidders are not obliged to submit Best and Final Offer (BAFO) and there will be
no negotiation before award of the Project.
2.5 Bid parameter

(a) Each Bidder will be required to quote in the Bid Price Sheet, Saharanpur Facilities, the
following components (a) the Bid Project Cost (including all Taxes); (b) the O&M Charges for
the first month after COD for the O&M of the relevant STP Facility (including all Taxes &
GST) ; (c) the O&M Charges for the first month after COD for the relevant Associated
Infrastructure (including all Taxes & GST); (d) the Guaranteed Energy Consumption of the
relevant STP Facility for the Saharanpur Package O&M Period; (e) the Guaranteed Energy
Consumption of the relevant Associated Infrastructure for the Saharanpur Facilities O&M
Period; and (f) the Land Requirement for the Saharanpur STP Facility.
It is clarified that the information to be entered by the Bidder in the Bid Price Sheet is a
basic rate (including all cess, levies, duties etc. but excluding GST) which will be used to
calculate Total Amount (including all cess, levies, duties, etc.). GST gets auto added on
each line item in the Bid Price Sheet.
(b) The Bidders are encouraged to attend the Pre-Bid Meeting on the date defined in the para
2.14. During the Pre-Bid Meeting, the Jal Nigam / NMCG / its’ advisors will illustrate the
calculations in the Bid Price Sheet.
(c) Bid Project Cost: For each of the Facilities, the Bidders must provide a break-up of the
Bid Project Cost for the components specified in the Bid Price Sheet.
(d) O&M Charges for the first month after COD: For each of the Facilities, the Bidders
must provide a break-up of the O&M Charges for the components specified in the Bid Price
Sheet, including the manpower, repairs and maintenance of civil and electromechanical
works, and chemicals, wherever applicable.
21
(e) Guaranteed Energy Consumption:
For STP Facilities:
For the purposes of calculation of the Guaranteed Energy Consumption of each of the STP
Facilities, each Bidder will be required to quote separately, in its Bid Price Sheet the
maximum number of units of power (in kWh) per MLD which the Bidder expects the
Concessionaire to consume to treat the varying volumes (expressed in MLD) and BOD of
sewage, as specified in the format of the Bid Price Sheet for the STP. Based on the number
of units of power per MLD quoted by a Bidder for the varying volumes and BOD of sewage,
the average number of units (in kWh) that the Concessionaire is expected to consume per
MLD of sewage treated at the STP will be calculated using the formula specified in the Bid
Price Sheet (such average, the Average Guaranteed Energy Consumption). The
permissible value of maximum to minimum GEC to be quoted in s.no.2.06 to 2.11 in
Bid Price Sheet should be less than or equal to 1.4. The Power Charges for STP Facility
will be calculated by multiplying the relevant Average Guaranteed Energy Consumption
quoted by such Bidder with the Power Unit Rate and indicative flow, in accordance with
the Bid Price Sheet.
For Associated Infrastructure:

For the purposes of calculation of the Guaranteed Energy Consumption of each of the
Facilities, each Bidder will be required to quote separately, in its Bid Price Sheet the
maximum number of units of power (in kWh) per MLD which the Bidder expects the
Concessionaire to consume for the relevant Facilities. Based on the number of units of
power per MLD quoted by a Bidder, the Power Charges for each STP Facility will be
calculated by multiplying the relevant number of units of power per MLD quoted by the
Bidder with the Power Unit Rate and indicative flow, in accordance with the Bid Price
Sheet.
(f) Land requirement of STP Facilities:

Bidder shall carefully quote the Land Requirement for Saharanpur STP Facilities, in the
Financial Proposal. No additional Land shall be ordinarily allocated to the Concessionaire
beyond the quoted Land in the Financial Proposal for the Construction of the Project.
However, under unavoidable circumstances and in the interest of the Project, the Jal Nigam
based on availability, may consider to allocate additional land for the construction of the
Project upon the request of the Concessionaire and such allocation shall be subject to the
payment of a sum equivalent to one hundred and fifty percentage of the Land Rate, for
each additional Hectare of Land and part thereof. If the additional land requirement
changes position of the Selected Bidder/Concessionaire vis a vis the Second Preferred
Bidder, then the Concessionaire shall pay to the Jal Nigam, a sum of equivalent to (a) one
hundred and fifty percentage of the Land Rate for each additional hectare of Land and part
there of; OR (b) the difference between Bid Price of Second Preferred Bidder and the
revised Bid Price of the Selected Bidder; whichever is higher.
(g) Based on the above components quoted by the Bidders in the Bid Price Sheet for the
Facilities, , the Bid Price for each package will be calculated, and the overall Bid Price will
be calculated as per the formula in the Bid Price Sheet.
2.6 The Bidder shall quote the Bid Project Cost in Indian Rupees. However, for any inputs required
22
by the Bidder from outside India during the Construction Period, the Bidder may specify in its
Financial Proposal the percentage of the Bid Project Cost that it would want to receive in a
foreign currency. Payments for such inputs required from outside India may be quoted in up to
3 foreign currencies using RBI selling (exchange) rate prevailing 28 days prior to the Bid Due
Date. It is clarified that the aggregate construction payments due to the Concessionaire during
the Construction Period shall not exceed 40% of the Bid Project Cost, as quoted by the Selected
Bidder in Rupees and adjusted for inflation under the Concession Agreement, on account of a
percentage of the Bid Project Cost being paid to the Concessionaire in foreign currencies.
2.7 Subject to Clause 7.1(e) of this RFP, generally, the Preferred Bidder shall be the one which: (a)
meets the Qualification Criteria and the Eligibility Criteria; and (b) quotes the lowest Bid Price.
Generally, the Preferred Bidder shall be the Selected Bidder for the Project. If the Preferred
Bidder withdraws its Bid or is not selected for any reason, then the Jal Nigam may, in its
discretion, select the Second Preferred Bidder as the Selected Bidder or annul the Bid Process.
2.8 Bidders are required to submit the Bid Security along with their Bids. The Bidders shall provide
the Bid Security in the form of a bank guarantee issued by a Scheduled Bank in India or by a
foreign bank listed with the Reserve Bank of India and payable at Saharanpur in favour of
“Uttar Pradesh Jal Nigam (Rural)” represented by the Superintending Engineer in the format at
set out at Annexure 1I. The original Bid Security must be submitted to the Jal Nigam at
the address mentioned in Clause 24.11 below before the date/time of opening of the
Bids (Qualification Proposals), either by registered/speed post/courier or by hand,
failing which the Bid will be declared non-responsive. A scanned copy of the Bid
Security must be uploaded by the Bidders on the e-Procurement Portal along with their
Bids.
2.9 All Bids are required to be prepared and submitted electronically in accordance with the terms
of this RFP on or before the Bid Due Date.
2.10 The Bidders may inspect the Site and carry out, at their own cost, such inspections as may be
required to submit their respective Bids at any time prior to the date specified in the Bid
Schedule. The Jal Nigam shall facilitate such site visits provided that the Bidder gives the Jal
Nigam at least 2 days' prior written notice of its intention to visit the Site.
2.11 It will be assumed that the Bidders have accounted for all relevant factors, including technical
data, the Site conditions, climate, weather conditions, availability of power (including the
requirement of any power back-up), water and other utilities for construction of the Facilities,
access to the Site, handling and storage of materials, Applicable Laws and Applicable Permits
while submitting their Bids. The Bidders will be deemed to have full knowledge of the Project,
including the scope of activities required to be undertaken by the Bidders to undertake the
Project.
2.12 e-Procurement
(a) The Bid Process will be conducted by way of e-tendering. In order to participate in the
Bid Process, a Bidder must procure a digital signature certificate (class II or III) and
register on the e-Procurement Portal using its digital signature. A digital signature
certificate may be procured from a registered certifying authority as stipulated by
Controller of Certifying Authorities, GoI.
23
(b) In case of a Consortium, the Bidder must register with the e-Procurement Portal in the
name of the Lead Member, using the digital signature certificate issued in the name of
the authorized signatory of the Lead Member.
(a) The Bidders must: (i) upload a soft copy/scanned copy of their Qualification Proposal,
including a copy of the Bid Security on the e-Procurement Portal in PDF format; and
(ii) populate the Bid Price Sheet provided on the e-Procurement Portal, before the
specified time on the Bid Due Date. Upon submitting the Qualification Proposals and
the Financial Proposals on the e-Procurement Portal, the Bidders must affix their digital
signature both to the Qualification Proposals and the Financial Proposals. However,
Bid Security, Power of Attorney, Joint Bidding Agreement, etc. shall be
submitted physically by the Bidder Half an hour before the time for opening of
the Bid as per schedule mentioned in clause 2.14.
(d) The Bidders are encouraged to visit the e-Procurement Portal to acquaint themselves
with the process of submitting their Bids online.
(e) For the purposes of determining the cut-off time for submission of queries and Bids,
the central server time displayed on the clock on the e-Procurement Portal will be
followed by the Bidders and the Jal Nigam
2.13 Any queries or requests for additional information relating to this RFP should be submitted for
clarification by the Bidder to the Jal Nigam by sending an email to seupjnsre@yahoo.com on or
before the specified time and date mentioned in the Bid Schedule.
2.14 The Jal Nigam shall endeavour to adhere to the following schedule for the Bid Process:
S. No. Event Date/Location

1. Issue of RFP www.etenders.up.nic.in
21st November 2022
2. Site Visit Up to 28th November 2022, 18:00
Hrs
3. Last date for receiving queries from 30th November 2022 16:00 Hrs
Bidders Email ID: seupjnsre@yahoo.com
4. Pre-Bid Meeting 2nd December 2022 at 14:00 Hrs
Venue: Office of the Superintending
Engineer, Construction Unit,
Uttar Pradesh Jal Nigam
(Rural), Malhipur Road,
YAP STP, Saharanpur (Uttar
Pradesh) – 247001.
Mob: +91-9473942594
The pre-bid meeting may be
scheduled online. If pre-bid meeting
is scheduled online, the weblink will
be uploaded on e-procurement portal
5. Bid Due Date (Bid Submission 02nd January 2023 up to 15:00 Hrs
Deadline)
24
S. No. Event Date/Location
6. Opening of Bids (Qualification 02nd January 2023 at 16:00 Hrs
Proposals) Office of the Superintending
Engineer, Construction Unit, Uttar
Pradesh Jal Nigam (Rural), Malhipur
Road, YAP STP, Saharanpur (Uttar
Pradesh) – 247001
7. Signing of the Concession Within 45 days from the date of
Agreement acceptance of LOA by the Selected
Bidder
SECTION II: ELIGIBILITY AND QUALIFICATION CRITERIA
3. ELIGIBILITY OF BIDDERS
3.1 Nature of Bidder
(a) A Bidder may be a natural person, a Company registered under the Companies Act or
an equivalent law outside India, or any other private entity or State-owned entity, acting
in its individual capacity or as a Consortium / Joint Venture (JV). The term Bidder used
in this RFP shall apply to both a single entity as well as a Consortium/JV.
However, Bidders that are Government-owned enterprises or State-owned enterprises or
institutions in the Executing Agency’s country may participate only if they can establish
that they (i) are legally and financially autonomous (ii) operate under commercial law, and
(iii) are not under Control of NMCG and / or Jal Nigam (Executing Agency).
To be eligible, a government-owned enterprise or State-owned enterprises or institution shall
establish to the Bank’s satisfaction, through all relevant documents, including its Charter
and other information the Bank may request, that it: (i) is a legal entity separate from the
government; (ii) does not currently receive substantial subsidies or budget support; (iii)
operates like any commercial enterprise, and, inter alia, is not obliged to pass on its surplus
to the government, can acquire rights and liabilities, borrow funds and be liable for
repayment of its debts, and can be declared bankrupt; and (iv) is not bidding for a contract
to be awarded by the department or agency of the government which under their applicable
laws or regulations is the reporting or supervisory authority of the enterprise or has the ability
to exercise influence or control over the enterprise or institution.
(b) Eligible countries:
(i) In accordance with paragraph 3.21 of the Procurement Regulations, the Bank
permits firms and individuals from all countries to offer goods, works and
services for Bank-financed projects. As an exception, firms of a country or goods
manufactured in a country may be excluded if:
(A) Paragraph 3.23 (a)(i): as a matter of law or official regulation, the

Borrower’s country prohibits commercial relations with that country,
provided that the Bank is satisfied that such exclusion does not preclude
25
effective competition for the supply of Goods, Works, Non-consulting
Services, or for the procurement of Consulting Services. When the
procurement is implemented across jurisdictional boundaries (more than
one country is involved in the procurement), exclusion of a firm or
individual on this basis by one country may be applied to that
procurement across other countries involved if the Bank, and all the
Borrowers involved in that procurement, agree; or
(B) Paragraph 3.23 (a)(ii): by an act of compliance with a decision of the

United Nations Security Council taken under Chapter VII of the Charter
of the United Nations, the Borrower’s country prohibits any import of
Goods from, or payments to, a particular country, person, or entity.
When the Borrower’s country prohibits payments to a particular firm or
for particular Goods by such an act of compliance, that firm may be
excluded.
(ii) For the information of Bidders, at the present time, firms, goods and services
from the following countries are excluded from this bidding:
(A) With reference to paragraph 3.23 (a) (i) of the Procurement Regulations:
none
(B) With reference to paragraph 3.23 (a)(ii) of the Procurement

Regulations: none
(c) If a Bidder is a Consortium/JV, then the Consortium/JV and its Members shall comply
with the following conditions:
(i) The number of Members in such Consortium/JV shall not exceed 3.
(ii) The Bid submitted by the Consortium/JV should contain the required
information for each Member and a brief description of the roles and
responsibilities of each Member in delivering on this contract.
(iii) The Consortium will nominate one of the Members as the Lead Member. Such
nomination will be supported by a power of attorney from each Member of the
Consortium and will be in the format set out in Annexure 1J. The Lead Member
will have the authority to represent and bind all the Members during the Bid
Process.
(iv) The Members of the Consortium/JV shall enter into a binding Joint Bidding
Agreement, in the format set out in Annexure 1K, and shall appoint one of the
Members to represent the Consortium/JV. All Members shall be jointly and
severally liable for the performance of the Project till the end of the term of the
Concession Agreement or till the date of exit from the Concessionaire subject
to clause 3.2(b)(iii) of the RFP document, whichever is earlier The Members
will not be permitted to amend or terminate the Joint Bidding Agreement, at
any time during the validity of the Bid without the prior consent of the Jal
Nigam.
26
(d) A Bidder that has been sanctioned by the Bank, pursuant to the Bank’s Anti-
Corruption Guidelines, and in accordance with its prevailing sanctions policies and
procedures as set forth in the World Bank Group’s Sanctions Framework, as described
in Annexure 13 paragraph 2.2 d, shall be ineligible to be prequalified for, initially
selected for, bid for, propose for, or be awarded a Bank-financed contract or benefit
from a Bank-financed contract, financially or otherwise, during such period of time as
the Bank shall have determined. The list of debarred firms and individuals is available
on the Bank’s external website: http://www.worldbank.org/debarr.
3.2 Lock-in Restrictions and Change in Control
(a) Selected Bidder (whether a single entity or Consortium) is required to incorporate a

Special Purpose Vehicle to implement the Project.
(b) If the Selected Bidder is a Consortium/JV, then the Members are required to comply
with the following conditions with respect to the SPV to be incorporated by the
Selected Bidder to implement the Project:
(i) the Lead Member shall hold not less than 26% of the total Equity and voting rights
of the Concessionaire until 3 years after the COD;
(ii) any Member, other than the Lead Member, whose Technical Capacity or Financial
Capacity is being assessed for the purpose of qualification, shall hold at least 26%
of the total Equity and voting rights of the Concessionaire for 3 years after the COD;
and
(iii) after the expiry of 3 years from the COD, the Lead Member and/or other Members
can exit the Concessionaire, subject to: (A) the Member who demonstrated the
O&M experience for the purposes of qualification continuing to be part of the
Concessionaire; or (B) the entity acquiring the shareholding of the Lead
Member/any other Member in the Concessionaire meeting the technical
qualification criteria set out in Clause 4.1 (b); or (C) the Concessionaire appointing
an O&M contractor who complies with the technical qualification criteria set out in
Clause 4.1 (b).
(c) If the Selected Bidder is a single entity, then:
1. the Selected Bidder shall hold at least 51% of the total Equity and voting
rights of the Concessionaire until 3 years after the COD, whichever is later;
and
2. after the expiry of 3 years from the COD, whichever is later, the Selected
Bidder can exit the Concessionaire, subject to: (A) the entity acquiring the
shareholding of the Selected Bidder in the Concessionaire meeting the
technical qualification criteria set out in Clause 4.1 (b); or (B) the
Concessionaire appointing an O&M contractor who complies with the
technical qualification criteria set out in Clause 4.1 (b).
27
(d) If, post submission of the Bid, any Associate, whose credentials have been taken into
consideration for determining Technical Capacity, ceases or will cease to be an
Associate of the Bidder or such Member, then, the Selected Bidder shall seek the
approval of the Jal Nigam for such occurrence. If the Jal Nigam is of the view that such
occurrence is likely to affect the Technical Capacity of the Bidder adversely, then the
Jal Nigam may disqualify the Bidder from participation in the Bid Process; or, if the
Bidder has been declared as the Selected Bidder, withdraw the LOA or treat such
occurrence as a Concessionaire event of default in accordance with the Concession
Agreement, without the Jal Nigam incurring any liability towards the Selected Bidder
or the Concessionaire for such withdrawal or possible termination. While the Jal Nigam
will not unreasonably withhold or delay such approval, the decision of the Jal Nigam
will be final in this regard.
3.3 Conflict of Interest
A Bidder shall not have a conflict of interest (Conflict of Interest). Any Bidder found to have
a Conflict of Interest shall be disqualified. A Bidder may be considered to have a Conflict of
Interest in this Bid Process if, as indicated in this Clause 3.3, the Bidder, directly or indirectly
through an Associate:
(a) controls, is controlled by or is under common control with another Bidder, except that
this disqualification shall not apply to any ownership by a bank, insurance company,
pension fund or a public financial institution referred to in the Companies Act, 2013.
Bidder can view the Companies Act, 2013 at
http://www.mca.gov.in/Ministry/pdf/CompaniesAct2013.pdf. The current list of Public
Financial Institutions is at Annexure 6. The Bidders are advised to ascertain the updated
list of Public Financial Institutions from the available sources; or
(b) receives or has received any direct or indirect subsidy from another Bidder; or
(c) has the same legal representative as another Bidder for purposes of this Bid; or
(d) has a relationship with another Bidder, directly or through common third parties, that
puts them in a position to have access to information about or influence the Bid of one
or the other another Bidder, or influence the decisions of the Jal Nigam regarding this
Bid Process; or
(e) participates in more than one Bid for the same Project (as described in Clause 17); or
(f) participated as a consultant in the preparation of any documents, design or technical

specifications of the Project that are subject of the Bid; or
(g) has been hired (or is proposed to be hired) by the Jal Nigam as project manager for the
Project.
(h) has a close business or family relationship with a professional staff of NMCG (or of
the Jal Nigam, or of a recipient of a part of the loan) who: (i) are directly or indirectly
involved in the preparation of the bidding documents or specifications of the contract,
and/or the bid evaluation process of such contract; or (ii) would be involved in the
implementation or supervision of such contract unless the conflict stemming from such
28
relationship has been resolved in a manner acceptable to the Bank throughout the Bid
Process and execution of the Concession Agreement.
3.4 Fraud and Corrupt Practices:

The Bank requires compliance with the Bank’s Anti-Corruption Guidelines and its
prevailing sanctions policies and procedures as set forth in the WBG’s Sanctions
Framework, as set forth in Annexure 13.
In further pursuance of this policy, Bidders shall permit and shall cause their agents
(where declared or not), subcontractors, subconsultants, service providers, suppliers, and
personnel, to permit the Bank to inspect all accounts, records and other documents relating
to any initial selection process, prequalification process, bid submission, proposal
submission, and contract performance (in the case of award), and to have them audited by
auditors appointed by the Bank.
3.5 Other Eligibility Criteria
If a Company has entered into a contract for operation of the e-Procurement Portal, which is
currently valid and subsisting, then such Company and its Associates will not be eligible to
submit a Bid.
Bidders will provide such evidence of their continued eligibility as the Jal Nigam may request
at any time during or after the Bid Process.
If a Bidder is a Consortium, then the term "Bidder" as used in Clause 3.3, Clause 3.4 and Clause
3.5 shall include each Member of such Consortium, and the term "Associate" as used in Clause
3.3, Clause 3.4 and Clause 3.5 shall include Associates of each Member of the Consortium.
29
Table: Eligibility and Qualification Criteria
Eligibility and Qualification Criteria Compliance Requirements Documentation
Subject/ Clause Requirement Single Entity Joint Venture (existing or intended) and or an Submission
Associate Requirements
All Members Each At Least One
Combined Member Member
3. Eligibility of Bidders
3.1 Nature of Bidders Open to all Bidders from eligible Must meet Must meet Must meet N/A Letter of Bid in
source countries in accordance requirement requirement requirement accordance with
with RFP Clause 3.1(b) Annexure 1A and
Annexure 1B of
RFP
3.1 (a) State- owned Meets conditions of RFP Clause Must meet Must meet Must meet N/A Letter of Bid in
Enterprise or 3.1(a) requirement requirement requirement accordance with
Institution of the Annexure 1A of
Borrower country RFP
3.1(b) (i) (B) United Not having been excluded as a Must meet Must meet Must meet N/A Annexure 1 A
Nations resolution or result of prohibition in the requirement requirement requirement Format of Bid
Borrower’s country Borrower’s country laws or by itself or as Letter
law official regulations against member to
commercial relations with the past or
Bidder’s country, or by an act of existing JV
compliance with UN Security
Council resolution, both in
accordance with RFP Clause
3.1(b) (i) (B).
30
3.3 Conflict of Interest No conflicts of interest in Must meet Must meet Must meet N/A Letter of Bid in
accordance with RFP Clause 3.3 requirement requirement requirement accordance with
Annexure 1A of
RFP
3.4 Fraud and Not having been declared Must meet Must meet Must meet N/A Letter of Bid in
Corrupt Practices ineligible by the Bank, as requirement requirement requirement accordance with
described in RFP Clause 3.4 Annexure 1A of
RFP
Historical Contract Non-Performance
15. Suspension Based Not under suspension based on- Must meet Must meet Must meet N/A Annexure 1A,
on Execution of execution of a Bid/Proposal requirement requirement requirement Format of Bid
Bid/Proposal Securing Securing Declaration pursuant to Letter
Declaration by the RFP clause 15
Employer
31
20.1.(h) History of Non-performance of a contract 3 Must meet Must meet Must meet N/A Annexure 1 H
Non-Performing did not occur as a result of requirement requirements requirement4
Contracts contractor default since 1st
January 2016.
20.1.(h) Pending Bidder’s financial position still Must meet N/A Must meet N/A Annexure 1 H
Litigation sound according to criteria requirement requirement
established in 4.2 (a) below and
assuming that all pending
litigation will be resolved against
the Bidder
20.1.(h) Litigation No consistent history of Must meet Must meet Must meet N/A Annexure 1 H
History court/arbitral award decisions requirement requirement requirement
against the Bidder5 since 1st
January 2016
3
Nonperformance, as decided by the Employer, shall include all contracts where (a) nonperformance was not challenged by the contractor, including through referral to the
dispute resolution mechanism under the respective contract, and (b) contracts that were so challenged but fully settled against the contractor. Nonperformance shall not include
contracts where Employers decision was overruled by the dispute resolution mechanism. Nonperformance must be based on all information on fully settled disputes or
litigation, i.e. dispute or litigation that has been resolved in accordance with the dispute resolution mechanism under the respective contract and where all appeal instances
available to the Bidder have been exhausted.
4
This requirement also applies to contracts executed by the Bidder as JV member.
5
The Bidder shall provide accurate information on the related Bid Form about any litigation or arbitration resulting from contracts completed or ongoing under its execution
over the last five years. A consistent history of awards against the Bidder or any member of a joint venture may result in failure of the Bid.
32
20.1.(q) Declaration: Declare any work contracts that Must make Each must
Environmental and have been suspended or the make the
Social (ES) past terminated and/or performance declaration. declaration.
performance security called by an employer Where there Where there
for reasons of breach of ANNEXURE 1L
are are
environmental, or social - Environmental,
Specialized Specialized
(including Sexual Exploitation N/A Social, Health,
Subcontracto N/A Subcontractor/
and Abuse) contractual and Safety
r/s, the s, the
Performance
obligations in the past five years.6 Specialized Specialized
Declaration
Subcontracto Subcontractor/
r/s must also s must also
make the make the
declaration. declaration.
20.1.(q) Bank’s SEA At the time of Contract Award, Must meet Must meet
and/or SH not subject to disqualification by requirement requirement
Disqualification the Bank for non-compliance (including
with SEA/ SH obligations7 (including each N/A each N/A
subcontractor subcontractor Annexure 1 N
proposed by the proposed by
Bidder) the Bidder)
6
The Employer may use this information to seek further information or clarifications in carrying out its due diligence.
7
If the Bidder has any work contract that has been suspended or terminated and/or performance security called by an employer for reasons of breach of environmental, or social (including Sexual
Exploitation and Abuse) contractual obligations in the past five years, the Bidder shall either (i) provide evidence of an arbitral award made in its favour; or (ii) demonstrate that it has
adequate capacity and commitment to comply with Environmental and Social (ES) obligations; or (iii) provide evidence that it has already demonstrated such capacity and commitment for
another Bank financed works contract. Failure to demonstrate satisfactory response may result in rejection of the bid.
33
4. QUALIFICATION CRITERIA
The Bidders should satisfy the following minimum criteria set out below to qualify for evaluation of the Financial Proposals
4.1 Technical Criteria
The Bidder must have the following experience:
4.1 Development/D (A) For demonstrating technical Must meet Must meet N/A N/A Annexure 1 E
(a) esign and capacity and experience (the requirement requirement
Construction “Technical Capacity”), the
experience Bidder shall, during the 5
Financial Years immediately
preceding the that of the Bid Due
Date, have:
(i) paid for, or received payments
for, construction of Eligible
Project(s); and/or
(ii) paid for development of
Eligible Project(s) in Category 1
and/or Category 2 specified in
Clause 4.1 (a) (B); and/ or
(iii) collected and appropriated
revenues from Eligible Project(s)
34
in Category 1 and/or Category 2
specified in Clause 4.1 (a) (B),
such that the sum total of the
above, is more than Rs. 260.00
Crore (US$ 33 million) (Rupees
Three Hundred Sixty Crore only)
(US$ Thirty Three million) (the
“Threshold Technical
Capability”).
If the Bidder is relying on a Sub
Contractor for Project Specific
STP/ ETP / CETP experience
only as per Clause 4.1(a)(F)(iii),
then 25% of the Threshold
Technical Capability shall be met
by such Nominated STP Sub-
Contractor. The Bidder shall
meet 75% of the Threshold
Technical Capability.
(B) Technical Capacity for purpose of evaluation of Eligible Projects
35
Subject to the provisions of Clause 4.1(a), the following categories of experience would qualify as Technical Capacity and
Eligible Experience (the “Eligible Experience”) in relation to eligible projects, as stipulated in Clauses 4 .1 (a)(C), Clause 4.1
(a) (D) and Clause 4.1 (a)(E) (the “Eligible Projects”):
 Category 1: Development (PPP) experience on Eligible Projects in Infrastructure sector that qualify under Clause 4.1(a)(C).
 Category 2: Construction experience on Eligible Projects in Infrastructure sector that qualify under Clause 4.1 (a)(D).
For the purpose of this RFP, Infrastructure Sector would be deemed to include highways/roads, power, telecom, ports, airports,
railways, metro rail, industrial parks/ estates, logistic parks, pipelines, irrigation, sewerage network, water, wastewater, drainage
and real estate development.
Eligible Experience in respect of each category shall be measured only for Eligible Projects.
The Bidders shall quote experience in respect of a particular Eligible Project under any one category only, even though the Bidder
(either individually or along with a member of the Consortium) may have played multiple roles in the cited project. Double
counting for a particular Eligible Project shall not be permitted in any form.
(C) For a project to qualify as an Eligible Project under Category 1:

(i) It should have been undertaken as a PPP project on BOT, BOLT, BOO, BOOT or other similar basis for providing its output
or services to a public sector entity or for providing non-discriminatory access to users in pursuance of its charter, concession or
contract, as the case may be. For the avoidance of doubt, a project which constitutes a natural monopoly such as an airport or
port should normally be included in this category even if it is not based on a long-term agreement with a public entity;
(ii) the entity claiming experience should have held, in the company owning the Eligible Project, a minimum of 26% (twenty-
six per cent) equity during the entire year for which Eligible Experience is being claimed;
36
(iii) the capital cost of each project should be more than Rs. 26 Crore (Rupees Twenty-Six Crore only); and
(iv) the entity claiming experience shall, during the 5 Financial Years immediately preceding that of the Bid Due Date, have (1)
paid for development of the project (excluding the cost of land), and/ or (2) collected and appropriated the revenues from users
availing of non-discriminatory access to or use of fixed project assets, such as revenues from highways, airports, ports and
railway infrastructure, but shall not include revenues from sale or provision of goods or services such as electricity, gas,
petroleum products, telecommunications or fare/freight revenues and other incomes of the company owning the Project.
(v) The Bidder shall provide the necessary information relating to Technical Capacity as per format at Annexure 1E Part III.
(D) For a project to qualify as an Eligible Project under Category 2, the Bidder should have paid for execution of its
construction works or received payments from its client(s) for construction works executed, fully, during the 5 Financial Years
immediately preceding the Bid Due Date, and only the payments (gross) actually made or received, as the case may be, during
such 5 (five) financial years shall qualify. However, payments/receipts of less than Rs. 26 Crore (Rupees Twenty-Six Crore
only); shall not be reckoned as payments/receipts for Eligible Projects. For the avoidance of doubt, construction works 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. Further, the cost of land shall not be included hereunder.
The Bidders shall furnish the required Project-specific information and evidence in support of its claim of Technical Capacity,
as per format at Annexure 1E Part IV.
(E) Experience for any activity relating to an Eligible Project shall not be claimed by two or more Members of the
Consortium. In other words, no double counting in respect of the same experience shall be permitted in any manner whatsoever.
37
Provided that, the experience taken into assessment will be only of those who contribute a minimum 26% share to the
Consortium.
Further, in case of a Nominated STP Sub-Contractor, experience for any activity relating to an Eligible Project shall not be
claimed both by the Nominated STP Sub-Contractor and the Bidder.
(F) Technical Criteria for Must meet Must meet N/A N/A Annexure 1 E
Similar Experience: requirement requirement
(i) The Bidder shall have
developed and/or designed and
constructed, in the last 10 (ten)
years immediately preceding that
of the Bid Due Date, at least One
(1) Sewage Treatment Plant
(STP) / Effluent Treatment Plant
(ETP) / Common Effluent
Treatment Plant (CETP) of at
least 34 MLD Capacity, which
shall have been developed or
designed and constructed using
any technology.
(ii) The Bidder shall inform on
whether said STP/ETP/CETP
included the treatment for
38
nutrient removal or not (However
this information shall not be
considered for qualification
purposes).
(iii) Provided if the Bidder does

not have the STP/ ETP/ CETP
experience, then the Bidder may
rely upon the experience of a
Nominated STP Sub-Contractor
for the purpose. In such case, the
shall meet the eligibility criteria
under this section. Further, the
same Nominated STP Sub-
contractor shall also meet the
Operation & Maintenance
Experience specified below
under clause 4.1(b) of this RFP.
(iv) The Bidder shall submit a
Sub-contractor Undertaking to
the extent that such Nominated
STP Sub-Contractor will be
engaged for designing and/or
39
constructing the proposed Project
along with the certificate of
experience from the relevant
government authority/client for
the project experience. In
addition to this, both the
and the Bidder shall each submit
50% of the Performance Security
as mentioned in Clause 16.1 of
this RFP. The Performance
Security submitted by the
shall be liable to be forfeited in
the event of the Nominated STP
Sub-Contractor leaving the
project before the COD. In such
situation, the Concessionaire is
required to nominate another sub-
contractor as per the Clause
4.1(a) F (iii), 4.1(a) F (iv) of this
RFP.
40
(v) One Nominated STP Sub-
Contractor can associate with
only one Bidder at any point in
time during the bidding. The
approved Nominated STP Sub-
Contractor shall not be changed
without prior approval of Jal
Nigam and NMCG.
(vi) The experience claimed shall
be evidenced by the issuance of a
completion certificate by the
relevant government
authority/client, certifying that
the STP/ETP/CETP have been
completed in terms of the
concession agreement or similar
contract executed for such plants;
(vii) To claim development
experience, the entity claiming
the experience shall have held, in
the company developing the
STP/ETP/CETP, a minimum of
26% equity share capital as on the
41
commercial operations date of
such project.
(viii) To claim design and
construction experience, the
entity claiming experience should
have been appointed as the
principal contractor (i.e., the
contractor hired directly by the
owner of the project/entity
developing the relevant
STP/ETP/CETP) and any other
subcontractor experience is not
permitted for claiming this
Technical Capacity.
(ix) The Bidder shall be required
to develop the STPs using any
technology prescribed in the
CPHEEO Manual.
(x) For using technologies other
than those mentioned in the
CPHEEO manual, the Bidder
shall tie up with a suitable
42
technology provider subject to
following conditions:
(a) That the Bidder shall clearly
indicate the name of the
technology provider in Annexure
1B;
(b) That the STPs using such new
technology have been developed
or designed and constructed in
the 10 (Ten) years preceding the
Bid Due Date, as evidenced by
the issuance of a completion
certificate by the relevant
government authority/client,
certifying that the STP(s) have
been completed in terms of the
concession agreement or similar
contract executed for such
STP(s); and
(c) That the STPs using such new
technology have been
successfully operational for any
43
24 consecutive months in the 10
(ten) years preceding the Bid Due
Date, in accordance with the
relevant concession agreement or
similar contract executed for such
STP(s), as evidenced by a
certificate from the relevant
government authority/client.
(d) That the technology provider
undertakes to associate with the
construction of the proposed
Project up to completion of 2
years from COD as evidenced by
a suitable Technology Agreement
and a Technology Performance
Security of 5 % of the Bid Project
Cost, which shall be forfeited if
the technology provider leaves
the project before the completion
of 2 years from COD. The
Technology Performance
Security shall be returned on
completion of 2 years from COD.
44
(e) That one technology provider
can associate with only one
Bidder at any point in time during
the bidding.
(xi) Pipeline: The Bidder should
have (A)developed and/or (B)
designed and constructed and / or
(C) constructed at least 1 (one)
km of sewer pipeline/ pipeline
network of at least 1,000 (one
thousand) mm diameter
experience in the last 10 years.
This experience same can also be
claimed via a nominated
subcontractor (“Pipeline
Nominated Subcontractor”). In
such a case the Bidder will be
required to provide a consent
letter in the format set out in
Annexure 3 (along with
experience certificate(s) from the
relevant government authority/
client). Such Pipeline Nominated
45
Subcontractor shall be engaged
for the design and construction of
the proposed Project, if the
Bidder is declared the Selected
Bidder, and will be required to
provide a consent letter in the
format set out in Annexure 3
(along with experience
certificate(s) from the relevant
government authority/ client) and
should be available to execute the
proposed specialized work
4.1 Operation and Must meet Must meet N/A N/A Annexure 1 E
(b) maintenance
(i) The Bidder shall have requirements requirements Part II
experience
successfully operated and
maintained at least 1
STP/ETP/CETP of at least 34
MLD capacity, for any 12
consecutive months in the 10
years immediately preceding the
Bid Due Date, in accordance with
the relevant concession
agreement or similar contract
46
executed for such
STP/ETP/CETP. For
demonstrating O&M experience
of STP/ETP/CETP, the Bidder
(and in case of a Consortium, any
Member) is required to submit a
certificate from the relevant
government authority/client,
evidencing successful operations
and maintenance of the
STP/ETP/CETP for which the
Bidder is claiming O&M
experience.
(ii) Provided if the Bidder does
not have the required experience
under this clause 4.1(b), then the
Bidder may rely upon the
experience of the Nominated STP
Sub-Contractor whose
experience is claimed for the
requirement under clause 4.1 (b)
for the purpose.
47
The Bidder shall submit a Sub-
contractor Undertaking to the
extent that such Nominated STP
Sub-Contractor will be engaged
for the Operation & Maintenance
of the proposed Project, along
with the certificate of experience
from the relevant government
authority/client for the project
experience. In addition to this,
both the Nominated STP Sub-
Contractor and the Bidder shall
each submit 50% of the O&M
Performance Securities as
mentioned in Clause 16B.1 of this
RFP. The performance security
submitted by the Nominated STP
Sub-Contractor shall be liable to
be forfeited in the event of the
leaving the project before the
completion of 2 years from the
COD. In such situation, the
Concessionaire is required to
48
nominate another sub-contractor
as per the Clause 4.1(b)(ii) of this
RFP. Also, one Nominated STP
Sub-Contractor can associate
with only one Bidder at any point
in time during the bidding.
(iii) In the event that the Bidder
has required experience under
this clause 4.1(b) but has relied
upon the experience of the
under 4.1(a)(F)(i), both the
and the Bidder shall each submit
50% of the O&M Performance
Securities as mentioned in Clause
16B.1 of this RFP. The
performance security submitted
by the Nominated STP Sub-
Contractor shall be liable to be
forfeited in the event of the
leaving the project before the
49
completion of 2 years from the
COD. In such situation, the
Concessionaire is required to
nominate another sub-contractor
as per the Clause 4.1(b)(ii) of this
RFP. Also, one Nominated STP
Sub-Contractor can associate
with only one Bidder at any point
in time during the bidding.
4.1 It is clarified
(c) that: (i) the Bidder must demonstrate both development/design and construction experience specified in Clause 4.1(a) above and
O&M experience specified in Clause 4.1(b) above to be technically qualified for evaluation of the Financial Proposals;
(ii) the Bidder may rely on the experience of its Associate(s) for demonstrating the Technical Capacity (including, if applicable,
under Clause 4.1(a). However, a Bidder claiming the experience of the Associates for Technical Capacity, shall submit a Letter
of Commitment from such Associate that the expertise of the Associate will be made available during the development and
operation of the Project;
(iii) in case of a Consortium, the Development/Design and Construction experience set out in Clause 4.1(a)(F)(i), must be
demonstrated by one Member and the O&M experience set out in Clause 4.1(b) may be claimed by a different Member;
(iv) if the Development/ Design and Construction experience as set out in Clause 4.1(a)(F)(i), and the Operation and maintenance
experience set out in Clause 4.2(b) is being claimed by different Members, then each such Member who demonstrates
50
development/design and construction experience or O&M experience for STP , must hold a minimum of 26% of the total Equity
and voting rights of the Concessionaire for at least 3 years post the COD, whichever is later;
(v) the development/design and construction experience and the O&M experience may be claimed in relation to the same STP.
If, however, the development/design and construction experience and the O&M experience is being claimed for different STPs,
then it is clarified that the STP for which O&M experience is being claimed may be based on a technology which is different
from the technology used in the STP(s) for which development/design and construction experience is being claimed; and
(vi) subject to Clause 18.2, for certificate(s) claiming development/design and construction experience and Operation and
Maintenance experience that are issued overseas, the document will also have to be legalized by the Indian Embassy and
notarized in the jurisdiction where the certificate is being issued. However, the certificates provided by the Bidders from
countries that have signed The Hague Legislation Convention, 1961 are not required to be legalized by the Indian Embassy if it
carries a conforming Apostille certificate.
4.1 Biogas Power Must meet Must meet N/A N/A Annexure 2
(d) Plant Setting up an STP effluent based requirements requirements
biogas plant is mandatory for
Saharanpur STP Facilities8.
If the Bidder does not have any

experience of having developed
or designed and constructed a
8
The bidder will be required to produce and deliver biogas as specified in the Schedule-1, Scope of Work
51
biogas power plant, the Bidder
will be required to nominate an
experienced power plant
developer which has developed
and/or designed and constructed a
biogas power plant, which meets
the criteria set out in (A) to (D)
above. The nominated power
developer will be engaged to
develop the power plant for the
Project, if the Bidder is declared
the Selected Bidder, and will be
required to provide a consent
letter in the format set out in
Annexure 3B (along with
certificate(s) from the relevant
government authority/ client).
4.2 Financial Situation and Performance
4.2 Financial The audited balance sheets or, if Must meet Must meet N/A N/A Annexure 1 D
(a) Capabilities not required by the laws of the requirement requirement
Bidder’s country, other financial
statements acceptable to the
Employer, for the four financial
years immediately preceding that
52
of the Bid Due Date, shall be
submitted and must demonstrate
the current soundness 9 of the
Bidder’s financial position:
(i) In each of any three Financial
Years during the periods 2018-
19, 2019-20, 2020-21 and 2021-
22, the Bidder or an Associate
should have a minimum Net
Worth of INR 65 Crore (INR Must meet Must meet N/A N/A
Sixty Five Crore only) or requirement requirement
US$8.22Mn (US Dollar Eight
Million Twenty Two Hundred
Thousand Dollars Only) as
documented through unqualified
9
The Bidder, (and in case of a Consortium, any Member), should also document under Annexure 1D that it is not affected by and have not been affected by any of the following
events –
(i) the Bidder is being subject to proceedings for declaration of or being declared bankrupt, being wound up, or having its affairs administered or conducted by any court,
administrator, receiver; or
(ii) the Bidder having been declared by a court or other competent authority as being unable to pay its debts or having made any composition or arrangements with creditors or
having had the repayment of its debts suspended.
53
audited annual financial
statements.
If the annual accounts for the
Financial Year immediately
preceding the Bid Due Date are
not audited, the Bidder shall
provide the provisional
Sl. no. Document Clause No.
Existing Clause Revised Clause
annual accounts for such
Financial Year. The provisional
annual accounts shall be
accompanied by an undertaking
by the Bidder to the effect that:
(A) if it is chosen as the Selected
Bidder, the Bidder will submit the
audited annual accounts for the
Financial Year immediately
preceding the Bid Due Date prior
to the Effective Date; and Must meet N/A N/A
(B) the Net Worth as per such Must meet requirement
audited annual accounts shall not requirement
vary by more than 5% from the
54
provisional accounts submitted
by it with its Bid.
(ii) If the Bidder is a
Consortium, then the Net Worth,
as required in 4.2 (a) (i) above
may be demonstrated
cumulatively, i.e., the
Consortium as a whole should
meet the requirement. Provided
further that if the Bidder is
subsequently declared as the
Selected Bidder for the Project,
then any Member of the
Consortium whose Net Worth
was assessed for the purposes of
demonstrating that the
Consortium has the Financial
Capacity to undertake the Project,
shall hold a minimum of 26% of
the subscribed and paid up Equity
of the SPV incorporated by the
Selected Bidder for the Project
Concessionaire for 3 (three) years
55
post the Saharanpur Facilities
COD, whichever is later.
(iii) A Bidder or a Member of
a Consortium may rely on the Net
Worth of an Associate/(s) for
demonstrating its Financial
Capacity. In such a case, the
Bidder or a Member of a
Consortium shall submit an
undertaking from the
Associate(s) stating that the
necessary proportionate equity
for the project will be provided
for successful implementation of
the project. In addition to this,
during Financial Closure,
necessary board resolution from
the Associate has to be submitted
to the extent of equity
contribution.
56
57
SECTION III: INSTRUCTION TO BIDDERS
PART A. GENERAL
5. SCOPE OF RFP
5.1 The Jal Nigam wishes to receive Bids in accordance with this RFP for award of the Project.
5.2 The RFP must be read as a whole. If any Bidder finds any ambiguity or lack of clarity in this
RFP, the Bidder must inform the Jal Nigam at the earliest. The Jal Nigam will then direct the
Bidders regarding the interpretation of the RFP. If any discrepancy, ambiguity or contradiction
arises between the terms of the RFP and the Concession Agreement in relation to:
(a) the Bid Process, the provisions of the RFP shall prevail; and
(b) the scope of services or any other terms or conditions of the Concession Agreement,
including Technical Specifications, the provisions of the Concession Agreement shall
prevail.
6. ACKNOWLEDGEMENT BY THE BIDDER
6.1 It shall be deemed that by submitting the Bid, the Bidder has:
(a) made a complete and careful examination of the RFP (including all instructions, forms,
terms and specifications) and any other information provided by the Jal Nigam under
this RFP and the Bidder acknowledges that its submission of a Bid that is not
substantially responsive to the RFP in every respect will be at the Bidder's risk and may
result in rejection of the Bid;
(b) received all relevant information requested from Jal Nigam and NMCG;
(c) accepted the risk of inadequacy, error or mistake in the information provided in the
RFP or furnished by or on behalf of the Jal Nigam;
(d) satisfied itself about all things, matters and information, necessary and required to
submit a Bid;
(e) acknowledged and agreed that inadequacy, lack of completeness or incorrectness of

information provided in the RFP or ignorance of any matter in relation to the Project
shall not be a basis for any claim for compensation, damages, extension of time for
performance of its obligations or loss of profits or revenue from the Jal Nigam or
NMCG, or a ground for termination of the Concession Agreement;
(f) satisfied itself regarding the suitability of the Site conditions to undertake the Project;
and
(g) agreed to be bound by the undertakings provided by it under and in terms of this RFP.
6.2 The Bidder commit to bring to the attention of the Jal Nigam and NMCG any such issue as
mentioned in section 6.1 it would have identified, either at the pre-bid meeting or through a
written clarification request. The Jal Nigam shall not be liable for any omission, mistake or
58
error in respect of any of the above or on account of any matter or thing arising out of or relating
to the RFP or the Bid Process.
7. RIGHTS OF THE JAL NIGAM
7.1 The Jal Nigam in its sole discretion and without incurring any obligation or liability, reserves
the right, at any time, to:
(a) suspend the Bid Process and/or amend and/or supplement the Bid Process or modify
the dates or other terms and conditions relating thereto;
(b) consult with any Bidder in order to receive clarification or further information at any
stage of the Bid Process;
(c) retain any information, documents and/or evidence submitted to the Jal Nigam by
and/or on behalf of any Bidder;
(d) independently verify, disqualify, reject and/or accept any and all documents,
information and/or evidence submitted by or on behalf of any Bidder;
(e) reject any Bid, if:
(i) at any time, a material misrepresentation is made or uncovered; or
(ii) the Bidder in question does not provide, within the time specified by the Jal
Nigam, the supplemental information sought by the Jal Nigam for evaluation
of the Bid; or
(f) accept or reject a Bid, annul the Bid Process and reject all Bids, at any time, without
any liability or any obligation for such acceptance, rejection or annulment and without
assigning any reasons whatsoever, including the Bidders.
If the Jal Nigam annuls the Bid Process and rejects all Bids, it may in its sole discretion
invite fresh Bids for the Project.
7.2 If the Jal Nigam exercises its right under this RFP to reject a Bid and consequently, the Preferred
Bidder for the Project gets disqualified or rejected, then the Jal Nigam reserves the right to:
(a) select the Second Preferred Bidder as the Selected Bidder for the Project; or
(b) take any such measure as may be deemed fit by the Jal Nigam, with prior approval
of the World Bank in writing.
7.3 If it is found during the Bid Process, at any time before signing the Concession Agreement that
one or more of the Qualification Criteria and/or the Eligibility Criteria have not been met by a
Bidder or that the Bidder has ceased to meet them, or a Bidder has made material
misrepresentations or has given any materially incorrect or false information, then such Bidder
will be disqualified.
If such Bidder has been declared as the Selected Bidder or has already been issued the LOA or
59
has entered into the Concession Agreement, the LOA or the Concession Agreement, as the case
may be, shall be liable to be terminated, by a notice in writing from the Jal Nigam to the Selected
Bidder.
Upon any disqualification, cancellation or termination in accordance with this Clause 7.3, the
Jal Nigam will not be liable in any manner whatsoever to the Bidder. Additionally, Jal Nigam
will have the right to forfeit and appropriate the Bid Security or, as the case may be, appropriate
an equivalent amount from the Performance Security if the Concession Agreement has been
executed, as a mutually agreed genuine pre-estimate of the loss suffered by the Jal Nigam for,
amongst others, the Jal Nigam's time, cost and efforts in conducting the Bid Process. Such
forfeiture will be without prejudice to any other right or remedy that the Jal Nigam may have
under the RFP, the Concession Agreement or Applicable Laws
8. CLARIFICATIONS ON THE RFP
8.1 Clarifications and Queries
(a) A Bidder requiring any clarification of the Bidding document shall contact the Jal Nigam
in writing at the Jal Nigam address by sending email to seupjnsre@yahoo.com or raise
its enquiries during the pre-Bid meeting. All such queries and requests for clarification
shall be submitted using the Form for Clarification Questions contained in Annexure 8 to
this RFP. The Jal Nigam will respond in writing to any request for clarification, provided
that such request is received before the last date for receiving queries from Bidders as set
in Clause 2.14. The queries should also submit the same in secure and non-editable format
at the e-mail address indicated in Clause 2.13 for purpose of ease in collation of the
queries. Should the clarification result in changes to the essential elements of the Bidding
document, the Employer shall amend the Bidding document.
The Bidder is advised to visit and examine the Site of Works and its surroundings and
obtain for itself on its own responsibility all information that may be necessary for
preparing the Bid and entering into a contract for construction of the Works. The costs of
visiting the Site shall be at the Bidder’s own expense.
The Bidder and any of its personnel or agents will be granted permission by the Employer
to enter upon its premises and lands for the purpose of such visit, but only upon the express
condition that the Bidder, its personnel, and agents will release and indemnify the
Employer and its personnel and agents from and against all liability in respect thereof, and
will be responsible for death or personal injury, loss of or damage to property, and any
other loss, damage, costs, and expenses incurred as a result of the inspection.
(b) The Jal Nigam shall make reasonable efforts to respond to the queries or requests for
clarifications on or before the date mentioned in the Bid Schedule. The Jal Nigam's
responses (including an explanation of the query but not identification of its source) will
be made available to all the Bidders and shall be uploaded on the e-Procurement Portal. If
similar or repeated queries are made by Bidders, the Jal Nigam may list those queries as
one query & respond to such query only once.
(c) The Jal Nigam may, on its own initiative, if deemed necessary, issue clarifications to
all the Bidders. All clarifications and interpretations issued by the Jal Nigam shall be
deemed to be part of this RFP. Should the Jal Nigam deem it necessary to amend the
60
RFP as a result of a request for clarification, it will do so following the procedure under
Clause 9 of this RFP.
(d) It shall be the responsibility of the Bidders to check e-Procurement Portal for the
response to the queries or requests for clarifications.
(e) Verbal clarifications and information given by NMCG, the Jal Nigam or any other
Person for or on its behalf shall not in any way or manner be binding on NMCG or the
Jal Nigam.
8.2 Pre-Bid Meeting
(a) All interested Companies shall be invited to attend the Pre-Bid Meeting on the date, time and
place mentioned in the Bid Schedule. The purpose of the Pre-Bid Meeting will be to clarify
issues and answer questions on any matter relating to the RFP, the Bid Process and the Project.
Each prospective Bidder is requested as far as possible, to submit any question in writing to
reach the Jal Nigam not later than one week before the pre-bid meeting.
(b) All interested Companies may nominate up to 3 authorized representatives to participate in

the Pre-Bid Meeting, by confirming the participation of its authorized representatives at the
Pre-Bid Meeting at least 3 days prior to the date of the Pre-Bid Meeting. Such confirmation
shall be sent by e-mail to seupjnsre@yahoo.com.
(c) During the course of the Pre-Bid Meeting, all interested Companies will be free to seek
clarifications and make suggestions to the Jal Nigam.
(d) Non-attendance at the Pre-Bid Meeting will not be a cause for disqualification of an interested
Company from participating in the Bid Process.
9. AMENDMENT OF THE RFP
9.1 Up until the date that is mentioned in the Bid Schedule, the Jal Nigam may, for any reason,
whether on its own initiative or in response to a query raised or clarifications requested by a
Bidder, amend the RFP by issuing an Addendum or an amended RFP and amended draft
9.2 All Addenda/amendments and amended RFP & amended draft Concession Agreement will be
uploaded on e-Procurement Portal.
9.3 The Bidders are required to visit the website before submission of the Bid to take into account
with any Addenda/amendments that may be issued in accordance with this Clause 9.
9.4 Each Addendum/amendment will be binding on the Bidders, whether or not the Bidders convey
their acceptance of the Addendum/amendment.
9.5 Any oral statements made by NMCG or the Jal Nigam or its advisors regarding the Bid Process,
the RFP or on any other matter, shall not be considered as amending the RFP.
9.6 The Jal Nigam will assume that the information contained in the Addendum/amendments will
have been taken into account by the Bidder in its Bid. The Jal Nigam assumes no responsibility
for the failure of a Bidder to submit the Bid in accordance with the terms of the
Addendum/amendments or for any consequent losses suffered by the Bidder.
61
10. AVAILABILITY OF INFORMATION
10.1 The information relating to or in connection with the Project, the Bid Process and this RFP,
including all notices issued by the Jal Nigam to all Bidders in accordance with this RFP; queries
and responses or clarifications and any Addenda will be uploaded e-Procurement Portal.
10.2 All such information will be made available for review by the Bidders until the Bid Due Date.
10.3 If a Bidder faces any technical issue or technical error in accessing e-Procurement Portal, the
Bidder may seek assistance from the Jal Nigam by sending an e-mail request to
seupjnsre@yahoo.com, no later than 7 days prior to the Bid Due Date.
10.4 The Jal Nigam will use its best endeavours to respond to a written e-mail request and resolve
the technical issue or error or provide an alternative solution to the Bidder within 3 days of
receipt of such request.
11. CORRESPONDENCE WITH BIDDERS
Save as expressly provided in this RFP, NMCG and the Jal Nigam will not entertain any
correspondence with the Bidders, whether in connection with the acceptance or rejection of
their Bids or otherwise.
12. CONFIDENTIAL INFORMATION AND PROPRIETARY DATA
12.1 Proprietary Data
All documents and other information provided by the Jal Nigam or submitted by a Bidder to
the Jal Nigam will remain or become the property of the Jal Nigam as the case may be. Bidders
are required to treat all information provided by the Jal Nigam in the RFP as strictly confidential
and not to use them for any purpose other than for preparation and submission of their Bids.
12.2 Confidentiality Obligations of the Jal Nigam
The Jal Nigam will treat all information, submitted as part of a Bid as confidential and will
require all those who have access to such material to treat it in confidence. The Jal Nigam may
not divulge any such information or any information relating to evaluation of Bids or the
qualification of Bidders unless:
(a) such publication is contemplated under this RFP;
(b) such publication is made to any Person who is officially involved with the Bid Process
or is a retained professional advisor advising the Jal Nigam, NMCG or the Bidder on
matters arising out of or in connection with the Bid Process;
(c) it is directed to do so by any statutory authority that has the power under law to require
its disclosure;
(d) such publication is to enforce or assert any right or privilege of the statutory authority
and/or the Jal Nigam and/or NMCG or as may be required by law (including under the
Right to Information Act, 2005); or
62
(e) in connection with any legal process.
13. GOVERNING LAW AND JURISDICTION
13.1 Governing Law
The Bid Process, this RFP and the Bids shall be governed by, and construed in accordance with,
the laws of India.
13.2 Exclusive Jurisdiction
The competent courts in Uttar Pradesh shall have jurisdiction over all disputes arising under,
pursuant to and/or in connection with the Bid Process, this RFP and the Bids.
14. VALIDITY OF THE BIDS
14.1 The Bids shall remain valid for a period of 180 days from the Bid Due Date. A Bid valid for a
shorter period shall be rejected by the Jal Nigam as being non-responsive.
14.2 In exceptional circumstances, prior to the expiry of the Bid validity period, the Jal Nigam may
request Bidders to extend the Bid validity period. The request by the Jal Nigam and the Bidders’
responses shall be made in writing. A Bidder may refuse UP Jal Nigam’s request to extend the
validity period of its Bid, without being bound to the Bid Security. However, a Bidder granting
the request shall not be required or permitted to modify its bid.
PART B. BID SECURITY, PERFORMANCE SECURITY AND ESHS PERFORMANCE

SECURITY
15. BID SECURITY
15.1 The Bidder shall furnish as part of its Bid, a bid security for the Project (the Bid Security).
The Bid Security shall be for an amount equivalent to INR 5.20 Crore (Rupees Five
Crores Twenty Lakh only) or US$ 658,228 or an equivalent amount in a freely
convertible currency
15.2 The Bid Security shall remain valid till forty-five (45) days beyond the Bid validity
period specified in Clause 14 or the extended period as per the request of UP Jal Nigam
and agreed by the Bidder, whichever is later.
15.3 The Bidder shall provide the Bid Security in the form of a bank guarantee issued by a
Scheduled Bank in India or by a foreign bank listed with the Reserve Bank of India
having its branches in India. The Bid Security shall be issued in favour of the " Uttar
Pradesh Jal Nigam (Rural) ", represented by the Superintending Engineer, UPJN(R),
payable at Saharanpur and in the format set out in Annexure 1I.
15.4 Unless forfeited in accordance with Clause 15.5 below, the Bid Security of the
unsuccessful Bidders will be returned by the Jal Nigam no later than 30 days from the
date of execution of the Concession Agreement with the SPV incorporated by the
Selected Bidder.
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The Bid Security of the Selected Bidder will be returned upon the SPV incorporated by the
Selected Bidder furnishing the Saharanpur Facilities Performance Security, ESHS Security,
and, if applicable, Additional Performance Security, in accordance with Clause 16 and ESHS
Performance Security in accordance with Clause 16A.
15.5 The Bid Security shall be forfeited and appropriated by the Jal Nigam as mutually
agreed genuine pre-estimated compensation and damages payable to the Jal Nigam for
time, cost and effort of the Jal Nigam, without prejudice to any other right or remedy
that may be available to the Jal Nigam hereunder or otherwise, under the following
conditions:
(a) if a Bidder is disqualified in accordance with, Clause 3.2 (Lock-in Restrictions

and Change in Control), Clause 3.3 (Conflict of Interest), Clause 3.5 (Other
Eligibility Criteria), Clause 7.3 (Rights of the Jal Nigam), Clause 17 (Number
of Bids) and Clause 31.3 (Execution of Concession Agreement);
(b) if, after the Bid Due Date, a Bidder withdraws its Bid during the Bid validity
period; or
(c) if a Bidder is selected as the Selected Bidder and it fails, within the specified
time limit, to:
(i) sign and return, as acknowledgement, the duplicate copy of the LOA;
(ii) cause the Concessionaire to furnish the Performance Security in accordance

with Clause 16;
(iii)cause the Concessionaire to furnish the ESHS Performance Security in

accordance with Clause 16A;
(iv) fulfil any other condition precedent to the execution of the Concession
Agreement; or
(v) cause the Concessionaire to execute the Concession Agreement.
16. PERFORMANCE SECURITY
Before signing of the concession agreement, the Selected Bidder shall cause the Concessionaire
to furnish the Performance Security and, the Environmental, Social, Health and Safety (ESHS)
Performance Security in accordance with the Conditions detailed hereinafter, using for that
purpose the Performance Security and ESHS Performance Security Forms included as
Annexure 4 & 5 respectively, or another form acceptable to the Executing Agency. If the
Performance Security furnished by the Selected Bidder is in the form of a bond, it shall be
issued by a bonding or insurance company that has been determined by the Selected Bidder to
be acceptable to the Executing Agency. A foreign institution providing a bond shall have a
correspondent financial institution located in the Executing Agency’s Country, unless the
Executing Agency has agreed in writing that a correspondent financial institution is not
required.
64
Failure of the Selected Bidder to submit the above-mentioned Performance Security and, the
Environmental, Social, Health and Safety (ESHS) Performance Security, or sign the
Concession Agreement shall constitute sufficient grounds for the annulment of the award and
forfeit the Bid Security and pursuant to Clause 15.5. In that event the Executing Agency may
award the Project to the Bidder offering the next Most Advantageous Bid.
16.1 The Selected Bidder shall cause the Concessionaire to furnish to the Jal Nigam the Performance
Securities for a value equal to 3% of the Bid Project Cost in the substance and form set out in
Annexure 4 or in another form approved by the Jal Nigam, on or before the execution of the
Concession Agreement to secure the obligations of the Concessionaire under the Concession
Agreement
If the Selected Bidder has nominated a STP Sub Contractor to meet the Technical Criteria
defined in Clause 4.1(a), the bidder and the Nominated STP Sub-Contractor shall each submit
50% of the Performance Security, as mentioned in this Clause 16.1. On substitution of
Nominated STP Sub-Contractor as per Clause 4.1(a)(C)(v), Clause 4.1(b)(ii), the new sub-
contractor shall submit to the Jal Nigam 50% of the Performance Security, .
16.2 The above Performance Securities shall remain valid until 24 months from the Effective Date
or 1 month from the relevant COD, whichever is later.
16.3 The Selected Bidder shall cause the Concessionaire to provide the Performance
Security/Securities in the form of bank guarantee(s) issued by a Scheduled Bank in India or a
guarantee issued by a Public Financial Institution. The Performance Security/Securities shall
be issued in favour of "Uttar Pradesh Jal Nigam (Rural)", represented by the Superintending
Engineer, Construction Unit, UP Jal Nigam (Rural) payable at Saharanpur and in the format set
out in Annexure 4.
16.4 If the Selected Bidder fails to cause the Concessionaire to furnish the Performance Security
/Securities in accordance with this Clause 16 on or before the execution of the Concession
Agreement, then the Executing Agency shall have the right to forfeit the Bid Security of the
Selected Bidder in accordance with Clause 15.5(d) of the RfP.
16.5 During evaluation of Financial Proposal and before award of the Project, if it is found that the
Selected Bidder has submitted a Bid deemed, unbalanced or frontloaded, the Jal Nigam reserves
right to seek remedial actions including Additional Performance Security over and above that
is mentioned in the Clause 16.1. The quantum of such Additional Performance Security will be
determined by the Jal Nigam and/or NMCG on the basis of reasonable assessment of various
Project components and after seeking suitable justifications/clarifications on the price
components of the Bid from the Selected Bidder. The Selected Bidder shall submit this
Additional Performance Security along with the Performance Security and ESHS Performance
Security. The Additional Performance Security shall be in force till the end of the Construction
Period if the Bid Project Cost is found to be, unbalanced or frontloaded and till the end of the
Concession Period if O & M Charges are found to be unbalanced or frontloaded. The Additional
Performance Security shall be liable to be forfeited either fully or partially as it deems fit for
the reasons mentioned in Clause 17.1 of the draft Concession Agreement.
16.6 If the Bidder has associated with a technology provider to meet to meet the technology
requirement to be adopted for the proposed STP in this Project, as defined in Clause 4.1(a)(F)(x)
of this RFP, then:
(i) the technology provider shall furnish to the Jal Nigam a Technology Performance
Security of 5% of the Bid Project Cost.
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(ii) the Technology Performance Security shall be forfeited if the technology provider
leaves the project before the completion of 2 years from COD. The Technology Performance
Security shall be returned to the technology provider upon completion of 2 years after COD.
16A. ESHS PERFORMANCE SECURITY
16A.1 The Selected Bidder shall cause the Concessionaire to furnish to the Jal Nigam, the ESHS
Performance Security for a value equal to 1% of the Bid Project Cost quoted by the selected bidder,
on or before execution of the Concession Agreement to secure due performance of the ESHS
obligations of the Concessionaire under the Concession Agreement.
16A.2 The ESHS Performance Security/Securities shall remain valid for the entire term of the
16A.3 The Selected Bidder shall cause the Concessionaire to provide the ESHS Performance
Security/Securities in the form of bank guarantees issued by a Scheduled Bank in India or a
guarantee issued by a Public Financial Institution. The ESHS Performance Security/Securities
shall be issued in favour of "Uttar Pradesh Jal Nigam (Rural)", represented by the
Superintending Engineer, Construction Unit, UP Jal Nigam (Rural) payable at Saharanpur and in
the format set out in Annexure 5.
16A.4 If the Selected Bidder fails to cause the Concessionaire to furnish the ESHS Performance
Security/Securities in accordance with this Clause 16A on or before the execution of the
Concession Agreement, then the Jal Nigam shall have the right to forfeit the Bid Security of the
Selected Bidder in accordance with Clause 15.5(d).
16B. O&M SECURITY
16B.1 The Selected Bidder shall cause the Concessionaire to furnish to Jal Nigam, the O&M Security,
within 60 days of the Construction Completion Date or 30 days before COD, whichever is earlier.
The O&M security should be an unconditional and irrevocable bank guarantee to Jal Nigam for
an amount corresponding to 4% of the Bid Project Cost. The O&M security for Saharanpur
Facilities would need to be furnished to secure the obligations of the Concessionaire under the
Concession Agreement. If the Selected Bidder has nominated a Sub Contractor to meet the
Technical Criteria defined in Clause 4.1(b), the bidder and the Nominated STP Sub-Contractor
shall each submit 50% of the O&M Security as mentioned in this Clause 16B.1. On substitution
of Nominated STP Sub-Contractor as per Clause 4.1(b)(ii), the new sub-contractor will furnish
the O&M Security. Further, in case the Nominated STP Sub-Contractor chooses to leave the
Project after 2 years from COD, the Concessionaire shall fulfil the requirement of O&M Security,
as specified in this Clause, for the remaining period..
16B.2 The O&M Security shall have an initial validity period of 1 year, which must be renewed on a
year-on-year basis, before the expiry of the 11th month of the relevant year, until the expiry of
the O&M Period. If any of the O&M Securities is not renewed by the expiry of the 11th month
of the relevant year of the O&M Period, then Jal Nigam shall be entitled to drawdown the total
amount available under the O&M Security, and retain such amount as cash security until such
time that the Concessionaire submits an extension or replacement of the O&M Security
16B.3 The Selected Bidder shall cause the Concessionaire to provide the O&M Security in the form of
bank guarantees issued by a Scheduled Bank in India or a guarantee issued by a Public Financial
Institution. The O&M Security shall be issued in favour of “Uttar Pradesh Jal Nigam (Rural)",
represented by the Superintending Engineer, Construction Unit, UP Jal Nigam (Rural) payable
at Saharanpur.
66
16B.4 If the Selected Bidder fails to cause the Concessionaire to furnish the O&M Security/Securities
in accordance with this Clause 16B on or before the respective due dates, then Jal Nigam shall
have the right to forfeit the Bid Security in accordance with Clause 15.5.
PART C. PREPARATION AND SUBMISSION OF BIDS
17. NUMBER OF BIDS
Each Bidder shall be permitted to submit only 1 Bid for the entire Project, either individually or
as a Member of a Consortium. A Bidder applying individually or as a Member of a Consortium
shall not be entitled to submit another Bid either individually or as a Member of any other
Consortium, as the case may be. This includes participation as a subcontractor in other Bids. A
Bidder who submits or participates in more than 1 Bid for the Project shall cause all the Bids
with the Bidder's participation to be disqualified.
18. LANGUAGE OF BIDS AND CORRESPONDENCE
18.1 The Bid prepared by the Bidder and all correspondence and documents related to the Bid
exchanged by the Bidder and the Jal Nigam shall be in English.
18.2 Any document furnished by the Bidder may be in another language, as long as such document
is accompanied by an English translation, in which case, for purposes of interpretation of the
Bid, the English translation shall take precedence. If any document submitted by a Bidder is in
a local/foreign language, then the English translation must be carried out by a certified translator
and notarised in India. If any document submitted by a Bidder is in a foreign language, then the
English translation must be certified by the embassy/consulate/high commission of the relevant
foreign country in India or the Ministry of Foreign/External Affairs of the relevant foreign
country where the project is situated. Supporting materials which are not translated into English
or certified/ notarised in accordance with this Clause 18.2 may not be considered by the Jal
Nigam.
19. BID DUE DATE
19.1 The Bid shall be submitted on or before the date, time and place specified in the Bid Schedule.
19.2 The Jal Nigam may, at its discretion and for any reason, extend the Bid Due Date for all Bidders
by issuing an Addendum in accordance with Clause 9, in which case all rights and obligations
of the Jal Nigam and the Bidders will thereafter be subject to the Bid Due Date as extended.
19.3 Bids received by the Jal Nigam after the specified time on the Bid Due Date will not be eligible
for consideration and will be summarily rejected.
20. QUALIFICATION PROPOSAL
The Bidder shall submit Bid online as under:
Folder I – for submission of Qualification Proposal; and

Folder II – for submission of Financial Proposals
20.1 The Qualification Proposal submitted by a Bidder shall comprise scanned copies of the
following:
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(a) bid letter in the format set out in Annexure 1A;
(b) description of the Bidder/Members/ Nominated STP Sub-Contractor / technology

provider (if applicable) in the format set out in Annexure 1B;
(c) Power of Attorney in the format set out in Annexure 1C, executed by the Bidder or
the Lead Member authorizing the signatory of the Bid to commit the Bidder;
(d) certificate issued by the statutory auditor of the Bidder and/ or Associate(s), in the
format set out in Annexure 1D, certifying the Net Worth of the Bidder and/ or
Associate(s) and compliance with other financial qualification criteria specified in
Clause 4.2 of this RFP;
(e) details of the eligible STP/ ETP/ CETP for which development/design and
construction experience is being claimed in the format set out in Annexure 1E – Part
I, and details of the eligible STP/ ETP/ CETP for which O&M experience is being
claimed in the format set out in Annexure 1E – Part II;
(f) certificate from the statutory auditor certifying the shareholding of the Bidder (or in
case of a Consortium, the relevant Member) in the Company developing the STP(s)/
ETP(s)/ CETP(s) / Bio Gas Power Plant for which development experience is being
claimed by the Bidder in the format set out in Annexure 1F;
(g) self-attested certificate regarding Associate, if applicable, in the format set out in
Annexure 1G;
(h) information on any litigation that the Bidder (or in case of a Consortium, the relevant
Member) or Nominated STP Sub-Contractor (if applicable) is a party to, in the format
set out at Annexure 1H;
(i) Bid Security in the format set out at Annexure 1I;
(j) DELETED
(k) for each development/design and construction experience claimed w.r.t STP/ ETP/
CETP, a certificate from the relevant government authority/client certifying that the
STP/ ETP/ CETP has been completed/commissioned in terms of the concession
agreement or similar contract executed for the same;
(l) DELETED
(m) for each STP/ ETP/ CETP for which O&M experience is being claimed, certificate
from the relevant government authority/ client certifying that the Bidder (or, in case of
a Consortium, the relevant Member) has successfully operated and maintained the STP/
ETP/ CETP for which O&M experience is being claimed, for at least 12 consecutive
months in the 10 (ten) years immediately preceding the Bid Due Date, in accordance
with the relevant concession agreement or similar contract executed for such STP/ ETP/
CETP;
(n) annual financial statements of the Bidder (including profit and loss statements) for FY
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2018-19, 2019-20, 2020-21 and 2021-22;
(o) self-attested copies of the certificate of incorporation, memorandum of association and

articles of association. If the Bidder is a Consortium, then each Member shall submit
self-attested copies of its certificate of incorporation, memorandum of association and
articles of association. In case of a Nominated STP Sub-Contractor being nominated
by the Bidder for meeting the Technical Criteria defined in Clause 4.1(a) and Clause
4.1(b), then such Nominated STP Sub-Contractor shall submit self-attested copies of
its certificate of incorporation, memorandum of association and articles of association;
(p) DELETED
(q) declaration listing the contract(s) of the Bidder or each Member (in case of a Consortium)
and the Nominated STP Sub-Contractor (if applicable) that has/have been suspended
or terminated and/or performance security that has been called by an employer for
reasons related to the non-compliance by such Bidder or Member(s) with any ESHS
requirements or safeguard in the past 5 years, in the format set out at Annexure IL.
(r) Details of the Eligible Projects for which development or construction experience is
being claimed in the formats set out in Annexure 1E Part III and Annexure 1E Part IV.
(s) Certificate(s) from its statutory auditors or the concerned client(s) stating the payments
made/ received or works commissioned, as the case may be, during the past 5 years in
respect of the projects specified in clause 4.1(a)(A). In case a particular job/ contract
has been jointly executed by the Bidder (as part of a Consortium), it should further
support its claim for the share in work done for that particular job/ contract by
producing a certificate from its statutory auditor or the client (In case duly certified
audited annual financial statements containing explicitly the requisite details are
provided, a separate certification by statutory auditors would not be necessary. In
jurisdictions that do not have statutory auditors, the firm of auditors which audits the
annual accounts of the Bidder may provide the certificates required under this RFP.);
(t) Consent Letter from relevant Nominated Subcontractor, if applicable, for the following
as per formats set out below
- STP/ETP/CETP experience– Annexure 3A
- Technology Provider experience– Annexure 3C
- Network/pipeline experience – Annexure 3D
(u) Code of Conduct for Contractor’s Personnel (ES): The Bidder shall submit its
Code of Conduct that will apply to Contractor’s Personnel to ensure compliance with
the Contractor’s Environmental and Social (ES) obligations under the Contract. The
Bidder shall use for this purpose the Code of Conduct form provided in Annexure 1O.
No substantial modifications shall be made to this form, except that the Bidder may
introduce additional requirements, including as necessary to take into account specific
Contract issues/risks.
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(v) Project Approach note: The Bidder shall furnish a concise note of up to 10 pages to
demonstrate its understanding of the work to be carried out and the adequacy of the
Bidder’s proposal to meet the work’s requirements and the construction completion
time. In particular, the bidder shall present in the technical note its understanding of the
project components; its approach to meet the KPIs; insights on energy savings through
both mandatory and optional components (bio gas/solar); sludge digestion and disposal
details; challenges envisaged in meeting the KPIs and approach to address them; site
specific issues and solutions; land sufficiency and structural challenges envisaged and
any other issues. The Bidder shall also present how it plans to ensure financial closure
by the applicable deadline.
The purpose of this note is to understand whether the bidder has considered all risks
associated in achieving the parameters within the project Scope of Work mentioned in
the Schedule 1.”
20.2 If the Bidder is a Consortium, it will also be required to submit the following documents:
(a) Power of Attorney in the format set out at Annexure 1J, executed by the Members of
the Consortium authorizing the Lead Member of the Consortium to act on behalf of and
commit the Consortium.
(b) Joint Bidding Agreement in the format set out at Annexure 1K.
21. FINANCIAL PROPOSAL
21.1 The Financial Proposal submitted by a Bidder shall comprise the Bid Price Sheet provided on
e-Procurement Portal
21.2 The Bidders shall quote in the Bid Price Sheet, separately for Facilities, the following
components : (a) Bid Project Cost (including all Taxes); (b) O&M Charges for the first month
after COD for the STP Facilities (including all Taxes ); (c) O&M Charges for the first month
after COD for the Associated Infrastructure (d) Guaranteed Energy Consumption for the O&M
Period for the STP Facilities; (e) Guaranteed Energy Consumption for the O&M Period for the
Associated Infrastructure; (f) Land Requirement (as applicable) for Saharanpur STP; Based on
these components quoted by a Bidder, the Bid Price is calculated by the system using the
formula set out in Clause 2.5.
21.3 The Bidder shall quote 1(one) figure for any of the components of the Bid Price after
all discounts the Bidder wishes to offer on any or all of the components of the Bid Price.
22. COST AND CURRENCY OF BIDS
22.1 Cost of the Bid

The Bidders will bear their own costs associated with or relating to the preparation and
submission of their Bids, including copying, postage, delivery charges and expenses associated
with any presentations which may be required by the Jal Nigam or NMCG or any other costs
incurred in connection with or relating to their Bids, including any costs incurred on conducting
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any due diligence. All such costs and expenses will be borne by the Bidders and the Jal Nigam,
NMCG and their employees and advisors will not be liable in any manner whatsoever for such
costs and expenses, regardless of the conduct or outcome of the Bid Process.
22.2 Currency of the Bid

All amounts in the Bid should be stated in Indian Rupees (INR).
23. SIGNING OF BIDS
23.1 Each Bidder (and in case of a Consortium, the Lead Member) must affix the digital signature
of its authorised signatory to the soft copies of both the Qualification Proposal and the Financial
Proposal, upon uploading the soft copy of the Qualification Proposal and submission of the
Financial Proposal to the e-Procurement Portal.
24. MARKING, SEALING AND SUBMISSION OF BIDS
24.1 Each Bidder is required to upload a soft copy/scanned copy of its Bid on the e-Procurement
Portal.
24.2 While uploading the Bid on the e-Procurement Portal, Bidder must ensure that files containing
the Qualification Proposal and scanned copies of the Bid Security are uploaded separately under
the relevant [heads/Folder] in a PDF format. The Bidder shall be required to fill all mandatory
forms and fields indicated in the e-Procurement Portal at the time of uploading its Bid.
24.3 The Bidders should ensure the legibility of the documents uploaded to the e-Procurement Portal.
24.4 The Bidder shall upload the Bid sufficiently before the specified time on the Bid Due Date to
avoid any technical issues or malfunction in the network caused by heavy traffic of Bidders on
the Bid Due Date. The Jal Nigam and NMCG will not be responsible for any failure,
malfunction or breakdown of the electronic system during the e-procurement process.
24.5 The Bidder should check the system generated summary of its Bid submission to confirm
successful uploading of its Bid.
24.6 All Bids uploaded to the e-Procurement Portal will be encrypted and the encrypted Bids can
only be opened by the authorised representatives of the Jal Nigam at or after the date/time
specified time for opening of the Bids (Qualification Proposals).
24.7 Each Bidder shall submit a hard copy of the original Bid Security, Power of Attorney, joint
bidding agreement to the Jal Nigam, before the date and time specified in clause: 2.12(c).
It is clarified that the Bidder will not be required to submit a hard copy of the Financial Proposal,
and if a hard copy of the Financial Proposal is submitted, then the Bid submitted by such Bidder
shall be rejected as being non-responsive.
24.8 The Bid will contain no alterations, omissions or additions, unless such alterations, omissions
or additions are signed by the authorized signatory of the Bidder/Lead Member. Any
interlineations, erasures, or overwriting will be valid only if they are signed by the authorized
signatory of the Bidder/Lead Member.
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24.9 The hard copy of the Bid Security, Power of Attorney, joint bidding agreement, etc. will be duly
sealed in an envelope, which will be super-scribed as follows:
" DESIGN, BUILD, FINANCE, OPERATE AND TRANSFER SEWAGE

TREATMENT PLANTS (STPS) ALONG WITH ASSOCIATED
INFRASTRUCTURE FOR A PERIOD OF 15 YEARS THROUGH
HYBRID ANNUITY BASED PUBLIC PRIVATE PARTNERSHIP (PPP)
MODE IN SAHARANPUR, UTTAR PRADESH UNDER THE NAMAMI
GANGE PROGRAMME
QUALIFICATION PROPOSAL
DO NOT OPEN BEFORE SPECIFIED TIME ON BID DUE DATE"
24.10 The sealed envelope Bid Security, Power of Attorney, joint bidding agreement, etc will clearly
indicate the name, address and contact details of the Bidder. If the envelope is not sealed,
marked and submitted as instructed in this Clause 24, the Jal Nigam assumes no responsibility
for the misplacement or premature opening of the contents of the Qualification Proposal and
consequent losses, if any, suffered by the Bidder.
24.11 The hard copy of the Bid Security, Power of Attorney, Joint Bidding Agreement, etc will either
be hand delivered or sent by registered post acknowledgement due or courier to the address
below:
Uttar Pradesh Jal Nigam (Rural)

Superintending Engineer
Office of the Superintending Engineer, Construction Unit,
Uttar Pradesh Jal Nigam (Rural),
Malhipur Road, YAP STP,
Saharanpur, Uttar-Pradesh – 247001
Bids submitted by fax, telex, telegram or e-mail shall not be entertained and will be
rejected.
24.12 The Jal Nigam will not be responsible for any delays, loss or non-receipt of Bids.
25. SUBSTITUTION/WITHDRAWAL/MODIFICATION OF BIDS
25.1 Bidders may modify their bids by using the appropriate option for bid modification on e-
Procurement Portal, before the deadline for submission of bids. For bid modification and
consequential re-submission, the Bidder is not required to withdraw his bid submitted earlier.
The last modified Bid submitted by the Bidder within the Bid Due Date shall be considered as
the Bid. For this purpose, modification/withdrawal by other means will not be accepted. In
online system of bid submission, the modification and consequential re-submission of Bid is
allowed any number of times. A bidder may withdraw his Bid by using the appropriate option
for Bid withdrawal, before the deadline for submission of Bids. However, if the Bid is
withdrawn, re-submission of the Bid is not allowed.
25.2 Bids requested to be withdrawn in accordance with Clause 25.1 shall not be opened.
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25.3 No Bid may be withdrawn, substituted, or modified in the interval between the Bid Due Date
and the expiration of Bid validity period specified by the Bidder in the Bid Letter or any
extension thereof. This will result in the forfeiture of the Bid Security pursuant to ITB 15.5.
PART D. OPENING AND EVALUATION OF BIDS
26. PUBLIC OPENING OF BIDS
26.1 The Jal Nigam will publicly open only those all Bids that are submitted on or before the
specified time on the Bid Due Date. If any Bid is received after the specified time on the Bid
Due Date, it will be rejected.
26.2 The Jal Nigam will open the soft copy of the Bids (Qualification Proposals) at the time and on
the date specified in the Bid Schedule at the following address:
Office of the Superintending Engineer,

Construction Unit, Uttar Pradesh Jal Nigam (Rural),
Saharanpur (Uttar Pradesh) – 247001.
Mob: +91-9473942594.
The Bids will be opened in the presence of the Bidders whose designated representatives choose
to be present. Due to the COVID-19 situation, bidders will also have the option to allow specific
people who prefer that option to attend the meeting remotely. Bidders would need to express
their interest in such option and indicate the name and title of the people at least 24hours ahead
of the meeting. The Bidders can also view the summary of opening of Bids by logging on to
the e-Procurement Portal.
26.3 If the specified date for opening the Qualification Proposals is declared a holiday in the Jal
Nigam's office, then the Qualification Proposals will be opened at the specified time and
location on the next working day.
26.4 The Jal Nigam will prepare a record of the opening of the Bids that will include, as a minimum,
the names of the Bidders from whom Bids have been received. The Bidders' representatives
who are present will be requested to sign the record. The omission of a Bidder's representative's
signature on the record will not invalidate the contents and effect of the record.
26.5 Once all the Qualification Proposals have been opened, they will be evaluated for
responsiveness and to determine whether the Bidders are qualified for opening of the Financial
Proposals. The procedure for evaluation of the Qualification Proposals is set out in Clause 27
of this RFP.
26.6 Once the Qualification Proposals have been evaluated, all Bidders whose Qualification
Proposals meet the Qualification Criteria and the Eligibility Criteria, will be informed of a date,
time and place for opening of their Financial Proposals. The Financial Proposals will be opened
in the presence of the representatives of the qualified Bidders that choose to be present. The
procedure for evaluation of the Financial Proposals is set out in Clause 28 of this RFP.
26.7 The qualification of Bidders will be entirely at the discretion of the Jal Nigam. Bidders will be
deemed to have understood and agreed that no explanation or justification on any aspect of the
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Bid Process or selection will be given.
26.8 Any information contained in a Bid will not in any manner be construed as binding on the Jal
Nigam, its agents, successors or assigns; but will be binding on the Bidder.
27. DETERMINATION OF RESPONSIVENESS AND EVALUATION OF

QUALIFICATION PROPOSALS
27.1 The Jal Nigam will examine the Qualification Proposals to determine whether they are
complete, whether the documents have been properly signed, and whether the Qualification
Proposals are generally in order. If any Bidder is found to be disqualified in accordance with
the terms of the RFP or if any Qualification Proposal is found to be non-responsive or not
meeting the Technical Capacity or the Financial Capacity, the Bid comprising such
Qualification Proposal will be rejected by the Jal Nigam and not included for further
consideration. No request for alteration, modification, substitution or withdrawal shall be
entertained by the Jal Nigam in respect of such Bid.
27.2 Prior to evaluation of the Qualification Proposals, the Qualification Proposals will be evaluated
to determine responsiveness to the RFP. A Qualification Proposal shall be considered
responsive only if:
(a) the Qualification Proposal and all documents specified in Clause 20 are received in the
prescribed formats;
(b) the Bid is received by the specified time on the Bid Due Date;
(c) it is signed, marked, and uploaded as stipulated in Clauses 23 and 24;
(d) it contains all the information and documents (complete in all respects) as requested in
this RFP; and
27.3 The Jal Nigam shall then evaluate and determine whether the Bidders who have submitted
responsive Qualification Proposals satisfy the Eligibility Criteria and the Qualification Criteria
set out at Clause 3 and Clause 4 of this RFP respectively.
27.4 In order to determine whether the Bidder satisfies the Eligibility Criteria set out at Clause 3 and
the Qualification Criteria, the Jal Nigam will review the documentary evidence of the Bidder's
eligibility and qualifications submitted by the Bidder and any additional information which the
Jal Nigam seeks from the Bidder.
27.5 Where any information provided by a Bidder is found to be patently false or amounting to a
material misrepresentation, the Jal Nigam reserves the right to reject the Bid submitted by such
Bidder.
27.6 A) Following the completion of the evaluation of the Technical Parts of the Bids, and the
Bank has issued its no objection (if applicable), the Jal Nigam shall notify in writing those
Bidders whose Bids were considered non-responsive or failed to meet the Qualification
Criteria, advising them of the following information:
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(a) the grounds on which their Technical Part of Bid failed to meet the requirements;
(b) their Financial Part of Bid shall not be opened; and
(c) notify them of the date, time, and location for public opening of Financial Parts of
the Bids.
B) The Employer shall, simultaneously, notify in writing those Bidders whose Technical
Part have been evaluated as substantially responsive to the bidding document and met all
Qualifying Criteria, advising them of the following information:
a) their Bid has been evaluated as substantially responsive and met the Qualification
Criteria;
b) their Financial Part of Bid will be opened at the public opening of the Financial Parts;
and
c) notify them of the date, time and location for public opening of the Financial Parts of
the Bids
C) The opening date should allow Bidders sufficient time to make arrangements for
attending the opening. The Financial Part of the Bid shall be opened publicly in the
presence of Bidders’ designated representatives and anyone who chooses to attend, and
this could also be viewed by the bidders online.
28. PUBLIC OPENING AND EVALUATION OF FINANCIAL PROPOSALS
28.1 The Jal Nigam shall open the Financial Proposals of only those Bidders whose Qualification
Proposals meet the criteria set out in this RFP.
28.2 The Financial Proposals of the Bids shall be opened publicly in the presence of Bidders’
designated representatives and anyone who chooses to attend, and this could also be viewed by
the Bidders online. The Jal Nigam shall open the Financial Proposal of each qualified Bidder
and announce the Saharanpur Facilities Bid Price, , and the aggregate Bid Price. The Jal Nigam
shall prepare the minutes of the online opening of the Financial Proposals, which will be signed
by the representatives of the Bidders present at the time of opening and upload these minutes
for viewing online.
28.3 Evaluation of Financial Proposals

Following the opening of the Financial Proposals,
(a) the Jal Nigam shall evaluate the Financial Proposals for responsiveness. If any Financial
Proposal is found:
i. not to be complete in all respects;
ii. not duly signed by the authorized signatory of the Bidder/Lead Member;
iii. not to be in the prescribed format; or
iv. not in accordance with Clause 21.3
then such Financial Proposal shall be deemed to be substantially non-responsive.
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(b) Financial Proposals, which are substantially responsive to the Bidding Documents
(comprising RFP and Concession Agreement), shall be evaluated for each STP included in
the scope of work, by adding various components of quoted Bid Prices for each STP as under:
(i) Design-Build Price (Bid Project Cost) including all taxes & GST;
(ii) O&M prices for 15 years
= (O&M Charges including all taxes & GST for first month after COD) * 180
(iii) Cost of Energy Consumption during 15 years of O&M = Average Guaranteed
Energy Consumption per MLD flow rate * Base Energy Tariff Rate * Average
Effluent Flow Rate * Number of days of the O&M period
For the purpose of this calculation of energy cost:
Average Guaranteed Energy Consumption per MLD flow rate = Average of different
guaranteed energy consumption figures in KWH quoted in Bid Price Sheet for
treating various combinations of effluent flow rates and BOD;
Base Energy Tariff Rate = INR ……/KWH10;
Average Effluent Rate = ……. MLD11; and
Number of days of the O&M period = 5475
(iv) Cost of Land required for the STP = Land Requirement in hectare as quoted by the
Bidder (in hectare) * Land Price per hectare
For the purpose of evaluation, land price = INR ………. Per hectare12
Total Evaluated Bid Price for the STP = (i) + (ii) + (iii) + (iv)
If Scope of Work stipulated in the RFP includes more than one STP, Evaluated Bid Prices
determined in the above manner for each STP will be aggregated to arrive at the
Total Evaluated Bid Price.
(c) The Executing Agency shall compare the Total Evaluated Bid Prices of all substantially
responsive Financial Proposals to determine the lowest evaluated Bid.
(d) The Bidder whose Bid has been determined to be the lowest evaluated Bid, will be the
Preferred Bidder, and shall be selected for award.
29. CLARIFICATION ON BIDS
29.1 To assist in the examination, evaluation, and comparison of the Bids, and qualification of the
Bidders, the Jal Nigam may, at its discretion, ask any Bidder for a clarification of its Bid, given a
reasonable time for a response. Any clarification submitted by a Bidder that is not in response to
a request by the Jal Nigam shall not be considered. The Jal Nigam’s request for clarification and
the response shall be in writing. No change, including any voluntary increase or decrease, in the
prices or substance of the Bid shall be sought, offered, or permitted, except to confirm the
correction of arithmetic errors discovered by the Jal Nigam in the evaluation of the Bids as
provided hereinafter.
29.2 If a Bidder does not provide clarifications and/or any additional information sought under
10 Prevailing Energy Tariff Rate = INR 7.74 /KWH. (to be multiplied by 1.50 to include Fixed charges)
11 Average Effluent at Saharanpur = 135 MLD,
12 Land Price (prevailing circle rate) at Pinjora Village is INR 5,500/sqm,.
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Clause 29.1 within the prescribed time, its Bid may be liable for rejection. If the Bid is not
rejected, the Jal Nigam may proceed to evaluate the Bid by construing the particulars requiring
clarification to the best of its understanding, and the Bidder will be barred from subsequently
questioning such interpretation of the Jal Nigam.
PART E. AWARD OF PROJECT
30. EVALUATION AND COMPARISON OF BIDS
30.1 Information relating to the evaluation of Bids and recommendation of Project award shall not be
disclosed to Bidders or any other persons not officially concerned with the Bidding process until
information on Intention to Award the Project is transmitted to all Bidders in accordance with
Notification of Intention to Award.
30.2 Any effort by a Bidder to influence the Jal Nigam in the evaluation of the Bids or Project award
decisions may result in the rejection of its Bid.
30.3 From the time of Bid opening to the time of Project award, if a Bidder wishes to contact the Jal Nigam
on any matter related to the Bidding process, it shall do so in writing.
30.4 During the evaluation of Bids, the following definitions apply:

(a) “Deviation” is a departure from the requirements specified in the Bidding document;
(b) “Reservation” is the setting of limiting conditions or withholding from complete acceptance
of the requirements specified in the Bidding document; and
(c) “Omission” is the failure to submit part or all of the information or documentation required in
the Bidding document.
30.5 The Jal Nigam’s determination of a Bid’s responsiveness is to be based on the contents of the Bid
itself.
30.6 A substantially responsive Bid is one that meets the requirements of the Bidding document without
material deviation, reservation, or omission. A material deviation, reservation, or omission is one
that,
(a) if accepted, would:
(i) affect in any substantial way the scope, quality, or performance of the Works specified
in the Concession Agreement; or
(ii) limit in any substantial way, inconsistent with the Bidding document, the Jal Nigam’s
rights or the Bidder’s obligations under the proposed Concession Agreement; or
(b) if rectified, would unfairly affect the competitive position of other Bidders presenting
substantially responsive Bids.
30.7 The Jal Nigam shall examine the technical aspects of the Bid, in particular, to confirm that all
requirements of RFP have been met without any material deviation, reservation or omission.
If a Bid is not substantially responsive to the requirements of the Bidding document, it shall be rejected
by the Jal Nigam and may not subsequently be made responsive by correction of the material
deviation, reservation, or omission.
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Provided that a Bid is substantially responsive, the Jal Nigam may waive any nonconformities in the
Bid.
30.8 Provided that a Bid is substantially responsive, the Jal Nigam may request that the Bidder submit the
necessary information or documentation, within a reasonable period of time, to rectify nonmaterial
nonconformities in the Bid related to documentation requirements. Requesting information or
documentation on such nonconformities shall not be related to any aspect of the price of the Bid.
Failure of the Bidder to comply with the request may result in the rejection of its Bid.
30.9 Provided that a Bid is substantially responsive, the Jal Nigam shall rectify quantifiable nonmaterial
nonconformities related to the Bid Price. To this effect, the Bid Price shall be adjusted, for
comparison purposes only, to reflect the price of a missing or non-conforming item or component,
by adding the average price of the item or component quoted by substantially responsive Bidders. If
the price of the item or component cannot be derived from the price of other substantially responsive
Bids, the Jal Nigam shall use its best estimate.
30.10 Provided that the Bid is substantially responsive, the Jal Nigam shall correct arithmetical errors on
the following basis:
(a) if there is a discrepancy between the unit price and the total price that is obtained by
multiplying the unit price and quantity, the unit price shall prevail, and the total price shall be
corrected, unless in the opinion of the Jal Nigam there is an obvious misplacement of the
decimal point in the unit price, in which case the total price as quoted shall govern and the unit
price shall be corrected;
(b) if there is an error in a total corresponding to the addition or subtraction of subtotals, the
subtotals shall prevail, and the total shall be corrected; and
(c) if there is a discrepancy between words and figures, the amount in words shall prevail, unless
the amount expressed in words is related to an arithmetic error, in which case the amount in
figures shall prevail subject to (a) and (b) above.
Bidders shall be requested to accept correction of arithmetical errors. Failure to accept the correction
in accordance with Para 31.10, shall result in the rejection of the Bid.
30.11 Margin of preference for domestic Bidders shall not apply.
31. TECHNICAL EVALUATION
31.1 The Jal Nigam shall use the criteria and methodologies listed in this RFP. including Qualification
Criteria and Technical Responsiveness
31.2 The Jal Nigam’s evaluation will not be carried out by applying rated criteria that take into account
technical factors, in addition to cost factors.
32.0 FINANCIAL EVALUATION
32.1 To evaluate a Bid, the Jal Nigam shall consider the following:
(a) the Bid price, excluding Provisional Sums and the provision, if any, for contingencies in the
Summary Bill of Quantities, but including daywork items, where priced competitively;
(b) price adjustment for correction of arithmetic errors;
(c) price adjustment due to discounts offered;
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(d) converting the amount resulting from applying (a) to (c)above, if relevant, to a single currency;
(e) price adjustment due to quantifiable nonmaterial nonconformities and
(f) the additional evaluation factors as specified in this RFP.
32.2 The estimated effect of the price adjustment provisions of the Concession Agreement, applied over
the period of execution of the Concession Agreement, shall not be taken into account in Bid evaluation.
32.3 The Jal Nigam shall compare the evaluated costs of all substantially responsive Bids established in
accordance with the RFP to determine the Most Advantageous Bid. BAFO will not be an option under
this selection and there will be no negotiation before award of the Project.
33. ABNORMALLY LOW BIDS
33.1 An Abnormally Low Bid is one where the Bid price, in combination with other elements of the Bid,
appears so low that it raises material concerns as to the capability of the Bidder in regard to the
Bidder’s ability to perform the Concession Agreement for the offered Bid Price.
33.2 In the event of identification of a potentially Abnormally Low Bid, the Jal Nigam shall seek
written clarifications from the Bidder, including detailed price analysis of its Bid price in
relation to the subject matter of the Concession Agreement, scope, proposed methodology,
schedule, allocation of risks and responsibilities and any other requirements of the Bidding
document.
33.3 After evaluation of the price analyses, in the event that the Jal Nigam determines that the
Bidder has failed to demonstrate its capability to perform the Project as per the Concession
Agreement for the offered Bid Price, the Jal Nigam shall reject the Bid.
34 UNBALANCED OR FRONT-LOADED BIDS
34.1 If the Bid that is evaluated as the lowest evaluated cost is, in the Jal Nigam’s opinion, seriously
unbalanced or front loaded, the Jal Nigam may require the Bidder to provide written clarifications.
Clarifications may include detailed price analyses to demonstrate the consistency of the Bid prices
with the scope of works, proposed methodology, schedule and any other requirements of the Bidding
document.
34.2 After the evaluation of the information and detailed price analyses presented by the Bidder, the Jal
Nigam may as appropriate:
(a) accept the Bid; or
(b) require that the total amount of the Performance Security be imposed in accordance with
Clause 16 or
(c) reject the Bid.
35 MOST ADVANTAGEOUS BID
35.1 The Jal Nigam shall determine the Most Advantageous Bid. The Most Advantageous Bid is the
Bid of the Bidder that meets the Qualification Criteria and whose Bid has been determined to be
substantially responsive to the Bidding document and:
(a) is the Bid with the lowest evaluated Bid Price.
36. JAL NIGAM’S RIGHT TO ACCEPT ANY BID, AND TO REJECT ANY OR ALL BIDS
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36.1 The Jal Nigam reserves the right to accept or reject any Bid, and to annul the Bidding process and
reject all Bids at any time prior to Project award, without thereby incurring any liability to
Bidders. In case of annulment, all Bids submitted and specifically, bid securities, shall be
promptly returned to the Bidders.
37. STANDSTILL PERIOD
37.1 The Project shall not be awarded earlier than the expiry of the Standstill Period. The Standstill Period
shall be ten (10) Business Days unless extended in accordance with Clause 37. The Standstill Period
commences the day after the date the Jal Nigam has transmitted to each Bidder the Notification of
Intention to Award the Project. Where only one Bid is submitted, or if this Project award is in
response to an emergency situation recognized by the Bank, the Standstill Period shall not apply.
38. NOTIFICATION OF INTENTION TO AWARD
38.1 The Jal Nigam shall send to each Bidder (that has not already been notified that it has been
unsuccessful) the Notification of Intention to Award the Project to the Preferred Bidder. The
Notification of Intention to Award shall contain (as per Annexure 10), at a minimum, the following
information:
(a) the name and address of the Bidder submitting the Most Advantageous Bid;
(b) the Bid price of the Most Advantageous Bid;
(c) the names of all Bidders who submitted Bids, and their Bid prices as readout, and as
evaluated;
(d) a statement of the reason(s) the Bid (of the unsuccessful Bidder to whom the
notification is addressed) was unsuccessful, unless the price information in c) above
already reveals the reason;
(e) the expiry date of the Standstill Period; and
(f) instructions on how to request a debriefing and/or submit a complaint during the
standstill period;
39. AWARD CRITERIA
39.1 Subject to Clause 31 and Clause 32, the Jal Nigam shall award the Project to the Preferred
Bidder. This is the Bidder whose Bid has been determined to be the Most Advantageous Bid.
40. NOTIFICATION OF AWARD
40.1 Prior to the expiry of the Bid Validity Period and upon expiry of the Standstill Period specified in
Clause 37.1 or any extension thereof, and, upon satisfactorily addressing any complaint that has
been filed within the Standstill Period, the Jal Nigam shall notify the Selected Bidder, in writing,
that its Bid has been accepted. The notification of award (hereinafter and in the Concession
Agreement called the “Letter of Award”) shall specify the sum that the NMCG will pay the
Concessionaire in consideration of the execution of the Concession Agreement (hereinafter and in
the Concession Agreement called “the Bid Price”).
41. LETTER OF AWARD (LOA)
41.1 The LOA shall not be awarded earlier than the expiry of the Standstill Period as defined in
clause 37. The Jal Nigam will issue the LOA to the Selected Bidder in duplicate:
a) declaring it as the Selected Bidder;
b) accepting the Financial Proposal;
80
c) requesting it to sign and return, as acknowledgement, a copy of the LOA within 15 days of
receipt of the LOA;
d) requesting it to submit the Performance Securities in accordance with Clause 16; and
e) requesting it to incorporate the Special Purpose Vehicle, which will act as the Concessionaire.
41.2 If the Selected Bidder fails to return a duly signed copy of the LOA to the Jal Nigam within 15
days of receipt of the LOA, then the Jal Nigam may, unless it consents to an extension, without
prejudice to any of its rights under the RFP or law, disqualify the Selected Bidder, revoke the LOA,
and forfeit the Bid Security. If the Jal Nigam elects to disqualify such Bidder and revoke the LOA,
then the procedure set out in Clause 7.2 shall follow.
41.3 The Jal Nigam shall promptly respond in writing to any unsuccessful Bidder who, after
notification of award in accordance with Clause 41.2, requests in writing the grounds on which its
bid was not selected.
41.4 Within ten (10) Business Days after the date of transmission of the Letter of Award, the Jal
Nigam shall publish the Project Award Notice which shall contain, at a minimum, the following
information:
(a) name and address of the Jal Nigam;
(b) name and reference number of the Project being awarded, and the selection method
used;
(c) names of all Bidders that submitted Bids, and their Bid prices as read out at Bid
opening, and as evaluated;
(d) names of all Bidders whose Bids were rejected either as nonresponsive or as not
meeting qualification criteria, or were not evaluated, with the reasons therefor;
(e) the name of the Selected Bidder, the Bid Price, the Concession Period and a summary
of its scope; and
(f) Selected Bidder’s Beneficial Ownership Disclosure Form (Annexure 11), if specified in
clause 43.1
41.5 The Project Award Notice shall be published on the Jal Nigam’s website with free access if
available, or in at least one newspaper of national circulation in the Jal Nigam’s Country, or in the
official gazette. The Jal Nigam shall also publish the contract award notice in UNDB online.
41.6 Until a formal Concession Agreement is prepared and executed, the Letter of Award shall
constitute a binding contract.
42. DEBRIEFING BY THE JAL NIGAM
42.1 On receipt of the Jal Nigam’s Notification of Intention to Award referred to in clause 36.1, an
unsuccessful Bidder has three (3) Business Days to make a written request to the Jal Nigam for
a debriefing. The Jal Nigam shall provide a debriefing to all unsuccessful Bidders whose request
is received within this deadline.
42.2 Where a request for debriefing is received within the deadline, the Jal Nigam shall provide a
debriefing within five (5) Business Days, unless the Jal Nigam decides, for justifiable reasons,
to provide the debriefing outside this timeframe. In that case, the standstill period shall
automatically be extended until five (5) Business Days after such debriefing is provided. If
more than one debriefing is so delayed, the standstill period shall not end earlier than five (5)
81
Business Days after the last debriefing takes place. The Jal Nigam shall promptly inform, by
the quickest means available, all Bidders of the extended standstill period.
42.3 Where a request for debriefing is received by the Jal Nigam later than the three (3)-Business
Day deadline, the Jal Nigam should provide the debriefing as soon as practicable, and normally
no later than fifteen (15) Business Days from the date of publication of Public Notice of Award
of the Project. Requests for debriefing received outside the three (3)-day deadline shall not lead
to extension of the standstill period.
42.4 Debriefings of unsuccessful Bidders may be done in writing or verbally. The Bidder shall bear
its own costs of attending such a debriefing meeting.
43. SIGNING OF CONCESSION AGREEMENT
43.1 The Jal Nigam shall send to the Selected Bidder the Letter of Award including the Concession
Agreement, and request to submit the Beneficial Ownership Disclosure Form providing
additional information on its beneficial ownership. The Beneficial Ownership Disclosure Form,
if so requested, shall be submitted within eight (8) Business Days of receiving this request.
The Selected Bidder shall sign, date and return to the Jal Nigam, the Concession Agreement
within twenty-eight (28) days of its receipt.
44. PROCUREMENT RELATED COMPLAINTS
The procedures for making a Procurement-related Complaint are detailed in the “ World Bank’s
Procurement Regulations for IPF Borrowers (Annex III).” If a Bidder wishes to make a
Procurement-related Complaint, the Bidder shall submit its complaint following these
procedures, In Writing (by the quickest means available, such as by email or fax), to:
For the attention:
Title/position: Superintending Engineer, Construction Unit, Uttar Pradesh Jal
Nigam(Rural), Saharanpur
Employer: UP Jal Nigam
Malhipur Road, YAP STP, Saharanpur (Uttar Pradesh) – 247001.
Mob: +91-9473942594
Email address: seupjnsre@yahoo.com

In summary, a Procurement-related Complaint may challenge any of the following:
1. the terms of the Bidding Documents; and
2. the Jal Nigam’s decision to exclude a Bidder from the procurement process prior to the
award of contract; and
3. the Jal Nigam’s decision to award the Project.
45. EXECUTION OF THE CONCESSION AGREEMENT
45.1 The Special Purpose Vehicle incorporated by the Selected Bidder shall execute the Concession
Agreement in the draft form provided by the Jal Nigam, with minimal changes or amendments
to reflect facts or to correct minor errors. The Jal Nigam shall, within 15 days of the acceptance
82
of the LOA by the Selected Bidder, provide the Selected Bidder with the final execution draft
of the Concession Agreement.
45.2 The Jal Nigam shall not entertain any request from the Selected Bidder for negotiations of or
deviations to the final execution draft of the Concession Agreement provided by the Jal Nigam
under Clause 45.1.
45.3 If the Selected Bidder seeks to materially negotiate or seeks any material deviations from the
final execution draft of the Concession Agreement, the Jal Nigam may elect to disqualify the
Selected Bidder and revoke the LOA issued to the Selected Bidder. If the Jal Nigam elects to
disqualify such Bidder and revoke the LOA, then the procedure set out in Clause 7.2 shall
follow.
45.4 Subject to satisfaction of the conditions specified in Clause 30.1 and any other conditions
specified in the LOA, the Special Purpose Vehicle incorporated by the Selected Bidder shall
execute the Concession Agreement within 45 days from the date of acceptance of the LOA by
the Selected Bidder.
45.5 If the Special Purpose Vehicle fails to execute the Concession Agreement on or before the date
specified in Clause 45.4, the Jal Nigam may, unless it consents to an extension, without
prejudice to any of its rights under the RFP or law, disqualify the Selected Bidder, revoke the
LOA and forfeit the Bid Security. If the Jal Nigam elects to disqualify such Bidder and revoke
the LOA, then the procedure set out in Clause 7.2 shall follow.
46. Other Information
A firm that is under a sanction of debarment by the Borrower from being awarded a contract is
eligible to participate in this procurement, unless the Bank, at the Borrower’s request, is
satisfied that the debarment; (a) relates to fraud or corruption, and (b) followed a judicial or
administrative proceeding that afforded the firm adequate due process.
83
ANNEXURE 1A
FORMAT OF BID LETTER
INSTRUCTIONS TO BIDDERS: DELETE THIS BOX ONCE YOU HAVE COMPLETED THE
DOCUMENT
The Bidder must prepare this Letter of Bid on stationery with its letterhead clearly showing the Bidder’s
complete name and business address.
Note: All italicized text is to help Bidders in preparing this form which should be deleted from the final
document.
Date of this Bid submission: [insert date (as day, month and year) of Bid submission]
Invitation for Bid No.: [insert identification]
Date: Place:
To,
Superintending Engineer, Construction Unit,

Office of the Superintending Engineer, Construction Unit,
Uttar Pradesh Jal Nigam (Rural),
Mob: +91-9473942594
Sub: Bid for Design, Build, Finance, Operate and Transfer Sewage Treatment Plants (STPs) along
with Associated Infrastructure for a period of 15 years under through Hybrid Annuity Based
PPP Mode in Saharanpur, Uttar Pradesh under the Namami Gange Programme
Sir/Madam,
We, the undersigned, hereby submit our Bid in respect of the above mentioned project and complying
with the Request for Proposal (RFP) issued by the Jal Nigam in two separate Folders in accordance
with Clause 20 as under:
(i) Qualification Proposal, as submitted through this letter in accordance with Clause 20; and
(ii) Financial Proposal – comprising the Bid Price Sheet, which has been filled and submitted online
in the separate Folder.
In submitting the Qualification Proposal, we make the following declarations:
84
(a) No reservations: We have examined and have no reservations to the bidding documents, namely
Request (RFP) and the Concession Agreement issued by Jal Nigam, including Addenda issued in
accordance with Instructions to Bidders (Clause 9);
(b) Eligibility: We meet the eligibility requirements and have no conflict of interest in accordance
with Clause 3;
(c) Conformity: We submit this offer to qualify as a Bidder and to execute the Concession Agreement
for the design, finance, construction, completion, operation and maintenance of the Facilities in
(d) Bid Validity Period: Our Bid shall be valid for a period specified in Clause 14.1 (or as amended
if applicable) from the Bid Due Date as specified in Clause 19 (or as amended if applicable), and
it shall remain binding upon us and may be accepted at any time before the expiration of that
period;
(e) Performance Security: If our Bid is accepted, we commit to obtain a Performance Security and
an Environmental, Social, Health and Safety (ESHS) Performance Security, in accordance with
Clause 16;
(f) One Bid Per Bidder: We are not submitting any other Bid(s) as an individual Bidder or as a
subcontractor, and we are not participating in any other Bid(s) as a Member of a Consortium or
Joint Venture member, and meet the requirements of Clause17;
(g) No Separate Bid from Associates: We declare that we and our Associates are not submitting
separate Bids;
(h) Suspension and Debarment: We, along with any of our subcontractors, suppliers, consultants,
manufacturers, associates or service providers for any part of the Concession Agreement, are not
subject to, and not controlled by any entity or individual that is subject to, a temporary suspension
or a debarment imposed by the World Bank Group or a debarment imposed by the World Bank
Group in accordance with the Agreement for Mutual Enforcement of Debarment Decisions
between the World Bank and other development banks. Further, we are not ineligible under the
Executing Agency’s country laws or official regulations or pursuant to a decision of the United
Nations Security Council;
(i) State-owned enterprise or institution: [select the appropriate option and delete the other] [We
are not a state-owned enterprise or institution] / [We are a state-owned enterprise or institution
but meet the requirements of Clause 3.1 (a)];
(j) Binding Contract: We understand that this Bid, together with your written acceptance thereof
included in your Letter of Award, shall constitute a binding contract, until a formal Concession
Agreement is prepared and executed;
(k) Not Bound to Accept: We understand that you are not bound to accept the lowest evaluated Bid,
the Preferred Bid or any other Bid that you may receive;
(l) In the event being declared as the Selected Bidder, we agree to incorporate a Special Purpose
Vehicle, which will enter into a Concession Agreement provided by the [Executing Agency]. We
agree not to seek any changes in or deviations from the aforesaid draft Concession Agreement and
agree to abide by the same; and
(m) Fraud and Corruption: We hereby certify that we have taken steps to ensure that no person acting
for us or on our behalf engages in any type of Fraud and Corruption.
85
(n) [We have submitted an undertaking from the Associate for deploying the expertise of the associate
for the development of the project and/ or commitment of the equity during the construction of the
project.]13
(o) We agree and understand that the Bid is subject to the provisions of the RFP. In no case, we shall
have any claim or right against the Jal Nigam if the Project is not awarded to us or our Bid is not
opened.
Name of the Bidder: *[insert complete name of the Bidder]
Name of the person duly authorized to sign the Bid on behalf of the Bidder: ** [insert complete
name of person duly authorized to sign the Bid]
Title of the person signing the Bid: [insert complete title of the person signing the Bid]
Signature of the person named above: [insert signature of person whose name and capacity are
shown above]
Date signed [insert date of signing] day of [insert month], [insert year]
*: In the case of the Bid submitted by Consortium/Joint Venture specify the name of the Joint Venture
as Bidder indicating the Lead member [in association with __________ (mention the name of the entity)
as the Nominated STP Sub-Contractor, __________ (mention the name of the entity) as the Sewerage
Network Nominated Subcontractor]14 [, in association with _________ (mentioned the name of the
entity) as the technology provider]15.
**: Person signing the Bid shall have the power of attorney given by the Bidder to be attached with the
Bid
13 To be deleted if not applicable. If the Bidder is claiming the credentials of an Associate for meeting the Technical Capacity
and/or Financial Capacity requirement, the Bidder shall submit a suitable undertaking in the Associate firm’s letter head, in
addition to the formats mentioned in this RFP.
14 To be deleted if not applicable
15 To be deleted if not applicable
86
ANNEXURE 1B
Part I
Bidder Information Form
Date: _________________
RFB No. and title: _________________
Page __________of _______________pages
Bidder's name
In case of Joint Venture (JV), name of each member:
Bidder's actual or intended country of registration:
[indicate country of Constitution]
Bidder's actual or intended year of incorporation:
Bidder's legal address [in country of registration]:
Bidder's authorized representative information

Name: _____________________________________
Address: ___________________________________
Telephone/Fax numbers: _______________________
E-mail address: ______________________________
1. Attached are copies of original documents of
Memorandum and Articles of Association (or equivalent incorporation documents of constitution or
association), and/or documents of registration of the legal entity named above, in accordance with ITB
20.1(o)
In case of JV, letter of intent to form JV or JV agreement, in accordance with ITB 20.2
In case of state-owned enterprise or institution, in accordance with ITB 3.1(a), documents establishing:
Legal and financial autonomy
Operation under commercial law
Establishing that the Bidder is not under the supervision of the Employer
2. Included are the organizational chart, a list of Board of Directors, and the beneficial ownership. [If
required under BDS ITB 41.4(f) and ITB 43.1, the successful Bidder shall provide additional
information on beneficial ownership, using the Beneficial Ownership Disclosure Form.]
3. Brief description of the Bidder including details of its main lines of business: [Note. Such
description shall not exceed 5 type-written pages.]
4. Details of individual(s) who will serve as the point of contact/communication for the Jal Nigam
and NMCG:
(a) Name:
87
(b) Designation:
(c) Address:
(d) Telephone Number:
(e) E-mail Address:
(f) Fax Number:
5. In case of a JV/Consortium:
(a) Each member of the Bidder’s JV needs to complete a Bidder’s JV Information Form per
Part II format below.
(b) Additional information regarding each Member of the Consortium should be provided
as per table below:
S. No. Name of Member Proposed percentage holding in the total Equity of the
SPV
1.
2.
3.
6. Details of the Nominated STP Sub-Contractor, if applicable:
7. Details of the technology provider (in case an STP technology other than those mentioned in the
CPHEEO manual is being proposed):
88
ANNEXURE 1C
FORMAT OF POWER OF ATTORNEY AUTHORISING THE SIGNATORY OF THE BID
(on Stamp Paper)
Know all men by these presents, We …………………………………………….. (name of the

Company and address of the registered office) do hereby irrevocably constitute, nominate, appoint and
authorise Mr./ Ms. (name), …………………… son/daughter/wife of ……………………………… and
presently residing at …………………., who is presently employed with us/the Lead Member of our
Consortium and holding the position of ……………………………., as our true and lawful attorney
(hereinafter referred to as the Attorney) to do in our name and on our behalf, all such acts, deeds and
things as are necessary or required in connection with or incidental to submission of our Bid for the
Design, Build, Finance, Operate and Transfer Sewage Treatment Plants (STPs) along with
Associated Infrastructure for a period of 15 years through Hybrid Annuity Based PPP Mode in
Saharanpur, Uttar Pradesh under the Namami Gange Programme proposed or being developed
by the Jal Nigam and the National Mission for Clean Ganga (NMCG), including but not limited to
signing and submission of all Bid documents and other documents and writings, participate in investor
consultations and other conferences and providing information/responses to the Jal Nigam representing
us in all matters before the Jal Nigam and NMCG, signing and execution of all contracts including the
Concession Agreement and undertakings consequent to acceptance of our Bid, and generally dealing
with the Jal Nigam and NMCG in all matters in connection with or relating to or arising out of our Bid
for the Project and/or upon award of the Project to us and/or till the entering into of the Concession
Agreement with the Jal Nigam and NMCG.
AND we hereby agree to ratify and confirm and do hereby ratify and confirm all acts, deeds and things
done or caused to be done by our said Attorney pursuant to and in exercise of the powers conferred by
this Power of Attorney and that all acts, deeds and things done by our said Attorney in exercise of the
powers hereby conferred shall and shall always be deemed to have been done by us.
IN WITNESS WHEREOF WE, …………………., THE ABOVE-NAMED PRINCIPAL HAVE

EXECUTED THIS POWER OF ATTORNEY ON THIS ……… DAY OF ………., 2022.
For
…………………………..
(Signature, name, designation and address)
Witnesses:
1.
2.
(Notarised)
Accepted
……………………………
89
(Signature)
(Name, Title and Address of the Attorney)
Instructions:
(1) 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.
(2) Wherever required, The Bidder should submit for verification the extract of the charter
documents and documents such as a board or shareholders’ resolution/ power of attorney in
favour of the person executing this Power of Attorney for the delegation of power hereunder
on behalf of the Bidder.
(3) 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 the Bidders 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 Apostille certificate.
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ANNEXURE 1D
FORMAT OF CERTIFICATE FROM THE STATUTORY AUDITOR FOR NET WORTH

AND COMPLIANCE WITH OTHER FINANCIAL QUALIFICATION CRITERIA
(On the letter head of the statutory auditor of the Bidder/Member)
Based on the books of accounts of (insert name of the Bidder/Member and/or its Associate)
(Bidder/Member and/or its Associate) (Bidder/Member) and other published information
authenticated by it, this is to certify that:
(a) As on (insert date), the Bidder's/Member's and/or its Associate’s Net Worth is
Rs.…………… (Rupees ……………………………).
Further, the annual Net Worth as per the balance sheets of following 3 Financial Years exceeds
Rs. [mention amount in figures and words]. The details are provided below:
Financial Year Net Worth (Rs. Crores)

Financial Year [ ]
Financial Year [ ]
Financial Year [ ]
The Net Worth of ……. has been calculated in accordance with the terms set out in the Request
for Proposal (RFP) issued by the Jal Nigam on [insert date].
(b) The Bidder/Member and/or its Associate is not affected by and has not been affected
by any of the following events, conditions or circumstances in any of the 3 Financial
Years preceding the Bid Due Date out of 2018-19, 2019-20, 2020-21 and 2021-22:
(i) undergoing any corporate debt restructuring or similar process under the laws of the country of
its incorporation; having been categorized as a willful defaulter in accordance with Applicable
Laws;
(ii) being subject to proceedings for declaration of or being declared bankrupt, being wound up, or
having its affairs administered or conducted by any court, administrator, receiver; or
(iii) having been declared by a court or other competent authority as being unable to pay its debts,
or
(iv) having made any composition or arrangements with creditors or having had the repayment of
its debts suspended.
Name of the auditor:

Seal of the auditor:
Signature:
Name:
Membership Number:
Designation:
Date:
Instructions:
In the event that the Net worth of an Associate is being claimed, the Bidder should also provide a certificate in
the format set out at Annexure 1G.
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ANNEXURE 1E
PART I
FORMAT OF DETAILS OF THE DEVELOPMENT/ DESIGN AND CONSTRUCTION
EXPERIENCE OF ELIGIBLE STP/ ETP/ CETP
Refer
Item Details of the Project
Instruction
(1)
Entity claiming experience
Title and Nature of the project (STP/
ETP/ CETP)
Capacity of the project and technology
Entity for which project was

(2)
developed/designed and constructed
Cost of the project
Location
Date of award, commissioning of

(3), (4)
project/Status of project
Whether credit is being taken

for the experience of (5)
an Associate (Yes/No)
Whether credit is being taken for the

experience of a Nominated STP Sub-
Contractor (Yes/No)
In case of development experience,

shareholding in the company developing (6)
and owning the project
Instructions for filling up Part I of Annexure 1E:

(1) Bidders are expected to provide information in respect of the STP/ ETP/ CETP projects for
which they are claiming design and construction/development experience.
(2) In case of development experience of the STP/ ETP/ CETP, details such as name, postal
address, email address and contact details of the authority/implementing agency (i.e.,
concession grantor) should be provided. In case of design and construction experience of the
STP/ ETP/ CETP, details such as name, postal address, email address and contact details of
both the developer (i.e., the concessionaire) and the authority/implementing agency (i.e., the
concession grantor) should be provided.
(3) The date of award of the project and commissioning of the project, as the case may be, should
be indicated.
92
(4) In case of development experience of the STP/ ETP/ CETP, the commissioning certificate issued
by the relevant government authority/ client and signed by the executive engineer or an
equivalent officer, certifying the date of award of the project, the date of commissioning of the
project and that the project has been commissioned and completed (as required under the
relevant concession agreement or similar contract) should be provided.
In case of design and construction experience of the STP/ ETP/ CETP, the commissioning
certificate issued by the relevant government authority/ client and signed by a duly authorized
officer, certifying the date of award of the project, the date of commissioning of the project and
that the project has been successfully commissioned and completed (as required under the
relevant concession agreement or similar contract for the STP / ETP/ CETP) should be
provided.
(5) In the event that credit is being taken for the experience of an Associate, the Bidder should also
provide a certificate in the format set out at Annexure 1G.
(6) A certificate from the statutory auditor should be furnished stating the shareholding in the entity
developing the STP/ ETP/ CETP in the format set out at Annexure 1F.
(7) Experience for any activity relating to a STP/ ETP/ CETP shall not be claimed by two or more
Members of the Consortium or the Nominated STP Sub-Contractor (if applicable).. In other
words, no double counting by a Consortium in respect of the same experience shall be permitted
in any manner whatsoever.
(8) It may be noted that in the absence of any detail in the above format and/or the certificate(s)
issued by the relevant government authority/ client, the information would be considered
inadequate and could lead to exclusion of the relevant project in determining whether the
Bidder meets the Qualification Criteria.
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PART II
FORMAT OF DETAILS OF THE OPERATION AND MAINTENANCE (O&M)
EXPERIENCE OF ELIGIBLE STP/ ETP/ CETP
Refer
Item Details of the Project
Instruction
(1)
Entity claiming experience
Title and Nature of the project (STP/ ETP/
CETP)
Entity in whose name the experience
certificate from the relevant government
authority/ client is issued
Capacity of the project and technology
Entity for which project being operated and

(2)
maintained
Location
Duration for which O&M experience is
being claimed (From month, year to month, (3)
year)

experience of O&M as an Associate (4)
(Yes/No)

experience of O&M of Nominated STP
Sub-Contractor (Yes/No)
Instructions:
(1) Bidders are expected to provide information in respect of the STPs/ ETP/ CETP for which they
are claiming O&M experience.
(2) Details such as name, postal address, email address and contact details of the client and/or the
relevant government authority/client (i.e., the implementing agency) should be provided.
(3) The start date and end date (if applicable) of O&M of the project, should be indicated, for
which O&M experience is being claimed
The duration of the O&M experience must be at least 12 consecutive months in the 10 years
immediately preceding the Bid Due Date.
For each STP ETP/ CETP project, a certificate issued by the relevant government
authority/client (i.e., the implementing agency) and signed by the executive engineer or an
equivalent officer certifying the Bidder/Member/Associate that the Bidder/Member/Associate
has successfully operated and maintained the STP ETP/ CETP for at least 12 consecutive
months in the 10 years immediately preceding the Bid Due Date, in accordance with the
relevant concession agreement or similar contract executed for such STP ETP/ CETP, should
be provided.
94
.
(4) In the event that credit is being taken for the experience of an Associate, the Bidder should also
provide a certificate in the format set out at Annexure 1G.
(5) It may be noted that in the absence of any detail in the above format and the certificate(s)
issued by the relevant government authority/client, the information would be considered
inadequate and could lead to exclusion of the relevant project in determining whether the
Bidder meets the Qualification Criteria.
(6) Experience for any activity relating to a project shall not be claimed by two or more Members
of the Consortium. In other words, no double counting by Consortium in respect of the same
experience shall be permitted in any manner whatsoever.
95
Part III
Technical Capacity of the Bidder@

(Refer to Clauses 4.1 and 3.5 of the RFP)
Bidder type Proposed Project Cate- Experience¥

# Equity Code** gory$ (Equivalent Rs. crore)$$
Shareholding Payments Payments Revenues
in Consortium made/ made for appropriated
(%) received for development from Eligible
construction of Eligible Projects in
of Eligible Projects in Category 1
Projects Category 1 and/or Category
and/or Category 2
2
(1) (2) (3) (4) (5) (6) (7)

Single A
entity B
Bidder C
D……Z
Consortium 1a
Member 1 1b
1c
1d…..1z
Consortium 2a
Member 2 2b
2c
2d…..2z
Nominated STP 3a
Sub-Contractor 3b
3c
3d…..3z
Threshold Technical Capability
@ Provide details of Eligible Project under Category 1 and Category 2 in this form.
In case of category 1 projects,
- provide details of only those projects that have been undertaken by the Bidder under its own name and/
or by an Associate and/ or by a project company eligible under Clause 4.1(a)(C)(ii),
- include only those projects which have an estimated capital cost exceeding the amount specified in Clause
4.1(a)(C)(iii)
In case of Category 2 projects, include only those projects where the payments made/received exceed the
amount specified in Clause 4.1(a)(D).
# A Bidder consisting of a single entity should fill in details as per the row titled Single entity Bidder and ignore
the rows titled Consortium Member. In case of a Consortium, the row titled Single entity Bidder may be
ignored. In case credit is claimed for an Associate, necessary evidence to establish the relationship of the
Bidder with such Associate, in terms of Clause 20.1(g), shall be provided.
** Refer Annexure-1E Part E.
$ Refer Clause 4.1(a)(B).
96
¥ In the case of Category 2, 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 land be included for submission as an Eligible Project.
$$ For conversion of US Dollars to Rupees, the rate of conversion shall be as per the rate as on date 60
(sixty) days prior to the Bid Due Date. 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.
97
Part IV
Details of Eligible Projects
Project Code:
Refer
Item Particulars of the Project
Instruction
(1) (2) (3)
Entity Claiming Experience
Capacity of the Project &
technology
Title & nature of the project
Category 3
Year-wise (a) payments 4 Financial Year Payment (In Cr.)
received/ made for FY
construction, (b) payments FY
made for development of FY
PPP projects and/ or (c) FY
FY
revenues appropriated
Total
Entity for which the project 5
was constructed/ developed
Location
Project cost 6
Date of award, completion/
commissioning of project/
contract
Date of completion/ 7
commissioning
Equity shareholding 8
(with period during which

equity was held)
Whether credit is being taken for the 13
Eligible Experience of an Associate
(Yes/ No)
Instructions:
1. Bidders are expected to provide information in respect of each Eligible Projects in this Annex. The
projects cited shall comply with the eligibility criteria specified in Clause 4.1(a)(C) and 4,1(a)(D) of
the RFP, as the case may be. Information provided in this section is intended to serve as a backup for
information provided in the Bid.
2. A separate sheet should be filled for each Eligible Project.
3. Refer to Clause 4.1(a)(B) of the RFP for category number.
4. The total payments received/ made and/or revenues appropriated for each Eligible Project are to be stated
in Annexure-1E Part-III. The figures to be provided here should indicate the break-up for the 5 (five)
financial years as mentioned in the table. For Category 1, expenditure on development of the project
and/or revenues appropriated, as the case may be, should be provided, but only in respect of projects
98
having an estimated capital cost exceeding the amount specified in Clause 4.1(a)(C)(iii). In case of
Category 2, payments made/ received only in respect of construction should be provided, but only if the
amount paid/received exceeds the minimum specified in Clause 4.1(a)(D). Payment for construction
works should only include capital expenditure, and should not include expenditure on repairs and
maintenance.
5. In case of projects in Category 1, particulars such as name, address and contact details of owner/
Authority/ Agency (i.e. concession grantor, counter party to PPA, etc.) may be provided. In case of
projects in Category 2, similar particulars of the client need to be provided.
6. Provide the estimated capital cost of Eligible Project. Refer to Clauses 4.1(a)(C) and 4.1(a)(D).
7. For Category 1, the date of commissioning of the project, upon completion, should be indicated. In case
of Category 2, date of completion of construction should be indicated. In the case of projects under
construction, the likely date of completion or commissioning, as the case may be, shall be indicated.
8. For Category 1, the equity shareholding of the Bidder, in the company owning the Eligible Project, held
continuously during the period for which Eligible Experience is claimed, needs to be given (Refer Clause
4.1(a)(C)).
9. Experience for any activity relating to an Eligible Project shall not be claimed by two or more Members
of the Consortium. In other words, no double counting by a Consortium in respect of the same experience
shall be permitted in any manner whatsoever. Further, in case of a Nominated STP Sub-Contractor, the
experience for any activity relating to an Eligible Project shall not be claimed by both the Bidder and the
Nominated STP Sub-Contractor.
10. Certificate from the Bidder’s statutory auditor or its respective clients shall be furnished as per formats
below for each Eligible Project. In jurisdictions that do not have statutory auditors, the auditors who
audit the annual accounts of the Bidder/ Member/Associate/ Nominated STP Sub-Contractor may
provide the requisite certification.
99
11. If the Bidder is claiming experience under Category 1, it should provide a certificate from its statutory
auditor in the format below:
Certificate from the Statutory Auditor regarding PPP projects
Based on its books of accounts and other published information authenticated by it, this is to certify
that ……………(name of the Bidder/Member/Associate/ Nominated STP Sub-Contractor) is/ was an
equity shareholder in (title of the project company) and holds/held Rs………. (Rupees
………..) of equity (which constitutes ……… %16 of the total paid up and subscribed equity capital)
of the project company from ……..(date) to …….. (date) 17 . The project was/is likely to be
commissioned on …….. (date of commissioning of the project).
We further certify that the total estimated capital cost of the project is Rs. …………
(Rupees ………………….), of which Rs……….. (Rupees ……………….) of capital expenditure
was incurred during the past five financial years as per year-wise details noted below:
______________
______________
______________
We also certify that the eligible annual revenues collected and appropriated by the aforesaid project
company in terms of Clauses 4.1(a)(B) and 4.1(a)(C)(iv) of the RFP during the past five financial
years were Rs. ……………... as per year-wise details noted below:
Name of the audit firm:

(Signature, name and designation of the authorised signatory)
Seal of the audit firm:

Date:
16
Refer Instruction 8 to this Annexure.
17
In case the project is owned by the Bidder company, this language may be suitably modified to read: “It is
certified that …………….. (name of Bidder) constructed and/ or owned the ………….. (name of project)
from ……………….. (date) to ………………… (date).”
100
12. If the Bidder is claiming experience under Category 2, it should provide a certificate from its statutory
auditors or the client in the format below:
Certificate from the Statutory Auditor/Client regarding Construction Works
Based on its books of accounts and other published information authenticated by it, {this is to certify
that ……………(name of the Bidder/Member/Associate/ Nominated STP Sub-Contractor) is/ was
engaged by …………. (title of the project company) to execute ………… (name of the project) for
…………… (nature of project)}18. The construction of the project commenced on ……..(date) and
the project was/is likely to be commissioned on …….. (date , if any). It is certified that
……………….. (name of the Bidder/Member/Associate/ Nominated STP Sub-Contractor) received/
paid Rs …………….. (Rupees ………….), in terms of Clauses 4.1 (a) (B) and 4.1(a)(D) of the RFP
, during the past five financial years as per year-wise details noted below:
______________
______________
______________
{It is further certified that the payments/ receipts indicated above are restricted to the share of the
Bidder who undertook these works as a partner or a member of Joint Member/ Consortium.} 19

(Signature, name and designation of the authorised signatory)
Seal of the audit firm:

Date:
13. In the event that credit is being taken for the Eligible Experience of an Associate, the Bidder should
also provide a certificate in the format provided in Annexure 1G.
18
In case the Bidder owned the Eligible Project and engaged a contractor for undertaking the construction works,
this language may be modified to read: “ this is to certify that …………… (name of Bidder/ Member/
Associate) held 26% or more of the paid up and subscribed share capital in the……………. (name of Project
company) when it undertook construction of the ………………. (name of Project) through…………………
(name of the contractor).
19
This certification should only be provided in case of jobs/ contracts, which are executed as part of a
partnership/ joint venture/ consortium. The payments indicated in the certificate should be restricted to the
share of Bidder in such partnership/ joint venture/ consortium. This portion may be omitted if the contract
did not involve a partnership/ joint venture/ consortium. In case where work is not executed by partnership/
joint venture/ consortium, this paragraph may be deleted.
101
ANNEXURE 1F
Part A
FORMAT OF CERTIFICATE FROM THE STATUTORY AUDITOR REGARDING
DEVELOPMENT EXPERIENCE FOR STP/ ETP/ CETP
Based on its book of accounts and other published information authenticated by it, this is to certify
that ……………………. (name of the Bidder/Member/Associate Nominated STP Sub-Contractor)
is/was an equity shareholder in ………………. (title of the project company) which developed a
STP/ ETP/ CETP [strikeout whichever is not applicable] of [Insert capacity of STP/ ETP/ CETP]
MLD at [Insert location of STP/ ETP/ CETP] for [Insert name of implementing agency] and
held/holds Rs. ………cr. (Rupees …………………………. crore) of equity (which constitutes ……..%
of the total paid up and subscribed equity capital) of [Insert name of the project company] as on the
Bid Due Date/commercial operations date/date of issuance of the completion certificate or any other
equivalent certificate by the relevant government authority/client for such STP/ ETP/ CETP.
Seal of the audit firm: (Signature, name and designation of the authorised
signatory)
Date:
102
Section IV. Bidding Forms 103
ANNEXURE 1G
FORMAT OF SELF-ATTESTED CERTIFICATE REGARDING ASSOCIATE
Self-Attested Certificate regarding Associate
H
FORMAT OFauthenticated
Based on the POWER OFrecord
ATTORNEY
of [InsertAPPOINTING LEAD MEMBER
name of the Company], this is to certify that [more than
50% (fifty per cent) of the subscribed and paid up voting equity of ……………… (name of the
Bidder/Member/ Associate) is held, directly or indirectly, by ……………….. (name of Bidder/
Member/Associate)
By virtue of the aforesaid, the latter exercises control over the former, who is an Associate.]
[…… (name of Bidder/Member/Associate) has the power, directly or indirectly, to direct or influence
the management and policies of ….. (Bidder/Member) by operation of law, contract or otherwise]. By
virtue of the aforesaid, the former exercises control over the latter, who is an Associate.]
A brief description of the said equity held, directly or indirectly, is given below:
{Describe the share-holding of the Bidder/Member and the Associate. In the event the Associate is
under common Control with the Associate/Consortium Member or the Control is exercised by
operation of law, the relationship may be suitably described and similarly certified herein.}
Name of the Bidder/Member: Seal of the Bidder/Member:
(Signature, name and designation of the authorised signatory).

Date:
103
ANNEXURE 1H
FORMAT OF INFORMATION ON LITIGATION AND HISTORICAL CONTRACT NON-

PERFORMANCE (INCLUDING LITIGATION INFORMATION ON ESHS ISSUES)
(To be provided by the Bidder/each Member/ Nominated STP Sub-Contractor)
Table 1H.1: Information on Litigation

Forum and Current Orders passed
Counterparty Brief Estimated Status of against the
S.
Name Description of financial Litigation Bidder/Member/
No.
the matter liability Nominated STP
Sub-Contractor
104
Table 1H.2: Information on Historical Contract Non-performance (including related to ESHS)

Non-Performed Contracts in accordance with Clause 20.1(h), Table: Eligibility and Qualification Criteria
Contract non-performance did not occur since 1st January 2016 as specified in Evaluation and
Qualification Criteria, Sub-Factor 20.1.(h)
Contract(s) non-performance occurred since 1st January 2016 as specified in Evaluation and
Qualification Criteria, Sub-Factor 20.1.(h), as listed below:
Year Type of non- Non- performed Contract Identification Total Contract

performance portion of Amount
contract (current value,
currency,
exchange rate
and US$
equivalent)
[insert [Describe type [insert amount and Contract Identification: [indicate complete [insert amount]
year] of non- percentage] contract name/ number, and any other
performance] identification]
Name of Employer: [insert full name]
Address of Employer: [insert
street/city/country]
Reason(s) for nonperformance: [indicate
main reason(s)]
105
ANNEXURE 1I
FORM OF BID SECURITY (BANK GUARANTEE)

(in stamp paper)
B.G.No: Dated:
WHEREAS, ...........................(name of Bidder including names of all Joint Venture
Participants) (hereinafter called “the Bidder”) has submitted its Bid (hereinafter called the
“Bid”) dated (date) for the performance of (name of Contract).
KNOW ALL PEOPLE by these presents that We .................... (name of Bank) of

.................... (name of country) having our registered office at .................... (hereinafter called
“the Bank”) are bound unto .................... (hereinafter called “the Owner”) in the sum of
....................for which payment well and truly to be made to the said Owner, the Bank binds
itself, its successors, and assigns by these presents.
[The Bidder should insert the amount of the guarantee in words and in figures. This
figure should be the same amount as set out in Clause 15. and the Bid Data Sheet. The
details related to the Bid Security are set out in the same Clause 15.]
The CONDITIONS of this obligation are:
a. if the Bidder withdraws its Bid during the Bid Validity Period; or
b. if the Bidder, having been notified of the acceptance of its Bid by the Owner during the
period of Bid validity,
1. fails to sign the Form of Contract in accordance with and when required by Clause 23
or
2. fails to provide the performance security to the Owner in accordance with and when
required by Clause 16.
We undertake to pay to the Owner up to the above amount upon receipt of its first written
demand, without the Owner having to substantiate its demand, provided that in its demand
the Owner will note that the amount claimed by it is due to it owing to the occurrence of one
or more of the conditions set out above, specifying the occurred condition or conditions.
This Guarantee will remain in full force up to and including 45 days after the expiry of the
Bid Validity Period and it may be extended by the Owner in accordance with the Bidding
Documents, notice of which extension(s) to the Bank is hereby waived. Any demand in
respect of this Guarantee should reach the Bank not later than the above date or the extended
date.
This guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010
Revision, ICC Publication No. 758 except that the supporting statement under Article 15(a) is
hereby excluded.
SEALED with the Common Seal of the said

Bank this ....... day of ...................., [Year].
106
_________________________ ___________________________
WITNESS SIGNATURE OF THE BANK
(signature, name and address) SEAL
Name:
Position:
107
ANNEXURE 1J
FORMAT OF POWER OF ATTORNEY FOR APPOINTING LEAD MEMBER

(On Requisite Stamp Paper)
Whereas the Uttar Pradesh Jal Nigam (referred to as Jal Nigam) has invited Bids from interested parties
for Development of Sewage Treatment Plants at Saharanpur on Hybrid Annuity model on PPP basis
(the Project).
Whereas, ……………………., …………………….. and …………………….. (collectively, the

Consortium) being Members of the Consortium are interested in submitting a Bid for the Project in
accordance with the terms and conditions of the Request for Proposal (RFP) issued by the Jal Nigam
on [Insert Date], and
Whereas, it is necessary for the Members of the Consortium to designate one of them as the Lead
Member with all necessary power and authority to do for and on behalf of the Consortium, all acts,
deeds and things as may be necessary in connection with the Consortium's Bid for the Project and its
implementation.
NOW, THEREFORE, KNOW ALL MEN BY THESE PRESENTS
We, …………………….. having our registered office at …………………….., ……………………..

having our registered office at …………………….., and …………………….. having our registered
office at …………………….., (hereinafter collectively referred to as the Principals) do hereby
irrevocably designate, nominate, constitute, appoint and authorise …………………….. having its
registered office at …………………….., being one of the Members of the Consortium, as the Lead
Member and true and lawful attorney of the Consortium (hereinafter referred to as the Attorney). We
hereby irrevocably authorize the Attorney (with power to sub-delegate) to conduct all business for and
on behalf of the Consortium and any one of us during the Bid Process and, in the event the Consortium
is awarded the Project, during the implementation of the Project and in this regard, to do on our behalf
and on behalf of the Consortium, all or any of such acts, deeds or things as are necessary or required or
incidental to the submission of the Consortium’s Bid for the Project, including but not limited to signing
and submission of all Bid related documents and other documents and writings, participate in bidders
and other conferences, respond to queries, submit information/documents, sign and execute contracts
and undertakings consequent to acceptance of the bid of the Consortium and generally to represent the
Consortium in all its dealings with the Jal Nigam and the National Mission for Clean Ganga, and/or any
other government agency or any person, in all matters in connection with or relating to or arising out of
the Consortium's Bid for the Project and/or upon award of the Project and/or till the Concession
Agreement is entered into with the Jal Nigam and the National Mission for Clean Ganga.
AND hereby agree to ratify and confirm and do hereby ratify and confirm all acts, deeds and things
done or caused to be done by our said Attorney pursuant to and in exercise of the powers conferred by
this Power of Attorney and that all acts, deeds and things done by our said Attorney in exercise of the
powers hereby conferred shall and shall always be deemed to have been done by us/Consortium.
IN WITNESS WHEREOF WE THE PRINCIPALS ABOVE NAMED HAVE EXECUTED THIS

POWER OF ATTORNEY ON THIS …………………. DAY OF ………., 20.....…
For ……………………..
108
(Signature)
……………………..
(Name & Title)
For ……………………..
(Signature)
……………………..
(Name & Title)
Witnesses:
1.
2.
………………………………………
(To be executed by all the Members of the Consortium)
(Notarised)
Accepted
……………………………
(Signature)
Instructions:
(1) 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.
(2) The Bidder should submit for verification the extract of the charter documents and documents
such as a board or shareholders’ resolution/power of attorney in favour of the person executing
this Power of Attorney for the delegation of power hereunder on behalf of the Bidder.
(3) 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 the Bidders from countries that
109
ANNEXURE 1K
FORMAT OF JOINT BIDDING AGREEMENT
THIS JOINT BIDDING AGREEMENT ("Agreement") is entered into on this [●] Day of [●] 201[●]
AMONGST
1. [●], with its registered office at (referred to as the First Part which expression will, unless
repugnant to the context include its successors and permitted assigns);
AND
2. [●], with its registered office at (referred to as the Second Part which expression will, unless
repugnant to the context include its successors and permitted assigns);
[[AND
3. [●], with its registered office at [●] (referred to as the Third Part which expression will, unless
repugnant to the context include its successors and permitted assigns).]
The above mentioned parties of the FIRST [and] [,] SECOND, [and] [,] [THIRD] are
collectively referred to as the Parties and each is individually referred to as a Party.
WHEREAS
(A) Uttar Pradesh Jal Nigam (referred to as the Jal Nigam, which expression will, unless repugnant
to the context or meaning thereof, include its administrators, successors and assigns) has invited
Bids by its Request for Proposal No. [___] dated [___] (the RFP) for selection of a Bidder for
the designing (as applicable), financing, development, construction, completion, operation and
maintenance of all Facilities in Saharanpur on a hybrid annuity PPP basis in accordance with
the Concession Agreement (the Project).
(B) The Parties are interested in jointly bidding for the Project as Members of a Consortium and in
accordance with the terms and conditions of the RFP.
(C) It is a necessary condition under the RFP that the Members will enter into a Joint Bidding
Agreement and furnish a copy of it with the Bid.
NOW IT IS HEREBY AGREED as follows:
1. Definitions and interpretations
In this Agreement, the capitalised terms will, unless the context otherwise requires, have the
meaning ascribed thereto under the RFP.
2. Consortium
110
2.1 The Parties do hereby irrevocably constitute a consortium (the Consortium) for the purposes
of jointly participating in the Bid Process for the Project.
2.2 The Parties hereby undertake to participate in the Bid Process only through this Consortium
and not individually and or through any other consortium constituted for the Project, either
directly or indirectly or through any of their Associates.
3. Covenants
3.1 The Parties hereby undertake that in the event the Consortium is declared the Selected Bidder
and awarded the Project, it will incorporate a special purpose vehicle (SPV) under the
Companies Act for entering into the Concession Agreement with NMCG and the Jal Nigam for
undertaking the Project.
3.2 The Members of the Consortium undertake that they shall be jointly and severally responsible
and liable for all matters arising out of or in relation to this RFP.
4. Role of the Parties
4.1 The Parties hereby agree that Party of the First Part will be the Lead Member of the Consortium
and will have the power of attorney from all Parties and bind all Parties for and in conducting
all business for and on behalf of the Consortium during the Bid Process and, if the Consortium
is declared as the Selected Bidder, during the execution of the Project.
4.2 Party of the Second Part will be [ ].
[4.3 Party of the Third Part will be [ ].]20
5. Shareholding in the SPV
5.1 The Parties agree that the proportion of shareholding among the Parties in the SPV will be as
follows:
First Party:
Second Party:
[Third Party:]
5.2. The Parties undertake that:
(b) the First Party, acting as the Lead Member of the Consortium, will control the SPV and
subscribe for and hold a minimum of 26% of the total Equity and voting rights of the SPV
from the Effective Date until 3 years after the COD , whichever is later; and
(c) the [Second and/or the Third] Party, whose [Technical Capacity and/or Financial Capacity]
is being assessed, will hold at least 26% of the total Equity and voting rights of the SPV
from the Effective Date until 3 years after the COD whichever is later.
20
Role of the other Members to be clarified here. For instance, technical member/financial member.
111
5.3. The Parties undertake that they will comply with all equity lock-in requirements set out in this
Agreement and in the Concession Agreement.
6. Representations of the Parties
Each Party represents to the other Parties as of the date of this Agreement that:
(a) such Party is duly organised, validly existing and in good standing under the laws of its
incorporation and has all requisite power and authority to enter into this Agreement;
(b) the execution, delivery and performance by such Party of this Agreement has been
authorised by all necessary and appropriate corporate or governmental action and a copy
of the extract of the charter documents and board resolution/power of attorney in favour of
the person executing this Agreement for the delegation of power and authority to execute
this Agreement on behalf of the Consortium Member is annexed to this Agreement, and
will not, to the best of its knowledge:
(i) require any consent or approval not already obtained;
(ii) violate any applicable law presently in effect and having applicability to it;
(iii) violate the memorandum and articles of association, by-laws or other

applicable organisational documents;
(iv) violate any clearance, permit, concession, grant, license or other governmental
authorisation, approval, judgment, order or decree or any mortgage agreement,
indenture or any other instrument to which such Party is a party or by which
such Party or any of its properties or assets are bound or that is otherwise
applicable to such Party; or
(v) create or impose any liens, mortgages, pledges, claims, security interests,
charges or encumbrances or obligations to create a lien, charge, pledge,
security interest, encumbrances or mortgage in or on the property of such Party,
except for encumbrances that would not, individually or in the aggregate, have
a material adverse effect on the financial condition or prospects or business of
such Party so as to prevent such Party from fulfilling its obligations under this
Agreement;
(c) this Agreement is the legal and binding obligation of such Party, enforceable in accordance
with its terms against it;
(d) there is no litigation pending or, to the best of such Party's knowledge, threatened to which
it or any of its Associates is a party that presently affects or which would have a material
adverse effect on the financial condition or prospects or business of such Party in the
fulfilment of its obligations under this Agreement; and
(e) there is no suspension or termination of any contract of any Party and/or calling of any
performance security by an employer for reasons related to the non-compliance by such
Party with any ESHS requirements or safeguard in the past 5 years that presently affects or
112
which would have a material adverse effect on the financial condition or prospects or
business of such Party in the fulfilment of its obligations under this Agreement.
7. Termination
This Agreement will be effective from the date hereof and will continue in full force for the
entire duration of the Project in accordance with the Concession Agreement, in case the Project
is awarded to the Consortium. However, in case the Consortium is not selected for award of the
Project, the Agreement will stand terminated upon return of the Bid Security as per the RFP.
8. Miscellaneous
8.1 This Agreement will be governed by the laws of India.
8.2 The Parties acknowledge and accept that this Agreement will not be amended by the Parties
without the prior written consent of the Jal Nigam.
IN WITNESS WHEREOF THE PARTIES ABOVE NAMED HAVE EXECUTED AND

DELIVERED THIS AGREEMENT AS OF THE DATE FIRST ABOVE WRITTEN.
SIGNED, SEALED AND DELIVERED For and on SIGNED, SEALED AND DELIVERED For
behalf of the PARTY OF THE FIRST PART by: and on behalf of the PARTY OF THE
SECOND PART by:
Signature) Signature)
(Name) (Name)
(Designation) (Designation)
(Address) (Address)
SIGNED, SEALED AND DELIVERED For and on

behalf of the PARTY OF THE THIRD PART by:
Signature)
(Name)
(Designation)
(Address)
In the presence of:

1 2.
Instruction:
1. The mode of the execution of the Joint Bidding Agreement should be in accordance with the
procedure, if any, laid down by 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.
113
ANNEXURE 1L
FORMAT OF ENVIRONMENTAL, SOCIAL, HEALTH, AND SAFETY

PERFORMANCE DECLARATION
[The following table shall be filled by the Bidder or each Member, in case of a Consortium, and
the Nominated STP Sub-Contractor (if applicable)]
Bidder's Name: [insert full name]

Date: [insert day, month, year]
Member: [insert full name]
RFP No. and title: [insert RFP number and title]
Page [insert page number] of [insert total number] pages
Environmental, Social, Health, and Safety Performance Declaration

in accordance with Section II, Eligibility and Qualification Criteria
 No suspension or termination of contract: An employer has not suspended or terminated a contract
and/or called the performance security for a contract for reasons related to Environmental, Social, Health,
and Safety (ESHS) performance since the [insert the date] specified in Section II, Eligibility and
Qualification Criteria, Clause 3.5.
 Declaration of suspension or termination of contract: The following contract(s) has/have been
suspended or terminated and/or performance security called by an employer(s) for reasons related to
Environmental, Social, Health and Safety (ESHS) performance since the [insert the date] specified in
Section II, Eligibility and Qualification Criteria, Clause 3.5.
Year Suspended or Contract Identification Total Contract

terminated Amount
portion of (current value,
contract currency,
exchange rate
and US$
equivalent)
[insert [insert amount Contract Identification: [indicate complete contract name/ [insert amount]
year] and percentage] number, and any other identification]
Address of Employer: [insert street/city/country]
Reason(s) for suspension or termination: [indicate main
reason(s)]
[insert [insert amount Contract Identification: [indicate complete contract name/[insert amount]
year] and percentage] number, and any other identification]
Reason(s) for suspension or termination: [indicate main
reason(s)]
… … [list all applicable contracts] …
Performance security called by an employer(s) for reasons related to ESHS performance
Year Contract Identification Total Contract

Amount (current
114
value, currency,
exchange rate and
US$ equivalent)
[insert Contract Identification: [indicate complete contract name/ number, and any[insert amount]
year] other identification]
Reason(s) for calling of performance security: [indicate main reason(s)]
115
ANNEXURE 1M
Undertaking for the Nominated STP Sub-Contractor

(On the Rs. 100 stamp paper and to be duly notarised)
From
[insert name of the entity issuing the undertaking]
[insert address of the entity issuing the undertaking]
Date: [insert date]
To
[Executing Agency]
[]
Dear Sir,
Sub: Undertaking from the Nominated STP Sub-Contractor for the [Name of the Project]
We, the undersigned ……. [insert name of the entity issuing the undertaking] hereby undertake and
confirm that we have [developed]/[designed and constructed] 21 and operated and maintained the
following [Sewage Treatment Plant/]:
Title and Capacity of Location Entity for which the [STP Date of
Nature of the Project was developed and/or completion
the Project designed and constructed
and/or constructed]
The following information and relevant documents are being submitted along with the Bid to
satisfactorily meet the RFP conditions:
1. Total payments received/ made and/ or revenues appropriated for each Eligible Project in the
format set out in Annexure 1E Part-IV of the RFP document along with the certificate from the
statutory auditor, meeting the requirement of 25% of the Threshold Technical Capability as per
Clause 4.1(a)(C) of the RFP, amounting to Rs. _____________ (Rupees _____________);
2. [certificate(s) issued by relevant government authorities/ client to demonstrate that the
[STP/ETP/CETP], experience which is being claimed in the Bid, was developed and/or
designed and constructed in the 10 years immediately preceding the Bid Due Date in
accordance with the contract executed for the STP/ETP/CETP 21. In case of overseas projects,
the Bidder may take note of RFP Clause 4.1 (c)(vi)]22;
21 Delete as applicable.
22
to be deleted if the design and construction experience is not being claimed by the Nominated STP
116
3. [certificate(s) issued by relevant government authorities/ client to demonstrate that the

STP/ETP/CETP, experience which is being claimed in the Bid, was operated and maintained
for any 12 consecutive months in the 10 years immediately preceding the Bid Due Date in
accordance with the contract executed for the [STP/ETP/CETP]21. In case of overseas projects,
the Bidder may take note of RFP Clause 4.1 (c)(vi)]23.
We hereby agree that if [Insert name of the single Bidder/details of Consortium] is selected as the
Selected Bidder,
1. we shall enter into a contract with the Special Purpose Vehicle incorporated by the Selected
Bidder {[ to develop], and [operate and maintain]}24 the Sewage Treatment Plant(s) for [Name
of the Project] in accordance with the Concession Agreement;
2. we shall submit the hard copy of the original contract, as stated above, to the [Executing
Agency] on or before the Effective Date;
3. we shall submit to [Executing Agency], prior to the Appointed Date, an unconditional and
irrevocable bank guarantee for an amount corresponding to 50% of the Performance Securities
in accordance with the Concession Agreement. We hereby undertake that, as per the conditions
stated in the Concession Agreement, the Performance Securities submitted shall be liable to be
forfeited as per the Clause 4.1(a)(F)(v) of the RFP document.
4. we shall submit to [Executing Agency], within 60 days of the relevant Construction Completion
Date or 30 days before the relevant COD, whichever is earlier, an unconditional and irrevocable
bank guarantee for an amount corresponding to 50% of the O&M Securities in accordance with
the Concession Agreement. We hereby undertake that, as per the conditions stated in the
Concession Agreement, the O&M Securities submitted shall be liable to be forfeited as per the
Clause 4.1(b)(ii) of the RFP document.
We hereby confirm that the information provided above is true and correct to the best of our knowledge,
and no material fact has been concealed.
WHEREOF WE, …………………., THE ABOVE NAMED PRINCIPAL HAVE EXECUTED THIS
UNDERTAKING ON THIS ……… DAY OF ………., 20......
For
…………………………..
(Signature, name, designation and address)
(Notarised)
Accepted
……………………………
(Signature)
Subcontractor
23
to be deleted if the O&M experience is not being claimed by the Nominated STP Subcontractor
24
To be deleted as applicable
117
Instructions:
(1) For an undertaking 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 sub-contractor undertaking provided by the Bidders from countries that
118
Annexure 1N
Sexual Exploitation and Abuse (SEA) and/or Sexual
Harassment Performance Declaration
[The following table shall be filled in by the Bidder, each member of a Joint Venture and each subcontractor
proposed by the Bidder]
Bidder’s Name: [insert full name]
Date: [insert day, month, year]
Joint Venture Member’s or Subcontractor’s Name: [insert full name]
RFB No. and title: [insert RFB number and title]
Page [insert page number] of [insert total number] pages
SEA and/or SH Declaration

in accordance with Qualification Criteria, and Requirements
We:
 (a) have not been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations
 (b) are subject to disqualification by the Bank for non-compliance with SEA/ SH obligations
 (c) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations. An
arbitral award on the disqualification case has been made in our favor.
 (d) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations for
a period of two years. We have subsequently demonstrated that we have adequate capacity and
commitment to comply with SEA/ SH obligations.
 (e) had been subject to disqualification by the Bank for non-compliance with SEA/ SH obligations for
a period of two years. We have attached evidence demonstrating that we have adequate capacity
and commitment to comply with SEA/ SH obligations.
[If (c) above is applicable, attach evidence of an arbitral award reversing the findings on the issues
underlying the disqualification.]
[If (d) or ( e) above are applicable, provide the following information:]
Period of disqualification: From: _______________ To: ________________
If previously provided on another Bank financed works contract, details of evidence that demonstrated
adequate capacity and commitment to comply with SEA/ SH obligations (as per (d) above)
Name of Employer: ___________________________________________
Name of Project: _____________________________________
Contract description: _____________________________________________________
Brief summary of evidence provided: ________________________________________
119
______________________________________________________________________
Contact Information: (Tel, email, name of contact person): _______________________
______________________________________________________________________
As an alternative to the evidence under (d), other evidence demonstrating adequate capacity and
commitment to comply with SEA/ SH obligations (as per (e) above) [attach details as appropriate].
120
Annexure 1O
Code of Conduct for Contractor’s Personnel (ES) Form
Note to the Employer:

The following minimum requirements shall not be modified. The Employer may add additional
requirements to address identified issues, informed by relevant environmental and social assessment.
The types of issues identified could include risks associated with: labour influx, spread of
communicable diseases, Sexual Exploitation and Abuse (SEA), Sexual Harassment (SH) etc.
Delete this Box prior to issuance of the bidding documents.
Note to the Bidder:

The minimum content of the Code of Conduct form as set out by the Employer shall not be
substantially modified. However, the Bidder may add requirements as appropriate, including to
take into account Contract-specific issues/risks.
The Bidder shall initial and submit the Code of Conduct form as part of its bid.
CODE OF CONDUCT FOR CONTRACTOR’S PERSONNEL

We are the Contractor, [enter name of Contractor]. We have signed a contract with [enter name of
Employer] for [enter description of the Works]. These Works will be carried out at [enter the Site and
other locations where the Works will be carried out]. Our contract requires us to implement measures
to address environmental and social risks related to the Works, including the risks of sexual exploitation,
sexual abuse and sexual harassment.
This Code of Conduct is part of our measures to deal with environmental and social risks related to the
Works. It applies to all our staff, labourers and other employees at the Works Site or other places where
the Works are being carried out. It also applies to the personnel of each subcontractor and any other
personnel assisting us in the execution of the Works. All such persons are referred to as “Contractor’s
Personnel” and are subject to this Code of Conduct.
This Code of Conduct identifies the behavior that we require from all Contractor’s Personnel.
Our workplace is an environment where unsafe, offensive, abusive or violent behavior will not be
tolerated and where all persons should feel comfortable raising issues or concerns without fear of
retaliation.
REQUIRED CONDUCT
Contractor’s Personnel shall:
1. carry out his/her duties competently and diligently;
121
2. comply with this Code of Conduct and all applicable laws, regulations and other
requirements, including requirements to protect the health, safety and well-being of
other Contractor’s Personnel and any other person;
3. maintain a safe working environment including by:
a. ensuring that workplaces, machinery, equipment and processes under each
person’s control are safe and without risk to health;
b. wearing required personal protective equipment;
c. using appropriate measures relating to chemical, physical and biological
substances and agents; and
d. following applicable emergency operating procedures.
4. report work situations that he/she believes are not safe or healthy and remove
himself/herself from a work situation which he/she reasonably believes presents an
imminent and serious danger to his/her life or health;
5. treat other people with respect, and not discriminate against specific groups such as
women, people with disabilities, migrant workers or children;
6. not engage in Sexual Harassment, which means unwelcome sexual advances, requests
for sexual favors, and other verbal or physical conduct of a sexual nature with other
Contractor’s or Employer’s Personnel;
7. not engage in Sexual Exploitation, which means any actual or attempted abuse of
position of vulnerability, differential power or trust, for sexual purposes, including, but
not limited to, profiting monetarily, socially or politically from the sexual exploitation
of another;
8. not engage in Sexual Abuse, which means the actual or threatened physical intrusion
of a sexual nature, whether by force or under unequal or coercive conditions;
9. not engage in any form of sexual activity with individuals under the age of 18, except
in case of pre-existing marriage;
10. complete relevant training courses that will be provided related to the environmental
and social aspects of the Contract, including on health and safety matters, Sexual
Exploitation and Abuse (SEA), and Sexual Harassment (SH);
11. report violations of this Code of Conduct; and
12. not retaliate against any person who reports violations of this Code of Conduct, whether
to us or the Employer, or who makes use of the grievance mechanism for Contractor’s
Personnel or the project’s Grievance Redress Mechanism. .
RAISING CONCERNS
If any person observes behavior that he/she believes may represent a violation of this Code of
Conduct, or that otherwise concerns him/her, he/she should raise the issue promptly. This can be
done in either of the following ways:
1. Contact [enter name of the Contractor’s Social Expert with relevant experience in
handling gender-based violence, or if such person is not required under the Contract,
another individual designated by the Contractor to handle these matters] in writing at this
address [ ] or by telephone at [ ] or in person at [ ]; or
2. Call [ ] to reach the Contractor’s hotline (if any) and leave a message.
122
The person’s identity will be kept confidential, unless reporting of allegations is mandated by
the country law. Anonymous complaints or allegations may also be submitted and will be given
all due and appropriate consideration. We take seriously all reports of possible misconduct and
will investigate and take appropriate action. We will provide warm referrals to service
providers that may help support the person who experienced the alleged incident, as
appropriate.
There will be no retaliation against any person who raises a concern in good faith about any
behavior prohibited by this Code of Conduct. Such retaliation would be a violation of this Code of
Conduct.
CONSEQUENCES OF VIOLATING THE CODE OF CONDUCT
Any violation of this Code of Conduct by Contractor’s Personnel may result in serious consequences,
up to and including termination and possible referral to legal authorities.
FOR CONTRACTOR’S PERSONNEL:
I have received a copy of this Code of Conduct written in a language that I comprehend. I understand
that if I have any questions about this Code of Conduct, I can contact [enter name of Contractor’s
contact person(s) with relevant experience)] requesting an explanation.
Name of Contractor’s Personnel: [insert name]
Signature: __________________________________________________________
Date: (day month year): _______________________________________________
Countersignature of authorized representative of the Contractor:

Signature: ________________________________________________________
Date: (day month year): ______________________________________________
ATTACHMENT 1: Behaviors constituting Sexual Exploitation and Abuse (SEA) and behaviors
constituting Sexual Harassment (SH)
123
ATTACHMENT 1 TO THE CODE OF CONDUCT FORM
BEHAVIORS CONSTITUTING SEXUAL EXPLOITATION AND ABUSE (SEA) AND

BEHAVIORS CONSTITUTING SEXUAL HARASSMENT (SH)
The following non-exhaustive list is intended to illustrate types of prohibited behaviors
(1) Examples of sexual exploitation and abuse include, but are not limited to:
 A Contractor’s Personnel tells a member of the community that he/she can get them jobs related
to the work site (e.g. cooking and cleaning) in exchange for sex.
 A Contractor’s Personnel that is connecting electricity input to households says that he can
connect women headed households to the grid in exchange for sex.
 A Contractor’s Personnel rapes, or otherwise sexually assaults a member of the community.
 A Contractor’s Personnel denies a person access to the Site unless he/she performs a sexual
favor.
 A Contractor’s Personnel tells a person applying for employment under the Contract that he/she
will only hire him/her if he/she has sex with him/her.
(2) Examples of sexual harassment in a work context

 Contractor’s Personnel comment on the appearance of another Contractor’s Personnel (either
positive or negative) and sexual desirability.
 When a Contractor’s Personnel complains about comments made by another Contractor’s
Personnel on his/her appearance, the other Contractor’s Personnel comment that he/she is
“asking for it” because of how he/she dresses.
 Unwelcome touching of a Contractor’s or Employer’s Personnel by another Contractor’s
Personnel.
 A Contractor’s Personnel tells another Contractor’s Personnel that he/she will get him/her a
salary raise, or promotion if he/she sends him/her naked photographs of himself/herself.
124
ANNEXURE 2A -DELETED
125
ANNEXURE 2B
EXPERIENCE CERTIFICATE FOR NETWORK / PIPELINE

(Refer Clause 4.1(a)(F)(xi) of the RFP)
(On the letter head of the Bidder/ Member)
From
[insert name of Bidder/Member]
[insert address of Bidder/Member]
Date: [insert date]
To
Mob: +91-9473942594
Dear Sir,
Sub: Experience Certificate for Network / Pipeline for the project Design, Build, Finance, Operate
and Transfer Sewage Treatment Plants (STPs) along with Associated Infrastructure for a period
of 15 years through Hybrid Annuity Based PPP Mode in Saharanpur, Uttar Pradesh under the
Namami Gange Programme
We, the undersigned ……. [insert name of the entity issuing the consent letter] hereby confirm that we
have [developed]/[designed and constructed] the following pipeline with minimum diameter 1000
millimeter and minimum length one kilometer :
Length (in meters) of Location Entity for which the Date of completion
network / pipeline of pipeline/pipeline
minimum diameter network was
1000 millimeter and developed
minimum length one
kilometers
The certificate(s) issued by relevant government authorities/client to demonstrate that: (1) the pipeline
was developed or designed and constructed in the 10 years immediately preceding the Bid Due Date in
accordance with the contract executed for the sewerage network.
Dated the _________ day of _________ 2022.
Thanking you,
Yours truly,
……………………
126
(Name and signature of Authorized Signatory)
127
ANNEXURE 3A
CONSENT LETTER FOR EXPERIENCE IN SEWAGE TREATMENT PLANT /CETP/ETP

(Refer Clause 4.1(a)(F)(iii) of the RFP)
(On the letter head of the entity issuing the consent letter)
From
[insert name of the entity issuing the consent letter]
[insert address of the entity issuing the consent letter]
Date: [insert date]
To
Mob: +91-9473942594
Dear Sir,
Sub: Consent Letter for Experience of developing/ designing and constructing STP/ETP/CETP for the
Design, Build, Finance, Operate and Transfer Sewage Treatment Plants (STPs) along with Associated
Infrastructure for a period of 15 years under Hybrid Annuity Based PPP Mode in Saharanpur, Uttar
Pradesh under the Namami Gange Programme
We, the undersigned ……. [insert name of the Bidder/ Member] having read, examined and understood
in detail the RFP for development of the Project, hereby confirm that we have [developed]/[designed
and constructed]25 the following [STP/ ETP/CETP]25:
Duration for which

Capacity of the Entity for which Date of award and O&M experience is
Location
STP/ETP/CETP STP/ETP/CETP completion of the being claimed (From
(in MLD) was set up STP/ETP/CETP month, year to month,
year)
This certificate to demonstrates that: (1) the STP/ETP/CETP was developed or designed and
constructed in the 10 (ten) years immediately preceding the Bid Due Date. Also, in the case of
development experience, the certificate(s) issued by statutory auditors as per format in Annexure 1F
has been attached,
Selected Bidder, we shall enter into a contract with the special purpose vehicle incorporated by the
Selected Bidder (in accordance with Clause 4.1(a)(F)(iii) of the RFP) to develop a STP/ETP/CETP at
the Project Site in accordance with the Concession Agreement:
25
Delete as applicable.
128
Dated the _________ day of _________ 2022.
Thanking you,
Yours truly,
……………………
Instruction: The form has to be read in accordance with Clause 4.1(a)(F) of the RFP
129
ANNEXURE 3B- DELETED
130
ANNEXURE 3C
CONSENT LETTER FOR EXPERIENCE OF TECHNOLOGY PROVIDER

(Only for those Technology which are new and not listed in the CPHEEO Manual; Refer Clause
4.1(a)(F)(x) of the RFP)
From
Date: [insert date]
To
Mob: +91-9473942594
Dear Sir,
Sub: Consent Letter for Experience of STP Technology for developing/ designing and constructing
Sewage Treatment Plant for the Design, Build, Finance, Operate and Transfer Sewage Treatment Plants
(STPs) along with Associated Infrastructure for a period of 15 years under through Hybrid Annuity
Based PPP Mode in Saharanpur, Uttar Pradesh under the Namami Gange Programme
We, the undersigned ……. [insert name of the Bidder/ Member] having read, examined and understood
in detail the RFP for development of the Project, hereby confirm that we have [developed]/[designed
and constructed]26 the following STP of ___ MLD in the following project using ____ technology which
is a new technology not listed in the CPHEEO Manual:
Duration for which

Date of award and O&M experience is
Capacity of the Location Entity for which
completion of the being claimed (From
STP (in MLD) STP was set up
decentralized STP month, year to month,
year)
This certificate demonstrates that: (1) the STP was developed or designed and constructed in the 10
(ten) years immediately preceding the Bid Due Date using ____ technology, (2) the STPs using such
new technology have been successfully operational for any 24 consecutive months in the 10 (ten) years
preceding the Bid Due Date. Also, in the case of development experience, the certificate(s) issued by
statutory auditors as per format in Annexure 1F has been attached,
26
Delete as applicable.
131
Selected Bidder to develop a STP at the Project Site in accordance with the Concession Agreement. We
undertake to associate with the construction of the proposed Project at least uptill completion of 2 years
from COD in accordance with Clause 4.1(a)(F)(x) of the RFP.
Dated the _________ day of _________ 2022.
Thanking you,
Yours truly,
……………………
Instruction: 1. The form has to be read in accordance with Clause 4.1(a)(F) of the RFP
2. To Claim experience for STP Technology as required under Clause 4.1(a)(F)(x) of the
RFP, the Bidder will refer to form provided under Annexure 1E and furnish
government/client certificates mentioned therein.
132
ANNEXURE 3D
CONSENT LETTER FOR EXPERIENCE OF NETWORK / PIPELINE

(Refer Clause 4.1(a)(F)(xi) of the RFP)
From
Date: [insert date]
To
Mob: +91-9473942594
Dear Sir,
Sub: Consent Letter for Experience for laying network / pipeline of minimum diameter 1000
millimeter and minimum length three kilometers for the Development of Sewage Treatment Plants at
Saharanpur, Uttar Pradesh on Hybrid Annuity Based Public-Private Partnership Mode for a period of
15 years through Hybrid Annuity Based PPP Mode in Saharanpur, Uttar Pradesh under the Namami
Gange Programme
We, the undersigned ……. [insert name of the entity issuing the consent letter] hereby confirm
that we have [developed]/[designed and constructed]27 the following pipeline with minimum
diameter 1000 millimeter and minimum length one kilometer :
Length (in meters) Location Entity for which the Date of completion
of network / pipeline/pipeline
pipeline of network was
minimum diameter developed
1000 millimeter and
minimum length
one kilometers
The certificate(s) issued by relevant government authorities to demonstrate that: (1) the pipeline was
developed or designed and constructed in the 10 years immediately preceding the Bid Due Date in
accordance with the contract executed for the sewerage network.
133
Selected Bidder (in accordance with Clause 4.1(a)(F)(xi) of the RFP) to design and develop pipeline
network in accordance with the Concession Agreement for the titled project:
Dated the _________ day of _________ 2022.
Thanking you,
Yours truly,
……………………
134
ANNEXURE 4
Format of Performance Security
(On stamp paper)
THIS DEED OF GUARANTEE is executed on this [insert day] day of [insert month and year] at
[insert place] by [insert name of bank] with its registered office at [insert address], (hereinafter referred
to as the Guarantor, which expression shall unless it is repugnant to the subject or context thereof
include successors and assigns),
IN FAVOUR OF:
UTTAR PRADESH JAL NIGAM, a statutory body constituted under the Uttar Pradesh Water Supply
and Sewerage Act, 1975, with its registered office at 6, Rana Pratap Marg, Lucknow - 226001
(hereinafter referred to as the Jal Nigam, which expression shall, unless it be repugnant to the context
or meaning thereof, include its successors and permitted assigns), represented by the Superintending
Engineer, Construction Unit, Uttar Pradesh Jal Nigam (Rural), Saharanpur.
[Bank’s Name, and Address of Issuing Branch or Office]
Beneficiary: [Name and Address of Owner]
Date:
PERFORMANCE GUARANTEE NO.:
We have been informed that [name of Operator] (hereinafter called “the Bidder”) has entered into
Contract No. [reference number of the contract] dated with you, concerning a contract to
design, build, operate and transfer STP, New/Replace Outfall/Interceptor sewer Line Pumping Stations,
all appurtenant structures and allied works in Saharanpur (hereinafter called “the Contract”)[, with
_________ [name of the Nominated STP Sub-Contractor] (hereinafter called “the Sub-Contractor”)
being nominated by the Bidder as the Sub-Contractor for STP construction and operation and
maintenance.]28
Furthermore, we understand that, according to the conditions of the Contract, a performance guarantee
is required.
At the request of the [Bidder/Sub-Contractor]29, we [name of Bank] hereby irrevocably undertake

to pay you any sum or sums not exceeding in total an amount of [amount in figures] ( )
[amount in words], upon receipt by us of your first demand in writing accompanied by a written
28
To be deleted if not applicable
29
Strikeout whichever is not applicable
135
statement stating that the [Bidder/Sub-Contractor]30 is in breach of its obligations under the Contract,
without your needing to prove or to show grounds for your demand or the sum specified therein.
This guarantee shall expire no later than the earlier of:
(a) six months after the End Date, as defined in the Contract; or
(b) six months after the date of termination of the Contract pursuant to its terms.
Consequently, any demand for payment under this guarantee must be received by us at this office on
or before that date.
This guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010 Revision, ICC
Publication No. 758 except that the supporting statement under Article 15(a) is hereby excluded.
Yours truly,
[Name of Bank]
Authorised Signature
30
Strikeout whichever is not applicable
136
ANNEXURE 5
FORMAT OF ENVIRONMENTAL, SOCIAL, HEALTH AND SAFETY (ESHS)

PERFORMANCE SECURITY
ESHS Demand Guarantee

[On requisite stamp paper]
[Guarantor letterhead or SWIFT identifier code]
Beneficiary: UTTAR PRADESH JAL NIGAM with its registered office –[insert address]
Date: [Insert date of issue]
ESHS PERFORMANCE GUARANTEE No.: [Insert guarantee reference number]
Guarantor: [Insert name and address of place of issue, unless indicated in the letterhead]
We have been informed that ________________ (hereinafter called the Applicant) has been selected
as the Selected Bidder for award of contract by the Beneficiary for undertaking the Project (hereinafter
called the Contract).
Furthermore, we understand that, according to the conditions of the Contract, a performance guarantee
to secure the Concessionaire's ESHS obligations is required to be submitted by the Applicant prior to
signing of the Contract.
At the request of the Applicant, we as Guarantor, hereby irrevocably undertake to pay the Beneficiary
any sum or sums not exceeding in total an amount of INR [] (Rupees []) ((Insert amount equal to [1%]
of the relevant O&M Cost), such sum being payable in the types and proportions of currencies in which
the contract price is payable, upon receipt by us of the Beneficiary's complying demand supported by
the Beneficiary's statement, whether in the demand itself or in a separate signed document
accompanying or identifying the demand, stating that the Applicant is in breach of its Environmental,
Social, Health and Safety (ESHS) obligation(s) under the Contract, without the Beneficiary needing to
prove or to show grounds for your demand or the sum specified therein.
This guarantee shall be valid for the term of the Contract, and any demand for payment under it must
be received by us at this office indicated above on or before that date.
This guarantee is subject to the Uniform Rules for Demand Guarantees (URDG) 2010 Revision, ICC
Publication No. 758, except that the supporting statement under Article 15(a) is hereby excluded.
_____________________
[signature(s)]
Note: All italicized text (including footnotes) is for use in preparing this form and shall be deleted
from the final product.
137
ANNEXURE 6
LIST OF PUBLIC FINANCIAL INSTITUTIONS
Presently the following institutions have been declared as Public Financial Institutions:
1. The Industrial Credit and Investment Corporation of India Limited, a company formed and
registered under the Indian Companies Act, 1913;
2. The Industrial Finance Corporation of India, established under section 3 of the Industrial
Finance Corporation Act, 1948;
3. The Industrial Development Bank of India, established under section 3 of the Industrial
Development Bank of India Act, 1964;
4. The Life Insurance Corporation of India, established under section 3 of the Life Insurance
Corporation Act, 1956;
5. The Unit Trust of India, established under section 3 of the Unit Trust of India Act, 1963.
6. The Infrastructure Development Finance Company Limited, a company formed and registered
under the Companies Act, 1956.
7. The Industrial Reconstruction Corporation of India;
8. The General Insurance Corporation of India;
9. The National Insurance Company Limited;
10. The New India Assurance Company Limited;
11. The Oriental Fire and General Insurance Company Limited;
12. The United Fire and General Insurance Company Limited;
13. Tourism Finance Corporation of India Limited;
14. IFCI Venture Capital Funds Limited;
15. Technology Development and Information Company of India Limited;
16. Power Finance Corporation Limited;
17. National Housing Bank;
18. Small Industries Development Bank of India;
19. Rural Electrification Corporation Ltd.;
20. Indian Railway Finance Corpn. Ltd.;
21. Industrial Finance Corporation of India Ltd.;
22. Andhra Pradesh State Financial Corporation;
23. Assam Financial Corporation;
24. Bihar State Financial Corporation;
25. Delhi Financial Corporation;
26. Gujarat State Financial Corporation;
27. Haryana Financial Corporation;
28. Himachal Pradesh Financial Corporation;
29. Jammu & Kashmir State Financial Corporation;
30. Karnataka State Financial Corporation;
31. Kerala Financial Corporation;
32. Madhya Pradesh Financial Corporation;
33. Maharashtra State Financial Corporation;
34. Orissa State Financial Corporation;
35. Punjab Financial Corporation;
36. Rajasthan Financial Corporation;
37. Tamilnadu Industrial Development Corporation Limited;
38. Uttar Pradesh Financial Corporation;
138
39. West Bengal Financial Corporation;

40. Indian Renewable Energy Development Agency Ltd.;
41. North Eastern Development Finance Corpn. Ltd.;
42. Housing & Urban Development Corpn. Ltd.;
43. Export-Import Bank of India;
44. National Bank for Agriculture & Rural Development (NABARD);
45. National Co-operative Development Corporation (NCDC);
46. National Dairy Development Board;
47. Pradeshiya Industrial and Investment Corporation of U.P. Limited;
48. Rajasthan State Industrial Development and Investment Corporation Limited;
49. SICOM Limited;
50. West Bengal Industrial Development Corporation Limited;
51. Tamil Nadu Industrial Development Corporation Limited;
52. Punjab State Industrial Development Corpn. Ltd. (PSIDC);
53. EDC Limited;
54. Tamil Nadu Power Finance and Infrastructure Development Corporation Ltd.;
55. Tamil Nadu Urban Finance and Infrastructure Development Corporation Limited;
56. Kerala Power Finance Corporation Limited;
57. Kerala State Power & Infrastructure Finance Corporation Limited.
However, Bidders may check the correctness of above list before submitting the bid.
139
ANNEXURE 7
DELETED
ANNEXURE 8
FORM FOR CLARIFICATION QUESTIONS
Bidder’s Name:
Bidder’s Address: Date Submitted:
Item No. Section Reference Page No. Section or Question/Query/Clarific
Article No. ation/Comment
1.
2.
3.
4.
5.
6.
The above must be submitted via e-procurement portal alongwith an email of the editable soft copy
140
ANNEXURE 9
FINANCIAL PROPOSAL FORM
Given as excel file titled “Bid Price Sheet”
141
ANNEXURE 10
Notification of Intention to Award
[This Notification of Intention to Award shall be sent to each Bidder that submitted a Bid, unless
the Bidder has previously received notice of exclusion from the process at an interim stage of the
procurement process.]
[Send this Notification to the Bidder’s Authorized Representative named in the Bidder Information
Form]
For the attention of Bidder’s Authorized Representative

Name: [insert Authorized Representative’s name]
Address: [insert Authorized Representative’s Address]
Telephone/Fax numbers: [insert Authorized Representative’s telephone/fax numbers]
Email Address: [insert Authorized Representative’s email address]
[IMPORTANT: insert the date that this Notification is transmitted to Bidders. The Notification
must be sent to all Bidders simultaneously. This means on the same date and as close to the same
time as possible.]
DATE OF TRANSMISSION: This Notification is sent by: [email/fax] on [date] (local time)
Notification of Intention to Award
Employer: [insert the name of the Employer]
Project: [insert name of project]
Project title: [insert the name of the Project]
Country: [insert country where RFB is issued]
Loan No. /Credit No. / Grant No.: [insert reference number for loan/credit/grant]
RFB No: [insert RFB reference number from Procurement Plan]
This Notification of Intention to Award (Notification) notifies you of our decision to award the above
Project. The transmission of this Notification begins the Standstill Period. During the Standstill
Period you may:
a) request a debriefing in relation to the evaluation of your Bid, and/or
b) submit a Procurement-related Complaint in relation to the decision to award the Project.
142
1. The Selected Bidder

Name: [insert name of Selected Bidder]
Address: [insert address of the Selected Bidder]
Accepted Bid price: [insert Bid price of the Most Advantageous Bid]
2. Other Bidders [INSTRUCTIONS: insert names of all Bidders that submitted a Bid. If the
Bid’s price was evaluated include the evaluated price as well as the Bid price as read out.]
Evaluated Bid price
Name of Bidder Bid price
(if applicable)
[insert name] [insert Bid price] [insert evaluated price]
3. Reason/s why your Bid was unsuccessful

[INSTRUCTIONS: State the reason/s why this Bidder’s Bid was unsuccessful. Do NOT include:
(a) a point by point comparison with another Bidder’s Bid or (b) information that is marked
confidential by the Bidder in its Bid.]
4. How to request a debriefing

DEADLINE: The deadline to request a debriefing expires at midnight on [insert date] (local
time).
You may request a debriefing in relation to the results of the evaluation of your Bid. If you decide
to request a debriefing your written request must be made within three (3) Business Days of receipt
of this Notification of Intention to Award.
Provide the contract name, reference number, name of the Bidder, contact details; and address the
request for debriefing as follows:
Attention: [insert full name of person, if applicable]
Title/position: [insert title/position]
Agency: [insert name of Employer]
Email address: [insert email address]
Fax number: [insert fax number] delete if not used
If your request for a debriefing is received within the 3 Business Days deadline, we will provide
the debriefing within five (5) Business Days of receipt of your request. If we are unable to provide
the debriefing within this period, the Standstill Period shall be extended by five (5) Business Days
after the date that the debriefing is provided. If this happens, we will notify you and confirm the
date that the extended Standstill Period will end.
The debriefing may be in writing, by phone, video conference call or in person. We shall promptly
advise you in writing how the debriefing will take place and confirm the date and time.
If the deadline to request a debriefing has expired, you may still request a debriefing. In this case,
we will provide the debriefing as soon as practicable, and normally no later than fifteen (15)
Business Days from the date of publication of the Project Award Notice.
143
5. How to make a complaint

Period: Procurement-related Complaint challenging the decision to award shall be
submitted by midnight, [insert date] (local time).
Provide the Project name, reference number, name of the Bidder, contact details; and address the
Procurement-related Complaint as follows:
Attention: [insert full name of person, if applicable]
Title/position: [insert title/position]
Agency: [insert name of Employer]
Email address: [insert email address]
Fax number: [insert fax number] delete if not used
At this point in the procurement process, you may submit a Procurement-related Complaint
challenging the decision to award the Project. You do not need to have requested, or received, a
debriefing before making this complaint. Your complaint must be submitted within the Standstill
Period and received by us before the Standstill Period ends.
Further information:
For more information see the Procurement Regulations for IPF Borrowers (Procurement
Regulations)[https://policies.worldbank.org/sites/ppf3/PPFDocuments/Forms/DispPage.aspx?doc
id=4005] (Annex III). You should read these provisions before preparing and submitting your
complaint. In addition, the World Bank’s Guidance “How to make a Procurement-related
Complaint” [http://www.worldbank.org/en/projects-operations/products-and-
services/brief/procurement-new-framework#framework] provides a useful explanation of the
process, as well as a sample letter of complaint.
In summary, there are four essential requirements:
1. You must be an ‘interested party’. In this case, that means a Bidder who submitted a Bid in
this bidding process, and is the recipient of a Notification of Intention to Award.
2. The complaint can only challenge the decision to award the Project.
3. You must submit the complaint within the period stated above.
4. You must include, in your complaint, all of the information required by the Procurement
Regulations (as described in Annex III).
6. Standstill Period
DEADLINE: The Standstill Period is due to end at midnight on [insert date] (local time).
The Standstill Period lasts ten (10) Business Days after the date of transmission of this Notification
of Intention to Award.
The Standstill Period may be extended as stated in Section 4 above.
If you have any questions regarding this Notification please do not hesitate to contact us.
On behalf of the Jal Nigam:
Signature: ______________________________________________
Name: ______________________________________________
Title/position: ______________________________________________
Telephone: ______________________________________________
Email: ______________________________________________
144
ANNEXURE 11
Beneficial Ownership Disclosure Form
INSTRUCTIONS TO BIDDERS: DELETE THIS BOX ONCE YOU HAVE COMPLETED THE
FORM
This Beneficial Ownership Disclosure Form (“Form”) is to be completed by the Selected Bidder.
In case of joint venture, the Bidder must submit a separate Form for each member. The beneficial
ownership information to be submitted in this Form shall be current as of the date of its
submission.
For the purposes of this Form, a Beneficial Owner of a Bidder is any natural person who
ultimately owns or controls the Bidder by meeting one or more of the following conditions:
 directly or indirectly holding 25% or more of the shares

 directly or indirectly holding 25% or more of the voting rights
 directly or indirectly having the right to appoint a majority of the board of
directors or equivalent governing body of the Bidder
RFB No.: [insert number of RFB process]
Request for Bid No.: [insert identification]
To: [insert complete name of Employer]
In response to your request in the Letter of Award dated [insert date of Letter of Award] to furnish
additional information on beneficial ownership: [select one option as applicable and delete the
options that are not applicable]
(i) we hereby provide the following beneficial ownership information.
Details of beneficial ownership
145
Identity of Directly or indirectly Directly or Directly or indirectly

Beneficial Owner holding 25% or more indirectly holding having the right to
of the shares 25 % or more of appoint a majority of
the Voting Rights the board of the
(Yes / No) directors or an
(Yes / No) equivalent governing
body of the Bidder
(Yes / No)
[include full name

(last, middle, first),
nationality, country
of residence]
OR
(ii) We declare that there is no Beneficial Owner meeting one or more of the following conditions:

 directly or indirectly having the right to appoint a majority of the board of directors or
equivalent governing body of the Bidder
OR
(iii) We declare that we are unable to identify any Beneficial Owner meeting one or more of the
following conditions. [If this option is selected, the Bidder shall provide explanation on why it is
unable to identify any Beneficial Owner]

 directly or indirectly having the right to appoint a majority of the board of directors or
equivalent governing body of the Bidder”
Name of the Bidder: *[insert complete name of the Bidder]_________
Name of the person duly authorized to sign the Bid on behalf of the Bidder: **[insert complete
name of person duly authorized to sign the Bid]___________
146
Title of the person signing the Bid: [insert complete title of the person signing the Bid]______
Signature of the person named above: [insert signature of person whose name and capacity are
shown above]_____
Date signed [insert date of signing] day of [insert month], [insert year]_____
*
In the case of the Bid submitted by a Joint Venture specify the name of the Joint Venture as Bidder. In the event
that the Bidder is a joint venture, each reference to “Bidder” in the Beneficial Ownership Disclosure Form
(including this Introduction thereto) shall be read to refer to the joint venture member.
**
Person signing the Bid shall have the power of attorney given by the Bidder. The power of attorney shall be
attached with the Bid Schedules.
147
ANNEXURE 12 - Guarantee Information
Draft Guarantee Term Sheet
Summary of Indicative Terms and Conditions
of a Proposed IBRD Guarantee with a Letter of Credit
in Support of Governmental Payments
This term sheet contains a summary of indicative terms and conditions of a proposed guarantee (“Guarantee”) by
the International Bank for Reconstruction and Development (“IBRD”) for discussion purposes only and does not
constitute an offer to provide a Guarantee. The provision of a Guarantee is subject, inter alia, to satisfactory
appraisal by IBRD of the proposed Second National Ganga River Basin Project (“Project”), compliance with all
applicable policies of the World Bank, including those related to environmental and social safeguards, review and
acceptance of the ownership, management, and financing structure (including in connection with shareholders,
suppliers, equipment, and Project design, and contracts proposed by the winning bidder), review and acceptance
of project / transaction documentation by IBRD, and the approval of the management and Executive Directors of
IBRD in their sole discretion. Without limiting the generality of the foregoing, IBRD is highly selective with regard
to the clients and beneficiaries it works with and is diligent on Know-Your-Customer requirements for all project
participants (equity investors, ultimate shareholders, lenders, contractors, advisors) and will undertake an
appraisal of the Project and the Project Company, including an assessment along these parameters.
If the Guarantee-related legal agreements are not signed within twenty-four (24) months following approval of the
Guarantee by the Board of Executive Directors of IBRD, IBRD may withdraw the offer of the Guarantee.
IBRD-Guaranteed Letter of Credit (“L/C”)
L/C Applicant: National Mission for Clean Ganga (NMCG)31, a Government of India
(“GOI”) agency, as Purchaser under selected Hybrid-Annuity Model
(HAM) Public-Private Partnership (PPP) Agreements 32 for priority
investment subprojects under GOI’s Namami Gange (Homage to
Ganga) Program33 (“Concession Agreements”).
31
Registered as a society under the Societies Registration Act, 1860, operating under the Ministry of Jal Shakti (Water
Resources)), and charged with implementation of the Homage to Ganga Program.
32
NMCG has identified three wastewater treatment HAM-PPP investments, in the cities of Agra, Meerut, and
Saharanpur, all in the State of Uttar Pradesh, to be eligible to benefit from the Guarantee.
33A program of actions whose objective is, inter alia, to stop the discharge of untreated municipal sewage or industrial
effluents into the main stem of the Ganga River.
148
L/C Beneficiaries: Escrow Banks selected by the L/C Applicant (Purchaser), acceptable to
IBRD [and _____], and concluding Escrow Agreements with the L/C
Applicant (Purchaser), the relevant State Missions for Clean Ganga
(SMCGs)34, [the relevant Executive Agencies35], [the relevant Urban
Local Bodies 36 ], and the relevant Concessionaires, the latter being
privately-owned special-purpose-vehicle companies selected by [the
relevant Executive Agencies] to implement subprojects following a
competitive process.37
L/C Issuing Bank38: A commercial bank acceptable to IBRD (as Guarantor under the
Guarantee Agreement), the L/C Applicant (Purchaser)[, and the L/C
Beneficiaries (Escrow Banks)]. An acceptable L/C Issuing Bank will be
selected by the L/C Applicant (Purchaser), GOI, and IBRD following a
competitive process.
Maximum L/C Amount: The maximum amount available for draw under the L/C shall not exceed
USD [19] million39. This amount may be reduced from time to time in
accordance with the terms of the L/C and the Guarantee Agreement.
L/C Effective Date: [Effective Date of Concession Agreement that is first to become
effective / Date of financial close under Concession Agreement that is
first to reach financial close]
L/C Validity Period: Up to the term of the respective Concession Agreement(s), plus some
additional months to cover any post-termination payment obligations.
L/C Features: Revolving standby irrevocable L/C issued in favor of the L/C
Beneficiary(ies) (Escrow Bank(s)) by the L/C Issuing Bank at the
request of the L/C Applicant (Purchaser) to backstop the quarterly
payment obligations of the L/C Applicant (Purchaser) under the Escrow
Agreement(s), following the occurrence of a Guaranteed Event (as
defined below).
Any amounts drawn by the L/C Beneficiary(ies) (Escrow Bank(s))

under the L/C that are repaid by the L/C Applicant (Purchaser) to the
34 State-level arms of the NMCG, charged with implementation of the Homage to Ganga Program in their respective states.
35State-level government agencies charged with implementation of priority investment subprojects under the Homage to
Ganga Program in their respective states.
36Local / municipal governments, registered as societies under the Registered Societies Act, 1860, and whose mandate
includes pollution-source prioritization and wastewater service delivery.
37
While the Escrow Banks are the immediate beneficiaries of the L/C, the Concessionaires are the second-order
beneficiaries, and NMCG / GOI is the ultimate beneficiary.
38
While there will be multiple L/C Beneficiaries, there will be a single L/C Issuing Bank and a single state-wide L/C.
39
This amount represents two (2) rolling quarters of annuity payments for each of the three (3) selected priority
investment subprojects during the fifteen (15) years of operation and maintenance of those subprojects.
149
L/C Issuing Bank within the L/C Reimbursement Period (as defined
below) would be reinstated.
The obligation of the L/C Applicant (Purchaser) to repay the L/C Issuing
Bank amounts drawn under the L/C would be guaranteed by IBRD up
to the Maximum Guaranteed Amount.
Any amounts drawn by the L/C Beneficiary(ies) (Escrow Bank(s))

under the L/C that are subsequently repaid by IBRD (as Guarantor under
the Guarantee Agreement) to the L/C Issuing Bank under the Guarantee
would not be reinstated. That is, any principal amount repaid by IBRD
would be deducted from the Maximum L/C Amount.
Permitted Drawdown Failure by the L/C Applicant (Purchaser) to pay any amount due and
under L/C (Guaranteed payable to the L/C Beneficiary(ies) (Escrow Bank(s)) pursuant to the
Event): respective Escrow Agreement(s) for purposes of paying any undisputed
amount due and payable to the respective Concessionaire(s) pursuant to
a quarterly invoice according to the terms of the respective Concession
Agreement(s).
L/C Fees: To be payable by the L/C Applicant (Purchaser) to the L/C Issuing
Bank. Level of L/C Fees must be acceptable to the L/C Applicant
(Purchaser) and IBRD.
L/C Reimbursement and Credit Agreement (RCA)
Borrower (of the L/C L/C Applicant (NMCG, as Purchaser under the Concession
loans): Agreement(s))
Lender (of the L/C loans): L/C Issuing Bank, as guaranteed lender
L/C Reimbursement Following a draw under the L/C by an L/C Beneficiary (Escrow Bank)
Period: following the occurrence of a Guaranteed Event, the amount drawn
becomes a loan from the Lender (L/C Issuing Bank) to the Borrower
(Purchaser). The Borrower would be obligated to repay the Lender (L/C
Issuing Bank) such L/C loan, together with accrued interest thereon,
within a period of twelve (12) months (the “L/C Reimbursement
Period”) from the date of each draw (L/C loan), pursuant to the RCA.
In the event of a timely repayment of the L/C loan, the L/C will be
reinstated by the amount of such repayment.
In the event of non-payment of the L/C loan by the due date, the L/C
Issuing Bank would have the right to call on the Guarantee for principal
amounts plus accrued interest due by the L/C Applicant (Purchaser)
under the RCA.
Principal amount of the Amounts drawn down under the L/C not to exceed the Maximum L/C
L/C loans: Amount.
150
Interest Rate Charged on An appropriate spread above [LIBOR] acceptable to the L/C Issuing
the L/C loans: Bank, the L/C Applicant (Purchaser), and GOI, and agreed by IBRD (as
Guarantor under the Guarantee Agreement). The maturity of the
selected [LIBOR] base rate should ideally be one (1) month.
IBRD Guarantee Agreement
Guarantor: IBRD
Guarantee Beneficiary: L/C Issuing Bank, as guaranteed lender
Guarantee Face Value: USD 19 million
Guarantee Support IBRD (as Guarantor under the Guarantee Agreement) will backstop the
(Scope): payment obligations of the L/C Applicant (Purchaser) under the RCA
to the extent that (i) the said obligations result from a Permitted
Drawdown under the L/C, and (ii) the L/C Applicant (Purchaser) has
failed to repay the L/C Issuing Bank in accordance with the RCA. That
is, if the amount remains unpaid after the expiry of the L/C
Reimbursement Period, the L/C Issuing Bank would have the right to
call on the Guarantee for the principal amount (equal to the amount
drawn under the L/C) plus accrued interest due from the L/C Applicant
(Purchaser).
Maximum Guaranteed Maximum Guaranteed Principal plus accrued interest thereon in

Amount: accordance with the RCA. IBRD (as Guarantor under the Guarantee
Agreement) may cover compound interest, but will not cover penalty
interest, default interest, or charges of a similar nature.
Maximum Guaranteed Guarantee Face Value, i.e., USD 19 million

Principal:
Any principal amount paid by IBRD (as Guarantor under the Guarantee
Agreement) to the L/C Issuing Bank under the IBRD Guarantee would
be deducted from the Maximum Guaranteed Principal, and that amount
would not be reinstated.
Maximum Guarantee L/C Validity Period plus fourteen (14) months.

Period:
IBRD Financial Exposure The Maximum Guarantee Period will not exceed twenty (20) years. The
Limits: financial exposure of IBRD (as Guarantor) under the Guarantee will
start on the L/C Effective Date.
Signing: If the Guarantee-related legal agreements are not signed within twenty-
four (24) months following approval by the Board of Executive
Directors of IBRD, IBRD (as Guarantor under the Guarantee
Agreement) may withdraw the offer of the Guarantee.
151
Exclusions, Withholding, Standard exclusion, withholding, limitation / suspension, and

Limitation / Suspension, termination events for transactions of this nature.
and Termination Events:
Substitution of Guarantee: If IBRD (as Guarantor under the Guarantee Agreement) exercises
remedies against the L/C Issuing Bank under the Guarantee Agreement
for reasons attributable to the L/C Issuing Bank, then IBRD may enter
into a new Guarantee Agreement with a substitute L/C Issuing Bank on
substantially the same terms and conditions as the Guarantee Agreement
and for the remaining term of the Maximum Guarantee Period.
Conditions Precedent to Usual and customary conditions for financing of this type, including but
Effectiveness of the IBRD not limited to the following:
Guarantee:
(i) firm commitment for sufficient financing, including satisfactory

contribution of equity, to complete construction of the subprojects for
which Concession Agreements have been concluded;
(ii) execution, delivery, and effectiveness of all Project and financing

agreements, in form and substance satisfactory to IBRD, in relation to
all subprojects for which Concession Agreements have been concluded,
and including the Indemnity Agreement and the Loan Agreement;
(iii) delivery of all relevant host-country environmental approvals

required for the operation of the Project, and compliance with all
applicable World Bank requirements relating to Sanctionable
Practices40 and environmental and social safeguards;
(iv) effectiveness of all required insurance (to include IBRD as an

additional insured on third-party liability insurance);
(v) satisfaction of all conditions precedent for first disbursement under

the financing documents for all subprojects for which Concession
Agreements have been concluded, save for any condition that requires
the effectiveness of the Guarantee Agreement to have occurred;
(vi) provision of satisfactory legal opinions;
(vii) payment in full of the Initiation Fee, Processing Fee, Front-end Fee,
the first installments of the Standby Fee and the Guarantee Fee (as
40
“Sanctionable Practices” means corrupt, fraudulent, collusive, coercive, or obstructive practices, as defined in IBRD’s
Anti-Corruption Guidelines.
152
applicable) and reimbursement of expenses of any IBRD's external legal

counsel; and
(viii) satisfactory integrity due diligence of the Escrow Bank(s), the

Concessionaire(s) (and related parties), and guaranteed parties.
Subrogation: If and to the extent IBRD (as Guarantor under the Guarantee
Agreement) makes any payment under the Guarantee, IBRD (as
Guarantor under the Guarantee Agreement) will have an immediate and
automatic right of subrogation to the extent of such unreimbursed
payment to the L/C Issuing Bank’s rights under the RCA.
Governing law: English law or New York Law
153
Indemnity Agreement
Parties: IBRD and Republic of India (“Member Country”)
Indemnity: The Member Country will reimburse and indemnify IBRD on demand,
or as IBRD may otherwise direct, for all payments under the Guarantee
and all losses, damages, costs, and expenses incurred by IBRD relating
to or arising from the Guarantee.
Covenants: Usual and customary covenants included in agreements between

member countries and IBRD. Any specific covenants will be
determined during the Guarantee documentation phase.
Remedies: If the Member Country breaches any of its obligations under the
Indemnity Agreement, IBRD may suspend or cancel, in whole or in part,
the rights of the Member Country to make withdrawals under any other
loan, credit, or grant agreement with IBRD or IDA, or any IBRD loan
or IDA credit to a third party guaranteed by the Member Country, and
may declare the outstanding principal and interest of any such loan or
credit to be due and payable immediately. A breach by the Member
Country under the Indemnity Agreement will not, however, discharge
any guarantee obligations of IBRD under the Guarantee.
Governing Law: The Indemnity Agreement will follow the usual legal regime and
include dispute settlement provisions customary for agreements
between member countries and IBRD.
Project Agreement
Parties: IBRD and the L/C Applicant (NMCG, as Purchaser under the
Concession Agreement(s))
Representations and The L/C Applicant (Purchaser) will represent, among other standard and
Warranties: Project-specific provisions, as of the effective date, that:
(i) it is in compliance with applicable environmental laws and the

applicable World Bank guidelines and environmental and social
safeguards requirements; and
(ii) neither it (nor any person or organization directly or indirectly

responsible for controlling or administering all or part of its activities,
and any other relevant Project participants, as determined by IBRD), nor
any of its affiliates has engaged in any Sanctionable Practices in
connection with the Project.
Covenants: The L/C Applicant (Purchaser) will covenant, and will cause the
Concessionaires to covenant, that it / they will, among other things:
154
(i) comply with applicable laws, including environmental laws, and the
applicable World Bank environmental and social safeguards
requirements;
(ii) provide annual audited financial statements and other reports;
(iii) provide certain notices and other information to IBRD;
(iv) provide access to the Project;
(v) not engage in (or authorize or permit any affiliate or any other Person
acting on its behalf to engage in) any Sanctionable Practices in
connection with the Project;
(vi) comply with World Bank requirements relating to Sanctionable

Practices regarding individuals or firms included in the World Bank
Group list of firms debarred from World Bank Group-financed
contracts; and
(vii) obtain IBRD’s consent prior to agreeing to any change to any

transaction document which would affect the rights or obligations of
IBRD under the Guarantee Agreement or any other Guarantee-related
agreement.
Payment of Fees to IBRD: Payment of fees due to IBRD is the obligation of the L/C Applicant
(Purchaser). However, if the L/C Applicant (Purchaser) fails to pay any
installment of such fees in full or when due, [a Concessionaire / another
party]41 can elect to pay the unpaid amount of the fees corresponding to
its portion of the Maximum L/C Amount and seek reimbursement from
the L/C Applicant.
Initiation Fee: 15 bps of the Guarantee Face Value (but not less than USD 100,000)
Processing Fee: 50 bps of the Guarantee Face Value42
Front-end Fee: 25 bps of the Guarantee Face Value
Standby Fee: 25 bps per annum, charged periodically and applied to that portion of
the guaranteed amount that IBRD has contractually committed and for
which IBRD does not yet have financial exposure under the Guarantee.
The Standby Fee is normally charged semi-annually and accrues sixty
(60) days after the date of signing of the agreement providing for the
41
A bidder under a Concession Agreement may propose another party, subject to acceptance by GOI and IBRD (as
Guarantor under the Guarantee Agreement).
42
In exceptional cases, projects can be charged over 50 bps of the guarantee amount.
155
Guarantee. The Standby Fee must be paid in advance on regular

payment dates.
Guarantee Fee: [50-100] bps per annum (depending on the Guarantee average life
resulting from the proposal of the bidders under the Concession
Agreements; refer to the pricing schedule below*). The Guarantee Fee
is charged on that portion of the guaranteed amount that IBRD has
contractually committed and for which IBRD has financial exposure
under the Guarantee (Maximum Guaranteed Principal). The Guarantee
Fee must be paid in advance semi-annually on regular payment dates.
Where the Guarantee Fee is payable in installments, IBRD will have the
right to terminate [the relevant portion of] the Guarantee in the event of
nonpayment of any installment of the Guarantee Fee or Standby Fee in
full when due.
*The guarantee fee level is determined by the Maximum Guarantee

Period: 50 bps up to 8 years, 60 bps from 8 to 10 years, 70 bps from 10
to 12 years, 80 bps from 12 to 15 years, 90 bps from 15 to 18 years and
100 bps from 18 to 20 years.
External Legal Costs: Reimbursement of any IBRD external legal counsel expenses by the L/C
Applicant (Purchaser).
Cooperation Agreement
Parties: IBRD and the L/C Applicant (Purchaser)
Cooperation Agreement:43 The L/C Applicant (Purchaser) will covenant, among other things, that
it will:
(i) comply with all its obligations under the transaction documents;
(ii) obtain IBRD’s consent prior to agreeing to any change to any

transaction document which would materially affect the rights or
obligations of IBRD under the Guarantee Agreement or any other
transaction document;
(iii) provide certain notices to IBRD;
(iv) take all action necessary on its part, in accordance with and as
required by the terms of the Project-related agreements to which it is a
party, to enable the L/C Beneficiaries (Escrow Banks) to perform all of
the L/C Beneficiaries’ obligations under the Concession Agreements
and other relevant transaction documents; and
43
Either a Project Agreement or a Cooperation Agreement will be concluded.
156
(v) cooperate with IBRD and furnish to IBRD all such information
related to such matters as IBRD shall reasonably request; and promptly
inform IBRD of any condition which interferes with, or threatens to
interfere with, such matters.
Indicative Structure of Proposed IBRD Payment Guarantee: As provided in the indicative Term Sheet,
the proposed IBRD payment Guarantees will be offered through a Standby Letter of Credit (SBLC)
structure to be issued by a commercial bank (SBLC Bank, as a beneficiary of the IBRD Guarantee).
The SBLC will be drawn by the Escrow Agent if NMCG fails to transfer the amount required to meet
an upcoming quarterly O&M payment. Once the SBLC is drawn, the amount drawn converts into a
short-term loan to NMCG under a Reimbursement and Credit Agreement (RCA) between NMCG and
the SBLC Bank. If NMCG fails to repay the SBLC Bank this short-term within the prescribed duration
(say, 12 months), the SBLC Bank can call on the IBRD Payment Guarantee. Any payment made by
IBRD under the IBRD Guarantee will trigger an obligation on the part of GoI to repay IBRD under the
Indemnity Agreement with IBRD. The Indemnity Agreement will require the GoI to repay IBRD on
demand, or as IBRD may otherwise direct. The decision to procure one or more SBLC Banks for three
projects will be made after the procurement of HAM-PPP contracts are completed and private operators
are identified. The SBLC Bank will be competitively procured in conjunction with the NMCG.
Figure 1: Proposed IBRD Payment Guarantee– Indicative Fund Flow Structure
Figure 2: Proposed IBRD Payment Guarantee– Indicative Contractual Structure
157
India: HAM Namami Gange Program: World Bank (IBRD) Guarantee
Frequently Asked Questions
1) What is the purpose of the IBRD guarantee?

The purpose of the guarantee is to provide payment security in order to ensure greater comfort
as to timely O&M Period payments by NMCG to the private sector for the entire O&M Period
of the three HAM-PPP contracts under procurement.
2) How is the IBRD guarantee different from the current payment security?
The underlying structure of the payment security provided by NMCG for previous HAM-PPP
contracts, through the ‘Minimum Escrow Balance’, remains the same. However, instead of the
Government of India (GoI) being required to lock in scarce public funds for two years of O&M
Period Payments for the entire O&M Period, the World Bank (IBRD) is providing a guarantee.
The GoI has requested the World Bank to provide an IBRD guarantee for the three HAM-PPP
contracts. Through the IBRD guarantee, the Private Operators will receive international
‘AAA’-rated guarantee cover from an independent guarantor (For further details of the World
Bank guarantees program, please see https://www.worldbank.org/en/programs/guarantees-
program).
3) What risks exactly are covered by the IBRD guarantee?

The IBRD guarantee will mitigate the risk of a payment default by NMCG to the Private
Operators under the three HAM-PPP subprojects due to inadequate / delayed allocation of
funding by the Government to meet NMCG’s contractual payment obligations to those
operators. All private-sector risks, such as design, construction, and O&M, are retained by the
private sector. It is important to note that the guarantee covers only the undisputed payment
obligations of the public sector (NMCG) under the subprojects.
4) What type of IBRD guarantee product is provided?

IBRD will provide a project-based payment guarantee product. The IBRD payment guarantee
provides risk mitigation to PPP projects with respect to a default on contractual payment
obligations by the Government or its agencies / enterprises.
158
5) How long will the IBRD guarantee will be available for?

The IBRD guarantee will be available to the three HAM-PPP subprojects for the entire O&M
Period in order to cover the O&M Period Payments.
6) What is the status of IBRD guarantee approval by the World Bank?

The IBRD guarantee has already received the approval of the Board of the World Bank.
7) What is the total amount of the IBRD guarantee?

The total amount of the IBRD guarantee is up to US$19 million, based on an estimate to cover
up to two (2) quarterly contractual O&M payments for the three HAM-PPP subprojects. The
sizing of the guarantee includes a buffer for an increase in inflation and appreciation of the
Indian Rupee (INR).
8) How does the IBRD guarantee work?

The IBRD guarantee will be offered through a Standby Letter of Credit (SBLC) structure to be
issued by a commercial bank (SBLC Bank, as a beneficiary of the IBRD Guarantee). The SBLC
will be drawn by the Escrow Agent in the event NMCG fails to transfer the amount required to
meet an upcoming quarterly O&M Payment to a Private Operator. Once the SBLC is drawn by
the Escrow Agent to make an O&M Period payment, the amount drawn converts to a short-
term loan to NMCG under a Reimbursement and Credit Agreement (RCA) between NMCG
and the SBLC Bank. If NMCG fails to repay the SBLC Bank within the prescribed duration
(say, 12 months), the SBLC Bank can call on the IBRD guarantee.
9) What is the currency of the IBRD guarantee?

The IBRD guarantee is provided in hard currency, with a cap of US$19 million, as mentioned
above, but it covers local currency (INR). If the guarantee is invoked, it will be converted to
equivalent INR at that time. As also mentioned above, the sizing of the guarantee includes a
buffer for increase in inflation and appreciation of the local currency.
10) How is the guarantee fee calculated?

The guarantee fee will be calculated according to the standard IBRD guarantee fee schedule
based on the amount of IBRD’s guarantee exposure (US$19 million). The guarantee exposure
rolls over quarterly and the USD 19 million amount stays the same level until the end of HAM-
PPP contract/guarantee period, as long as the O&M Period payments are made on time.
11) How much is the guarantee fee and how is it priced in relation to different types of risks
and stages (construction vs operations) of the project?
Guarantee fee is not linked to the underlying project risks or stages. They are standard pricing
for India/IBRD group countries on a non-commercial basis. The fee arrangements are available
at https://treasury.worldbank.org/en/about/unit/treasury/ida-financial-products/lending-rates-
and-fees#3. In addition to IBRD fees, a commercial letter of credit (L/C) fee will also be
applied.
12) Who selects the Escrow Bank and the L/C Bank?
NMCG will select the Escrow Bank, following their existing practices adopted in earlier HAM-
PPP projects. The L/C Bank will be competitively procured jointly by NMCG and the World
Bank.
13) Who pays the guarantee fee and whether Private Operator incurs any cost?
NMCG pays all the guarantee related fees at no additional costs to the Private Operator.
14) Is there a change in the current process of accessing the Escrow Bank by the Private
Operator?
159
There are no changes contemplated to the existing process of accessing the Escrow Bank, under
the Escrow Agreement, by the Private Operator.
15) Is there a claims process for calling the guarantee?

IBRD Guarantee is unconditional, irrevocable and timely. The trigger events for calling the
guarantee are pre-defined in the Guarantee related legal agreements. As long as the trigger
events are materialized and guarantee claim is made, IBRD will pay on a timely basis as per
the provisions of the Guarantee Agreement.
16) What is the role of WB as a guarantor?

WB Project Based Guarantees have been provided over 20 years across the world. As this is a
relationship driven product (between the Govts & WB), the role of the WB is to review and
address risks of non-payment by the Govt. before it becomes a contractual default.
17) What are the legal agreements that IBRD would enter?
IBRD would enter into a ‘Guarantee Agreement’ with the guarantee beneficiary (L/C Bank).
IBRD would also enter into other guarantee related agreements with NMCG and Indemnity
Agreement with the Ministry of Finance.
18) Will Private Operator have to enter into any agreement with the WB?
No, Private Operator is not contemplated to be a party of any of the guarantee related legal
agreements.
19) What are the measures IBRD putting in place for continued & timely payments to
Private Operators?
Through the guarantee related agreements, NMCG/GoI will be required to provide periodic
reporting of available funding to meet the upcoming O&M Period payments over the O&M
Period under the three HAM-PPP projects. The World Bank will undertake corporate
monitoring of such funding availability and engage with the Government.
20) What is Indemnity Agreement?

Indemnity Agreement is between the Ministry of Finance and IBRD to discuss the repayment
options for IBRD, if the guarantee is called and IBRD made certain payouts to the L/C Bank.
160
Annexure 13 Fraud and Corruption
1. Purpose
1.1 The Bank’s Anti-Corruption Guidelines and this annex apply with respect to procurement
under Bank Investment Project Financing operations.
2. Requirements
2.1 The Bank requires that Borrowers (including beneficiaries of Bank financing); bidders
(applicants/proposers), consultants, contractors and suppliers; any sub-contractors, sub-
consultants, service providers or suppliers; any agents (whether declared or not); and any
of their personnel, observe the highest standard of ethics during the procurement process,
selection and contract execution of Bank-financed contracts, and refrain from Fraud and
Corruption.
2.2 To this end, the Bank:

a. Defines, for the purposes of this provision, the terms set forth below as follows:
i. “corrupt practice” is the offering, giving, receiving, or soliciting, directly or indirectly, of
anything of value to influence improperly the actions of another party;
ii. “fraudulent practice” is any act or omission, including misrepresentation, that knowingly
or recklessly misleads, or attempts to mislead, a party to obtain financial or other benefit or
to avoid an obligation;
iii. “collusive practice” is an arrangement between two or more parties designed to achieve an
improper purpose, including to influence improperly the actions of another party;
iv. “coercive practice” is impairing or harming, or threatening to impair or harm, directly or
indirectly, any party or the property of the party to influence improperly the actions of a
party;
v. “obstructive practice” is:
(a) deliberately destroying, falsifying, altering, or concealing of evidence material to
the investigation or making false statements to investigators in order to materially
impede a Bank investigation into allegations of a corrupt, fraudulent, coercive, or
collusive practice; and/or threatening, harassing, or intimidating any party to
prevent it from disclosing its knowledge of matters relevant to the investigation or
from pursuing the investigation; or
(b) acts intended to materially impede the exercise of the Bank’s inspection and audit
rights provided for under paragraph 2.2 e. below.
b. Rejects a proposal for award if the Bank determines that the firm or individual recommended
for award, any of its personnel, or its agents, or its sub-consultants, sub-contractors, service
providers, suppliers and/ or their employees, has, directly or indirectly, engaged in corrupt,
fraudulent, collusive, coercive, or obstructive practices in competing for the contract in
question;
c. In addition to the legal remedies set out in the relevant Legal Agreement, may take other
appropriate actions, including declaring misprocurement, if the Bank determines at any time
that representatives of the Borrower or of a recipient of any part of the proceeds of the loan
engaged in corrupt, fraudulent, collusive, coercive, or obstructive practices during the
procurement process, selection and/or execution of the contract in question, without the
161
Borrower having taken timely and appropriate action satisfactory to the Bank to address such
practices when they occur, including by failing to inform the Bank in a timely manner at the
time they knew of the practices;
d. Pursuant to the Banks Anti-Corruption Guidelines and in accordance with the Bank’s prevailing
sanctions policies and procedures, may sanction a firm or individual, either indefinitely or for
a stated period of time, including by publicly declaring such firm or individual ineligible (i) to
be awarded or otherwise benefit from a Bank-financed contract, financially or in any other
manner; 44 (ii) to be a nominated 45 sub-contractor, consultant, manufacturer or supplier, or
service provider of an otherwise eligible firm being awarded a Bank-financed contract; and (iii)
to receive the proceeds of any loan made by the Bank or otherwise to participate further in the
preparation or implementation of any Bank-financed project;
e. Requires that a clause be included in bidding/request for proposals documents and in contracts
financed by a Bank loan, requiring (i) bidders (applicants/proposers), consultants, contractors,
and suppliers: and their sub-contractors, sub-consultants, service providers, suppliers, agents,
personnel, permit the Bank to inspect46 all accounts, records and other documents relating to
the procurement process, selection and/or contract execution, and to have them audited by
auditors appointed by the Bank.
44
For the avoidance of doubt, a sanctioned party’s ineligibility to be awarded a contract shall include, without limitation,
(i) applying for pre-qualification, expressing interest in a consultancy, and bidding, either directly or as a nominated sub-
contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider, in respect of such
contract, and (ii) entering into an addendum or amendment introducing a material modification to any existing contract.
45
A nominated sub-contractor, nominated consultant, nominated manufacturer or supplier, or nominated service provider
(different names are used depending on the particular bidding document) is one which has been: (i) included by the bidder
in its pre-qualification application or bid because it brings specific and critical experience and know-how that allow the
bidder to meet the qualification requirements for the particular bid; or (ii) appointed by the Borrower.
46
Inspections in this context usually are investigative (i.e., forensic) in nature. They involve fact-finding activities
undertaken by the Bank or persons appointed by the Bank to address specific matters related to investigations/audits, such
as evaluating the veracity of an allegation of possible Fraud and Corruption, through the appropriate mechanisms. Such
activity includes but is not limited to: accessing and examining a firm's or individual's financial records and information,
and making copies thereof as relevant; accessing and examining any other documents, data and information (whether in
hard copy or electronic format) deemed relevant for the investigation/audit, and making copies thereof as relevant;
Signature Not Verified
interviewing staff and other relevant individuals; performing physical inspections and site visits; and obtaining third party
verification of information.
Digitally signed by Praveen Kutti
Date: 2022.11.23 21:10:08 IST162
Location: Uttar Pradesh-UP

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REQUEST FOR PROPOSAL

TABLE OF CONTENT ........................................................................................................................ 2

Addendum or Addenda means an addendum or addenda to this RFP.

Additional Performance means a performance security that must be submitted by the

Annexure means an annexure to this RFP.

For the purpose of evaluation of Bids, the ' Saharanpur

Annexure 4 - Format for Performance Security

Annexure 11 - Beneficial Ownership Disclosure Form

Clause means a clause of this RFP.

(a) the ownership, directly or indirectly, of more than 50%

(b) the power, directly or indirectly, to direct or influence

and the term Controlled and Controlling shall be construed

Saharanpur STP Average has the meaning ascribed to it in Clause 2.5.

For the purpose of evaluation of Bids, the 'Saharanpur STP

(a) Company, means

(i) subscribed and paid up equity share capital;

(iii) revaluation reserves;

(b) trust or society, means the sum of available corpus

(c) partnership firm, means the sum of the partners'

(d) limited liability partnership, means the sum of

(e) sole proprietorship, means the value of all assets

By way of illustration, if the Bidder has quoted 20 Lakhs for the

during the term of concession and to handover the Facilities on

Rupee or INR means Indian Rupees, the lawful currency of India.

2. BRIEF DESCRIPTION OF THE BID PROCESS

2.2 A complete set of bidding documents will be available on UP government e-procurement

2.4 Evaluation stages

2.5 Bid parameter

For Associated Infrastructure:

(f) Land requirement of STP Facilities:

S. No. Event Date/Location

SECTION II: ELIGIBILITY AND QUALIFICATION CRITERIA

3.1 Nature of Bidder

(b) Eligible countries:

(A) Paragraph 3.23 (a)(i): as a matter of law or official regulation, the

(B) Paragraph 3.23 (a)(ii): by an act of compliance with a decision of the

(B) With reference to paragraph 3.23 (a)(ii) of the Procurement

(i) The number of Members in such Consortium/JV shall not exceed 3.

3.2 Lock-in Restrictions and Change in Control

(a) Selected Bidder (whether a single entity or Consortium) is required to incorporate a

(c) If the Selected Bidder is a single entity, then:

3.3 Conflict of Interest

(f) participated as a consultant in the preparation of any documents, design or technical

3.4 Fraud and Corrupt Practices:

3.5 Other Eligibility Criteria

Eligibility and Qualification Criteria Compliance Requirements Documentation

(B) Technical Capacity for purpose of evaluation of Eligible Projects

(C) For a project to qualify as an Eligible Project under Category 1:

(iii) Provided if the Bidder does

If the Bidder does not have any

6. ACKNOWLEDGEMENT BY THE BIDDER

(e) acknowledged and agreed that inadequacy, lack of completeness or incorrectness of

7. RIGHTS OF THE JAL NIGAM

(e) reject any Bid, if:

(i) at any time, a material misrepresentation is made or uncovered; or

8. CLARIFICATIONS ON THE RFP

8.1 Clarifications and Queries

8.2 Pre-Bid Meeting

(b) All interested Companies may nominate up to 3 authorized representatives to participate in

9. AMENDMENT OF THE RFP

11. CORRESPONDENCE WITH BIDDERS

12. CONFIDENTIAL INFORMATION AND PROPRIETARY DATA