NOTICE INVITING GLOBAL EXPRESSION OF INTEREST (EOI) FOR EMPANELMENT OF SEWAGE TREATMENT PLANT TECHNOLOGY PROVIDER-CUM- ENGINEERING CONSULTANT

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1 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant BHARAT HEAVY ELECTRICALS LIMITED (A Government of India undertaking) PROJECT ENGINEERING & SYSTEMS DIVISION, RAMACHANDRAPURAM, HYDERABAD 02032, INDIA NOTICE INVITING GLOBAL EXPRESSION OF INTEREST (EOI) FOR EMPANELMENT OF SEWAGE TREATMENT PLANT TECHNOLOGY PROVIDER-CUM- ENGINEERING CONSULTANT (ANY TECHNOLOGY, EXCLUDING MEMBRANE BIO REACTOR MBR TECHNOLOGY) NIT Notification Number: PEMC C Pradeepa AK Sinha P Khadilkar First Issue Rev Date Prepared by Checked by Approved by Remarks NIT Notification Number: PEMC Page 1 of 19

2 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant LETTER OF INVITATION Projects Engineering & Systems Division (PE&SD), Bharat Heavy Electricals Limited (BHEL), Hyderabad (India), invites EOI proposals from prospective agencies to empanel with BHEL for Supply of Biological Treatment System based on any technology (except MBR) used in Municipal Sewage Treatment Plants (STPs) and to provide engineering services for design of complete Sewage Treatment Plants including Primary, Tertiary Treatment, Sludge Disposal and Odour Management system etc.. i. The EOI includes the following documents: Section 1 - Disclaimer Section 2 - Schedule of EOI process Section 3 Details of EOI Section 4 Pre-Qualification Criteria Section Broad Technical Specifications and Scope of Work Section 6 Details of Documents to be submitted along with offer Section 7 BHEL s Supplier Evaluation Approval & Review procedure (SEARP) guidelines- 2010, amendment-. ii. Agencies interested in above EOI, may raise Pre-bid queries, if any, on or before 11 th June iii. Interested agencies shall submit their proposal along with covering letter and all supporting documents/ information as per Section-6 in soft copies addressed to IDs indicated in the contact details (Section-2: B) on or before last date of Submission. Sd/- Prakash Khadilkar, Dy. General Manager Project Engineering & Systems Division (PE&SD) Bharat Heavy Electricals Limited (BHEL), Ramachandrapuram Hyderabad Telangana State, India NIT Notification Number: PEMC Page 2 of 19

3 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant INDEX Sl. No. SECTION NO. DESCRIPTION 1 SECTION 1 DISCLAIMER. 2 SECTION 2 SCHEDULE OF EOI PROCESS & CONTACT DETAILS. 3 SECTION 3 DETAILS OF EOI. 4 SECTION 4 PRE-QUALIFICATION CRITERIA. SECTION BROAD TECHNICAL SPECIFICATION AND SCOPE OF WORK. 6 SECTION 6 DETAIL OF DOCUMENTS TO BE SUBMITTED ALONG WITH PROPOSAL. 7 SECTION 7 BHEL s SUPPLIER EVALUATION APPROVAL & REVIEW PROCEDURE (SEARP) GUIDELINES- 2010, AMENDMENT-. NIT Notification Number: PEMC Page 3 of 19

4 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION-1 DISCLAIMER 1. The information contained in this Expression of Interest (EOI) document provided to the Applicants(s), by or on behalf of Bharat Heavy Electricals Limited (BHEL) or any of its employees or advisors, is provided to the Applicants (s) on the terms and conditions set out in this EOI document and all other terms and conditions subject to which such information is provided. 2. The purpose of this EOI document is to provide the Applicants (s) with information to assist the formulation of their Proposals. This EOI document does not purport to contain all the information each Applicants may require. This EOI document may not be appropriate for all persons, and it is not possible for BHEL, its employees or advisors to consider the business/investment objectives, financial situation and particular needs of each Applicant who reads or uses this EOI document. Each Applicant should conduct his own investigations and analysis and should check the accuracy, reliability and completeness of the information in this EOI document and where necessary obtain independent advice from appropriate sources. 3. BHEL, its employees and advisors make no representation or warranty and shall incur no liability under any law, statute, rules or regulations as to the accuracy, reliability or completeness of the EOI document. 4. BHEL may, in its absolute discretion, but without being under any obligation to do so, modify, amend or supplement the information in this EOI document.. An applicant means a Business Entity or Proprietor firm who has sufficient experience in accordance with the Conditions of Eligibility as detailed in EOI is permissible. 6. The issue of this EOI does not imply that BHEL is bound to select and shortlist Applicants to enter into tie-up agreements with shortlisted Applicants. 7. The respondent shall bear all costs associated with the preparation, technical discussion/presentation and submission of EOI, BHEL shall in no case be responsible or liable for these costs regardless of the conduct or outcome of the EOI process. 8. Canvassing in any form by the respondent or by any other agency on their behalf may lead to disqualification of their EOI. NIT Notification Number: PEMC Page 4 of 19

5 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION-2 SCHEDULE OF EOI PROCESS & CONTACT DETAILS A. SCHEDULE OF EOI PROCESS The schedule of events during the Bidding Process shall be as follows - Sl.No. Event Description Date 1 Issue of EOI document 4 th June Last date of raising queries on EOI 11 th June 2016 specification 3 Last date of Submission of Proposal 2 th June 2016 B. CONTACT DETAILS: All the correspondences and Proposal for Expression of Interest shall be addressed to the following: To: Mr. M. Rajasekar, Deputy Manager, Project Engineering & Systems Division (PE&SD), Bharat Heavy Electricals Limited (BHEL), Ramachandrapuram, Hyderabad Telangana State,India Mobile: (+91) / Land Line: (+91) rajasekar@bhelhyd.co.in Copy to: Mr. Prakash Khadilkar, Dy. General Manager Project Engineering & Systems Division (PE&SD) Bharat Heavy Electricals Limited (BHEL), Ramachandrapuram, Hyderabad Telangana State, India Mobile: (+91) / Land Line: (+91) prkhadilkar@bhelhyd.co.in NIT Notification Number: PEMC Page of 19

6 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant 3.1 ABOUT BHEL SECTION 3 DETAILS OF EXPRESSION OF INTREST (EOI) Bharat Heavy Electricals Limited (BHEL) ( is a Government of India Undertaking and a Maharatna Company, Established in BHEL is an integrated power plant equipment manufacturer and one of the largest Engineering and Manufacturing Company of its kind in India. The company is engaged in the Design, Engineering, Manufacturing, Construction, Testing, Commissioning and servicing of a wide range of products and services for core sectors of the economy, viz. Power, Transmission, Industry, Transportation (Railways), Renewable Energy, Oil & Gas, Water and Defence with over 180 products offerings to meet the needs of these sectors. BHEL has been the bedrock of India's Heavy Electrical Equipment industry. BHEL has a widespread network of 17 Manufacturing Divisions, 2 Repair Units, 4 Regional Offices, 8 Service Centres, 6 Overseas Offices, 6 Joint Ventures, 1 Regional Marketing Centres and current project execution at more than 10 project sites across India and abroad corroborates the humungous scale and size of its operations. Adding to its achievements, BHEL has joined the elite club of select global giants having an installed base of over 170 GW of power generating equipment globally. BHEL also has a widespread overseas footprint in 78 countries with cumulative overseas installed capacity of BHEL manufactured power plants nearing 10,000 MW. BHEL has technology tie-ups with leading companies in the world including General Electric Company, Alstom SA, Siemens AG and Mitsubishi Heavy Industries Ltd., supported by technology developments in its own R&D centres. The quality & reliability of BHEL products at par with other Global players and adheres to international standards. 3.2 ABOUT PROJECT ENGINEERING & SYSTEMS DIVISION, HYDERABAD Project Engineering & Systems Division (PE&SD), located at BHEL-Hyderabad, Ramachandrapuram, India is primarily responsible providing EPC solutions to various business areas like Power Projects upto 10MW, Captive Power & Co-generation Plants in Industry, PV Solar based Grid interactive Power Plants, etc in national as well as international markets. This division has established excellent track record both in India and Overseas market by successfully commissioning the various projects on EPC basis. BHEL-PE&SD is now planning to take up independent projects related to large scale Sewage Treatment plants (STPs) in Municipal Segment on EPC basis. 3.3 OBJECTIVE OF EOI : The objective of this EOI is to shortlist, evaluate and empanel prospective agencies for supply of Biological Treatment Systems with their respective technologies (excluding Membrane BioReactor; MBR) for Sewage Treatment Plants (STPs). These agencies shall also provide engineering services for total design of complete Sewage Treatment Plants including primary and tertiary treatment systems, sludge disposal system, odour management systems. NIT Notification Number: PEMC Page 6 of 19

7 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant 3.4 PROCESS OF EMPANELLING AND AVAILING SERVICES: i. Prospective agencies, who are meeting the Pre-Qualification Criteria (PQC) as per Section-4 shall submit their Proposal for EOI in English. ii. iii. iv. Evaluation shall be carried out as per BHEL Supplier Evaluation Approval & Review Procedure (SEARP) guidelines- 2010, Amendment-, Document no- AA: MM: SR:01, Chapter III to VIII (Refer Section-7 for details). The above document is also available on BHEL website, under link: Agencies shall furnish all the filled in formats/ information/ documents/ credentials etc as per Section-6. All the documents shall be submitted in English Language only. If, the reference documents are in any other language, then the English translated copy of the same, duly certified, stamped and signed by local chamber of commerce of bidder s country shall be furnished along with the copy of original document. In case separate proposals are received from different Divisions of the same Organisation, BHEL reserves the right to consider proposal of any one of these Divisions for empanelment. BHEL decision on this shall be final. v. BHEL shall intimate the shortlisted agencies for further discussions, presentations, etc on their proposals. BHEL at their discretion shall inspect their works/offices/reference project premises for the purpose of evaluation, as deemed necessary before empanelment. BHEL decision on this shall be final. vi. The selected agencies will be empanelled with BHEL as a supplier of Biological Treatment System for Sewage Treatment Plant with their identified specific technologies. vii. Subsequent to empanelment, whenever required, BHEL shall float a formal Purchase enquiry along with Project specific requirements/scope of work/ purchase terms & conditions etc. The agency will be finalised as per BHEL s procurement policies and Purchase Order will be placed accordingly. viii. In case it is required, a Tie-up / MOU with Technology Provider, shall be finalised on project specific basis. BHEL shall indicate such requirements while floating a tender/project specific purchase enquiry. The roles/responsibilities of Technology Provider, terms and conditions of tie-up/mou etc. shall be informed along with the enquiry. ix. The performance of the suppliers shall be evaluated periodically as per BHEL SEARP guidelines. Delisting of these agencies shall be at the discretion of BHEL based on performance feedback criteria. x. This expression of Interest is not an agreement and is not an offer or invitation to enter into an agreement/ tie-up/mou of any kind with any party by BHEL. NIT Notification Number: PEMC Page 7 of 19

8 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION 4 PRE-QUALIFICATION CRITERIA The Agency desiring for empanelment should meet all the Pre-Qualification Criteria mentioned below: A) The agency should be a Technology Provider for Biological Treatment System with any technology (excluding MBR technology) used in Sewage Treatment Plants (STPs). B) In last 7 (Seven) years, the agency should have provided Design, Performance Guarantee and key equipment for Biological treatment system with any technology (excluding MBR) for following plant(s) and these plant(s) should have been working satisfactorily for at least two (2) years, as on date of submission of EOI. i. At least one (1) plant of minimum capacity 80 MLD, Or ii. At least Two (2) plants of minimum capacity 0 MLD, Or iii. At least Three (3) plants of minimum capacity 40 MLD. C) In last 7 (Seven) years, the agency should have completed Engineering of following either separately or in a Single comprehensively project: i. Detail engineering of complete STPs including primary & tertiary Treatment systems, sludge disposal system and odour Management system. (Process design & calculations, development of PFDs/Schemes/P&ID`s, sizing of equipment/systems, layouts, performance guarantee calculations). ii. iii. Procurement Engineering including preparation of Purchase Specifications of equipment/systems of the STPs. Engineering of basic inputs for Civil, Electrical and Control & Instrumentation Engineering. NIT Notification Number: PEMC Page 8 of 19

9 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION BROAD TECHNICAL SPECIFICATION AND SCOPE OF WORK.1 INTRODUCTION: PE&SD-BHEL is planning to execute large scale Sewage Treatment plants on EPC basis in Municipal Sector. As a part of this process suitable Technology Providers are being shortlisted for supply of Secondary Treatment Systems based on their respective technologies (excluding MBR) and providing engineering services for the complete STP. The scope of Technology Provider shall broadly include: - Design, engineering, manufacturing, testing and supply of proprietary/key components/equipment/sub-systems of Biological Treatment System - Provide engineering services for detail engineering of complete STP including primary, tertiary treatment systems, sludge disposal system and odour management system - Responsibility for treatment system performance - Provide services for supervision of erection & commissioning The broad scope of work is indicated below. However job specific detailed scope of work shall be furnished along with formal purchase enquiry on project-to-project basis..2 BROAD SCOPE OF SUPPLY AND SERVICES: A) Scope of Supply: i. Supply of all proprietary and technology specific key equipment/ systems / items that are required for STPs. ii. The bidders shall also identify non- proprietary items required for the project and support BHEL in procurement engineering of these items. B) Scope of Engineering: I. Proposal Stage Engineering: The supplier shall provide following engineering services during Proposal Stage of the project. i. Detailed study of Customer/Purchaser s tender documents. Preparation of Pre-Bid Queries/Questionare for seeking clarifications from the Customer/Purchaser on tender documents. ii. Techno-economical evaluation of the various Treatment Processes / Technologies with respect to the project specific conditions and selection of the appropriate process design/technology for the project. iii. Design of suitable Primary, Secondary and Tertiary Treatment systems including Sludge Disposal and Odour Management systems as required. iv. Proposal Engineering for the project with the selected technology including preparation of all the necessary documentation required for submission of Technical Offer. NIT Notification Number: PEMC Page 9 of 19

10 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant (Typically includes: Process design calculations, Process PFDs/Schemes/P&IDs, Layouts, System Write- ups, Datasheets, Sizing of all Electrical/Mechanical/C&I Equipment & Systems, Bill of Materials for all Equipment & Systems, Schedule of Quantities (SOQ) of Civil/Structural/Architectural Works, Utility Consumptions, Electrical Load List, etc). v. Preparation of comprehensive consolidated Technical Offer inclusive of Scope of Supply & Services/Terminal Points/Exclusions, Technical Deviations & Clarifications on tender specifications, Filled-up Technical Schedules etc vi. Finalising the optimised Performance Guarantees of the project considering bid evaluation criteria of tender specification. vii. Provide support in working out the cost/price estimates for the project including back-up cost working sheets. II. Execution Stage Engineering: The agency shall provide following engineering services during execution stage of the project. i. Detail engineering of Primary, Secondary Biological treatment and Tertiary Treatment systems including Sludge Disposal system and Odour Management system, as required. Carry out the detailed end-to-end process design for the selected treatment technology including process design calculations, sizing of various equipment and systems, finalising process flow diagrams, detailed P&IDs/Process Schematics, control and operation write-ups, process and electrical utility requirements, chemicals consumption requirements, O&M consumable requirements, etc. ii. Preparation of plant layouts/hydraulic flow/gradient diagrams for complete plant iii. Preparation of basic engineering inputs required for carrying out detailed Electrical and C&I engineering. iv. Preparation basic engineering inputs required for carrying out detailed civil, architectural, structural and landscape engineering. v. Procurement engineering for non-proprietary bought out items, identifying probable suppliers in the market, preparation of technical specifications for RFQs, support BHEL in the evaluation of technical offers received from the vendors. vi. Preparation of Plant Performance Guarantee Test Procedure and assistance in conducting the Plant Performance Guarantee Tests. vii. Preparation of Plant Operations and Maintenance Manuals, Plant operation procedures for the effective and efficient operations of plant. C) Scope of Services: i. Provide engineering support in getting the engineering documentation approved by Customer/Purchaser/ their appointed agency including participating in technical discussions with Customer/Purchaser, as required. ii. Supervision of erection and complete commissioning of Biological Treatment system and site support for integrating other sub-systems like primary treatment, tertiary treatment, sludge disposal system etc. NIT Notification Number: PEMC Page 10 of 19

11 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant iii. Support in finalising the list of O&M consumables & chemicals along with the BOM and technical specifications. iv. Visit of Technology Provider s design experts to project site for resolving engineering and technical issues, as required during execution of the project. v. Support BHEL in obtaining statutory approvals, as deemed necessary. vi. Provide support during plant O&M, as required..3 Treated Effluent Quality: The typical expected treated effluent quality shall be as follows. However, the treated effluent quality shall meet the specification of respective tender/project which will be indicated in project specific enquiries. Sl. No. Parameters Unit Standards 1 ph BOD mg/l 10 3 COD mg/l 0 4 TSS mg/l 10 NH4-N mg/l 6 N-TOTAL mg/l 10 7 FECAL COLIFORM (MPN/100ml) < PO 4-P mg/l 2 Attention: The language of communication with the Technology Provider-cum-Engineering Consultant shall be English only. All the documents including the design/engineering documents shall be in English Language. NIT Notification Number: PEMC Page 11 of 19

12 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION 6 DOCUMENTS TO BE SUBMITTED ALONG WITH PROPOSAL Prospective agency should submit following documents along with their Proposal. Sl No Document Description Filled in Formats to be Submitted with Proposal 1 Check List for Indian Supplier Section-7: Document no. Registration Form AA:MM:SR:01, Rev 01 Annexure-II, 2 Check List for Foreign Supplier Registration Form 3 Supplier Registration Form for Indian Supplier 4 Supplier Registration Form for Foreign Supplier Check List for Pre-Qualification Format: R-1 Criteria (PQC) 6 Details of Reference Projects Format: R-2 satisfying PQC 7 Details of other Projects executed by Format: R-3 technology provider 8 List of clarification Format: R-4 Page II of II Section-7: Document no. AA:MM:SR:01, Rev 01 Annexure-III, Page II of II Section-7: Annexure-II of SEARP, Form no. SRF(I) 01 (Indian supplier) Page 1 to 17, except Part-c, clause-ii Section-7: Annexure-III of SEARP, Form no. SRF(I) 01 (Indian supplier) Page 1 to 17 9 Acceptance of EOI specification Signed and stamped copy of EOI Specification No PEMC Proof of achieved guarantee effluent parameters of listed projects Customer accepted PG test reports of listed projects. Remarks Indian Supplier shall refer to Guidelines to Indian Suppliers for filling-up supplier registration form Document no: AA: MM: SR: 01, Rev 01 Annexure-II, Page I of II (enclosed in Section-7), before filling the various formats. Foreign Supplier shall refer to GUIDELINES TO FOREIGN SUPPLIERS FOR FILLING UP SUPPLIER REGISTRATION FORM Document no: AA: MM: SR: 01, Rev 01 Annexure-III, Page I of II (enclosed in Section-7), before filling the various formats. NIT Notification Number: PEMC Page 12 of 19

13 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant Sl no. A B FORMAT: R-1 CHECK LIST FOR PRE-QUALIFICATION CRITERIA (PQC) PQC Criteria The agency should be a Technology Provider for Biological Treatment System with any technology (excluding MBR technology) used in Sewage Treatment Plants (STPs). In last 7 (Seven) years, the agency should have provided Design, Performance Guarantee and key equipment for Biological treatment system with any technology (excluding MBR) for following plant(s) and these plant(s) should have been working satisfactorily for at least two (2) years, as on date of submission of EOI. Bidders Response (Yes / No) Supporting Document(s) Required (Only if Bidder response is- Yes) a) Filled-in supplier registration form no: SRF(I)01 (Indian supplier) and form no. SRF(F)01: (Foreign supplier) b) Filled in Format: R-2 & R-3 If yes, furnish the following details: a) Filled in Format: R-2, and b) Self-attested copy of Customer Work order/ Purchase order indicating broad scope of supply and services. c) Self-attested copy of Protocol/complete certificate signed by Client/Owner, indicating the successful commissioning of the project. Or Performance Certificate issued by Owner/ Customer. C i. At least one (1) plant of minimum capacity 80 MLD, Or ii. At least Two (2) plants of minimum capacity 0 MLD, Or iii. At least Three (3) plants of minimum capacity 40 MLD. In last 7 (Seven) years, the agency should have completed Engineering of following either separately or in a Single comprehensively project: Same as Sl. no-b above Same as Sl. no-b above Same as Sl. no-b above NIT Notification Number: PEMC Page 13 of 19

14 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant i. Detail engineering of complete STPs including primary & tertiary Treatment systems, sludge disposal system and odour Management system. (Process design & calculations, development of PFDs/Schemes/P&ID`s, sizing of equipment/systems, layouts, performance guarantee calculations). ii. Procurement Engineering including preparation of Purchase Specifications of equipment/systems of the STPs. iii. Engineering of basic inputs for Civil, Electrical and Control & Instrumentation Engineering. Related Document (s) indicating similar scope. Document No: / /. Related Document (s) indicating similar scope. Document No: / /. Relevant documents prepared by bidder and approved by Customer indicating similar scope. Document No: / /. Signature & Stamp of Authorized Signatory NIT Notification Number: PEMC Page 14 of 19

15 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant FORMAT: R-2 DETAILS OF REFERENCE PROJECTS SATISFYING PQC Sl.No Project details Project-1 Project-2 Project-n 1 Name of the Project 2 End Customer details (Name of the Organisation, Contact person, phone no, ID) 3 Details of Customer: (Contact information like Name of the Organisation, Contact person, phone no, ID etc to be provided) 4 Capacity of the plant in MLD Date of award of the order by customer. 6 Brief scope of contract & details of Key equipment 7 Type of technology used for Biological treatment system 8 Date of supply completion 9 Date of commissioning of the system. 10 Date of Performance Guarantee Test 11 The guaranteed effluent water quality for ph, BOD mg/l, COD mg/l, TSS mg/l, Fecal Coliform MPN/100ml, NH 4-N mg/l, N-Total mg/l, PO 4-P mg/l 12 The effluent water quality achieved during PG test for ph, BOD mg/l, COD mg/l, TSS mg/l, Fecal Coliform MPN/100ml, NH 4-N mg/l, N-Total mg/l, PO4-P mg/l Customer accepted PG test report in support of the above to be furnished. 13 Date of commencement of Commercial Operation of complete plant. 14 Order value in INR/ USD Signature & Stamp of Authorized Signatory NIT Notification Number: PEMC Page 1 of 19

16 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant FORMAT: R-3 DETAILS OF OTHER PROJECTS OF SIMILAR NATURE, EXECUTED Sl.No Project details Project-1 Project-2 Project-3 1 Name of the Project 2 End Customer details (Name of the Organisation, Contact person, phone no, ID) 3 Details of Customer: (Contact information like Name of the Organisation, Contact person, phone no, ID etc to be provided) 4 Capacity of the plant in MLD Date of award of the order by customer. 6 Brief scope of contract & details of Key equipment 7 Type of technology used for Biological treatment system 8 Date of supply completion 9 Date of commissioning of the system. 10 Date of Performance Guarantee Test 11 The guaranteed effluent water quality for ph, BOD mg/l, COD mg/l, TSS mg/l, Fecal Coliform MPN/100ml, NH 4-N mg/l, N-Total mg/l, PO 4-P mg/l 12 The effluent water quality achieved during PG test for ph, BOD mg/l, COD mg/l, TSS mg/l, Fecal Coliform MPN/100ml, NH 4-N mg/l, N-Total mg/l, PO4-P mg/l Customer accepted PG test report in support of the above to be furnished. 13 Date of commencement of Commercial Operation of complete plant. 14 Order value in INR/ USD NIT Notification Number: PEMC Page 16 of 19

17 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant 1 Furnished the following documents in support of above work experience for each project. a. Self-attested copy of Customer Work order/ Purchase order indicating broad scope of supply and services. b. Self-attested copy of Protocol/completion/Performanc e certificate signed by Client/Owner. Signature & Stamp of Authorized Signatory NIT Notification Number: PEMC Page 17 of 19

18 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant FORMAT: R-4 LIST OF CLARIFICATIONS Sl.No. Reference clause of EOI Document Clarification by Technology providercum-engineering Consultant Response by BHEL 1 2 Signature & Stamp of Authorized Signatory NIT Notification Number: PEMC Page 18 of 19

19 Global EOI for Empanelment of Technology Provider-cum-Engineering Consultant SECTION 7 Supplier Evaluation Approval & Review procedure (SEARP) guidelines- 2010, amendment-, Document no AA:MM:SR:01, rev 01 is enclosed for reference. NIT Notification Number: PEMC Page 19 of 19

20 SUPPLIER EVALUATION, APPROVAL & REVIEW PROCEDURE 2010 (Amendment 01 dt: & Amendment 02 dt: , Amendment 03 dt: Amendment 04 dt: , Amendment 0 dt: incorporated) Corporate MM BHARAT HEAVY ELECTRICALS LIMITED New Delhi

21 Chapter- III Supplier Registration and Assessment Procedure Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 7 of INTRODUCTION SUPPLIER REGISTRATION AND ASSESSMENT PROCEDURE The system aims to select reliable and quality conscious suppliers. The formats for assessment of supplier are based on numerical rating to minimize subjectivity. 2.0 SUPPLIER REGISTRATION AND ASSESSMENT 2.1 The suppliers shall fill up the following Supplier Registration forms (SRF) as applicable: Category of Supplier FORM Annexure Page no. Type (A) a) Indigenous II 1-10 OS QS 13 TC b) Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal II 1-10 OS c) Foreign III 1-2 (B) Contractor VI 1-10 Parameters marked with * in SRF carry scores. 2.2 Supplier Registration Process: The process of source selection consists of following stages: Information Stage Assessment Stage Registration Stage 3.0 Information stage: The information about suppliers is received in Supplier Development Cell. Some of the sources of data are as follows: a) Supplier approaches directly. b) Information received through various disciplines of organisation such as Engg./ MM/ Technology etc. c) Through Web search/ Newspapers/ Magazine/ Business Catalogue/ Exhibitions/ Seminars/ Electronic media etc. d) Suppliers technically qualified in Open Tenders. e) Customer/ collaborator recommendation. 3.1 Recommended guidelines for dealing against each of above situation For S. N. 3.0 (a), (b) and (c), the documents sent by suppliers will be scrutinized by SDC/SRC and referred to Convener of the concerned MISCC for review by MISCC. The MISCC may recommend any of the following: a) The item is not required. b) There are sufficient numbers of suppliers and the applicant supplier is not required. The unsuccessful applicants shall be accordingly communicated within five days of the MISCC recommendation by SDC. c) In case item is required, supplier may be advised to download the Supplier Registration Forms from and submit the same to SDC/SRC For S.N. 3.0 (d) and (e), in case of unregistered supplier, the necessary Supplier Registration Form may be got filled up from the supplier by concerned MM group and submitted to SDC/ SRC for further processing. 4.0 Assessment Process: The supplier under 2.1 (A) (a) & (b) shall fill the Supplier Registration Forms given in Annexure II for assessment on the basis of following three criteria: a) Organisational Soundness - Part A b) Quality System - Part B

22 Chapter- III Supplier Registration and Assessment Procedure Document No. AA:MM:SR:01 Revision No. 01 Page No. 8 of 23 c) Technical Competence - Part C - specific Technical Competence, if required, to be filled later on when sent to supplier by BHEL. The parameter with * marks shall be the scoring parameters. The registration of suppliers shall be based on the marks scored. 4.1 Organisational Soundness will be judged on the basis of information furnished by the supplier on the following aspects: General information about organization, which includes: a) Ownership information; b) Financial information; c) Registration particulars d) General Manufacturing facilities e) Industrial relations The forms placed at Part-A of Annexure II relate to Organisational Soundness. Supplier must answer all questions 4.2 Quality System will be judged on the following aspects: a) Incoming material control b) Process Control c) Control of Non-conformance d) Control of measuring & monitoring device e) Conformance to safety requirement f) Customer Supplier communication The forms placed at Part-B of Annexure II relate to Quality System. Supplier must answer all questions. 4.3 Technical Competence: For jobs to BHEL design & technology: The technical competence of supplier will be judged on the basis of his understanding about BHEL product specification and its criteria, the process capability of the machines available with the supplier and the experience of the manpower. For jobs procured on the basis of performance specification (Design & Technology is of supplier): As design and technology is of supplier, BHEL cannot give the dimensional tolerances but only specify the performance specifications in following manner: a) Critical performance specifications b) Major performance specifications c) Minor performance specifications While assessing the supplier for performance specification, following should be examined: (i) Design capability for the product to achieve the desired performance specification (ii) Quality Control Plan & verification of its implementation & acceptance criteria (iii) Process capability to produce critical components & major components (iv) Adequacy of final product testing Part C of Annexure II relates to technical competence assessment. If specific technical competence is not required, then 1 marks may be distributed on pro-rata basis to Common Technical Competence so as to arrive total of 2 marks for evaluation..0 Assessment Stage:.1 On receipt of filled-up Supplier Registration Forms, SDC will send an acknowledgement to the supplier within five working days.

23 Chapter- III Supplier Registration and Assessment Procedure Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 9 of 23.2 MISCC shall scrutinize the registration forms, with the help of TCA. If the supplier, prima facie, is found suitable/ required, MISCC will send the product specific Technical Competence form (along with specification, standard, drawing etc, if necessary) directly/ through SDC to the supplier for his response. Subsequent to receipt of the supplier s response, MISCC/ TCA will assess the reply along with the SRF and complete the marking as per Score Sheet (Part D) in Annexure II..3 On the basis of supplier s score and other information given by supplier, MISCC will give any of the following recommendations:.3.1 If supplier is not found up to the mark at any stage during process of registration, SDC will be intimated accordingly for onward communication to the supplier..3.2 Supplier can be considered provided he makes improvements in the indicated areas..3.3 Supplier can be considered but visit to supplier s works is required for assessment. For this purpose, SDC will coordinate formation of Supplier Evaluation Team consisting of members from concerned purchase, quality and engineering/ technology/ indenting departments. The team shall comprise minimum two members, one of whom shall be a certified Assessor. The members of the Supplier Evaluation Team will verify the information given by the supplier in the SRF, Technical Competence form and any other issues necessary to register the supplier. The team will give marks in the Score Sheet Part D and sign the same. MISCC will review the assessment report of the Supplier Evaluation Team and give final approval to SDC..3.4 It is decided to develop the supplier through development indent route for which development code shall be approved by MISCC..3. Based on the details submitted/supplier visit made, if the supplier qualifies for registration, the supplier shall be approved by MISCC for permanent code/ trial code. 6.0 Registration stage: Based on the approval of MISCC, registration of the supplier shall be done as per procedure in Chapter-IV. 7.0 Numerical rating is assigned for each parameter. Scoring will be done as per Part-D (Score Sheet) of Annexure II. 8.0 Assessment Criteria: Assessment criteria shall be as per the numerical rating assigned to each parameter and scoring will be done as per Part D (Score sheet) of Annexure II. 9.0 Cycle Time for Supplier/ Contractor Registration: On receipt of a Supplier Registration Form, the SDC, within one month, shall seek any information on the missing Annexures and details only once. This complete registration form will be sent by SDC to the concerned MISCC(s), and receipt obtained. MISCC(s) may seek (if required) clarifications from the supplier only once. Seeking repetitive clarifications is not allowed unless further clarifications relate to reply received against earlier clarification. After receipt of complete Supplier Registration Forms (with relevant annexure and details), the evaluation shall be completed within three months (including visit, if required). SDC shall raise an exception report on half yearly basis on the supplier applications pending beyond the stipulated time frame, and submit the report to respective MISCCs for review.

24 Chapter- IV SUPPLIER REGISTRATION Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 10 of Type of Registration SUPPLIER REGISTRATION Considering the total business operations of BHEL involving purchase of raw material/ components/ capital equipments from different type of business organizations like manufacturer, stockist/ authorized agent etc., following categories of registration are recommended to differentiate one time, development, trial or permanent code supplier. 1.1 One time code: One time code, for the purpose of placing purchase order(s) can be allotted to suppliers who have not been assessed and registered for the following cases: i. Successful bidder who qualifies against the stated PQR in an Open Tender. ii. Unregistered suppliers with whom Single Tender has been finalized as per Purchase Policy provisions. Note: i. The data of one time codes allotted shall be maintained online separately by SDC, for review by respective MISCCs, who shall assess and register such suppliers. ii. All suppliers who are allotted a one time code shall be considered for registration and their SRF assessed as per laid down procedure within the time frame specified at clause 9.0 of Chapter-III. On successful execution of the purchase order, such one time code suppliers may be considered for updation in the PMD for permanent code, provided the supplier has successfully executed the order and its satisfactory performance (supplier performance rating) against the order is acceptable to MISCC. Before registration, the SRF shall be got filled up and processed through MISCC. However, one time codes allotted for non PMD items purchased through personal enquiry (as per clause 9.4 of Chapter-II), shall be exempted from above provisions (i) and (ii) For one time code, approval of Unit MM Head or official nominated (not below the rank of AGM) by Unit Head will be required Suppliers with one time code shall not be included in PMD. 1.2 (i) Development code: Development code shall be given to a supplier where an item or product is to be developed by the supplier with the assistance of BHEL through development indent route only. MISCC shall approve allotment of development code to the supplier, based on supplier assessment as per respective SRF. 1.2 (ii) Trial Code: Trial code can be given to a supplier for the purpose of judging his capabilities for supplying the given product/ item. MISCC shall approve allotment of trial code to the supplier, based on supplier assessment as per respective SRF. 1.2 (iii) Treatment of Development/ trial codes: A. Though Suppliers with development/ trial code shall be included in the PMD, they shall not be considered for regular purchasing action and accordingly will not be treated as registered suppliers for the purpose of issuing Limited Tender Enquiry. B. Development/ trial order shall be placed within 90 days of allotment of development/ trial code else reasons for not ordering shall be recorded and put up to Product Manager. C. Development/ trial orders shall be for a minimum possible quantity (quantity to be decided by MISCC) and shall not be linked to any specific project requirements. However, the developed items may be linked to subsequent project requirements on successful completion. D. Liquidity damage/ penalty for late delivery clause would not be applicable for development orders.

25 Chapter- IV SUPPLIER REGISTRATION Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 11 of 23 E. Liquidity damage/ penalty for late delivery clause would be applicable for trial orders. F. Maximum three development/ trial orders can be placed for a given material category on a particular supplier. Second/ Third development/ trial order can be placed only after completion of the previous order. On completion of one development/ trial order, MISCC will recommend within three months any of the following: (a) may approve updation of the development/ trial code to permanent code if the supply is acceptable, or (b) may reject the supplier if the supplies are not acceptable, or (c) shall recommend placement of another development/ trial order in case the supplies are not satisfactory and the supplier has to be developed/ tried again for recorded reasons. If three such orders are completed by the supplier, MISCC shall clearly decide either to allot a permanent code or to reject the supplier within 3 months of execution of third order. Note: i. The term completion (referred above) will mean inspection clearance before dispatch/ receipt of supply against previous order/ any milestone after supply of last trial/ development order. Completion of the milestone shall be pre-decided by MISCC at supplier assessment stage. ii. Any Trial code supplier who is the successful bidder against the pre-stated PQR in an Open Tender can be given One Time code for the purpose of placement of Purchase Order and after successful completion of Purchase order, the supplier may be considered for updation in the PMD for permanent code, provided the supplier has successfully executed the order and its satisfactory performance (supplier performance rating) against the order is acceptable to MISCC. Before registration, the SRF shall be got filled up and processed through MISCC. 1.3 MISCC shall approve allotment of permanent code to the supplier based on supplier assessment as per respective SRF and inform the same to SDC for updation of records. All suppliers allotted permanent code shall be placed in the PMD and shall be considered for regular purchasing action. 1.4 One time code, Development code, Trial code and Permanent code may be allotted to suppliers covered under Chapter V Registration of other categories of suppliers too as per specific approval of MISCC. 2.0 Treatment of existing suppliers a) Existing development code/ trial code suppliers in PMDs : Suppliers with development/ trial code shall be included in PMD, and MISCC shall process their updation to permanent code as per the provisions spelt out at 1.2(iii) above. b) Allotment of additional material category/ Deletion of material category already allotted to existing suppliers in PMD: In case a supplier is already registered in some material category in PMD and necessity arises to add/ delete material category, within the same generic type of material, MISCC shall examine supplier s request. The technical competence of the supplier for the new material category/ item shall be assessed as per norms and if the supplier is found technically acceptable, MISCC shall send the approval for the relevant code, to SDC for addition/ deletion of the supplier in the recommended material category/ item. In case the new item/ material category is not of the same generic type of material for which supplier is already registered, assessment of technical competence and quality systems by MISCC shall be required. 3.0 Treatment of existing suppliers of Power Sector This aspect has been dealt in detail at clause no. 10 of Chapter II.

26 Chapter- V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 12 of 23 REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS 1.0 There may be other categories of suppliers such as sister-unit registered suppliers, foreign suppliers, stockists, agents, dealers, ancillaries and sub-contractors etc. who may require different treatment. The approach for registration of such suppliers is as follows: 2.0 Sister Unit Registered Suppliers (SURS) Registered suppliers of sister units having a permanent code shall be exempted from detailed registration procedure and shall be directly included in the list of approved suppliers for the same/ similar class of item provided the supplier s past performance at sister unit is satisfactory. Accordingly, approval of MISCC shall be required. Supplier Registration Forms shall be got filled up for records and hence no TCA assessment is required. Wherever a vendor, inspite of his application, is not considered for registration by the sister unit, reasons for the same are to be recorded by MISCC and approved by Product/ Functional Manager/ MM Head, not below the rank of AGM. However, in case of items which are different, suppliers that are already registered with permanent code in Sister Units, will be assessed only for Technical Competence portion of the SRF by MISCC. 3.0 Collaborator Registered Suppliers Suppliers approved by collaborators may be exempted from detailed registration procedure. However, mandatory information required for carrying out the business as per clause 4.0 & 6.13 of registration form shall be ensured for Indian vendors. In case the supplier approved by collaborator is a foreign vendor, information received from collaborator will be sufficient. Based on this, these suppliers should directly be included in the list of registered suppliers. Approval of MISCC shall be required. 4.0 Sister Units Sister units/ divisions shall be exempted from detailed registration procedure and directly included in the list of registered suppliers..0 Registration of suppliers of national/ international reputation Many a times, we may come across a situation where it becomes essential to procure item/ component/ material from reputed suppliers due to customer specifications, critical requirement or similar other considerations. Normally, such suppliers should also follow our supplier registration route. It is, however, experienced that certain suppliers of national/ international reputation, corporate giants or those who enjoy monopolistic status do not evince interest in filling up our Registration Form and follow our guidelines. In view of organizational interest, the following steps are suggested for registration of such exceptional suppliers:.1 The concerned Product Head/Functional Head shall prepare a proposal indicating the description of item, PMD/ SD material category and other relevant details, name and complete details of the proposed supplier with justification for seeking registration of the supplier under this provision. However, statutory details like PAN No., Excise control no. etc. shall be obtained from such suppliers for our records..2 The above proposal, with recorded reasons, shall be concurred by MISCC and got approved from Head of Unit..3 Registration of suppliers, as explained above, shall be done on exception basis. 6.0 Registration of Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal: All such suppliers shall fill up registration form as per Annexure II (page 1 to 10). For registration under above category, the registration criterion shall be the assessment of organizational soundness by MISCC/ TCA and Principal s authorisation letter and approval by MISCC. In case of Indian Agents of foreign principals, the deed of agency agreement between the foreign principal and the agent should be necessarily ensured.

27 Chapter- V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS Document No. AA:MM:SR:01 Revision No. 01 amdt.-0 Page No. 13 of Registration of Foreign Suppliers 7.1 Foreign suppliers shall fill up registration form as per Annexure III. The assessment of foreign suppliers shall be on the soundness of organizational and financial parameters & manufacturing and testing facilities. The details of experience/ performance certificate offered by the supplier should be properly scrutinized. A report of the supplier shall be solicited by BHEL from a reputed third party business rating agency like Dun & Bradstreet, Creditreform etc. or third party business rating agency empanelled by BHEL. If any supplier does not submit this report, same should be obtained by BHEL. This report shall be mandatory for registration of foreign suppliers. If required, business information of the supplier can also be solicited by BHEL from Indian Missions/ Local Chamber of Commerce or Industry/ reputed bank and this information can be used to supplement the report from the third party business rating agency. A reputed bank is one who is a member of consortium banks of BHEL or has a correspondent relation with any of BHEL s consortium banks having operations in the country where the supplier is existing. 7.2 The visit to supplier for assessment is not a normal feature of the system. However, visit to foreign supplier for assessment may be recommended by MISCC in exceptional cases based on the following: critical nature of item involved or other similar consideration Large volume of anticipated or committed business by BHEL with the foreign supplier. Non availability of performance report from the customers of the foreign supplier. MISCC shall clearly record the reasons for which the visit is necessary. 7.3 The forms and the documents submitted by the supplier along with the mandatory Business rating report will be reviewed and assessed by MISCC/ TCA. Such assessment which is without marking should be duly approved by MISCC for allotment of permanent/ development/ trial code. 8.0 All suppliers who have been techno-commercially qualified against pre-stated PQR in the open tender, may also be assessed by MISCC for their registration for allotment of permanent/ trial code. On successful execution of the purchase order, such suppliers may be considered for updation in the PMD for permanent code, provided the supplier has successfully executed the order and its satisfactory performance (supplier performance rating) against the order is acceptable to MISCC. Before registration, the SRF shall be got filled up and processed through MISCC. 9.0 Treatment of Sub-Suppliers 9.1 In case of systems/ main packages/ BOPs etc. (herein after referred as main package) covering engineering, BOI, site erection and commissioning, the order is placed on single supplier. The supplier in turn may place order on sub-supplier(s) for certain items/ components/ sub-systems/ packages/ BOIs etc. (herein after referred as sub-system). 9.2 The sub-suppliers may be approved by BHEL/ customer depending on the criticality of the sub-system and/ or as per requirement of the contract. Accordingly, technical specifications of main package contain details of sub-system. For this, following procedure will be followed: Identification of critical sub-systems in the main package by concerned MISCC PQR for sub-supplier(s) for such critical sub-system(s) shall be framed by concerned Engineering in consultation with Quality and approved by MISCC If PMD exists for such sub-system(s), then the PMD of the same shall be forwarded to main supplier for procurement of the sub-system(s) through any of the PMD suppliers. In case, where main supplier suggests additional sub-supplier(s) for the sub-system(s) along with credentials, same shall be approved by concerned Engineering Head in consultation with Quality provided it meets specified PQR If PMD does not exist, then main supplier to submit credentials of sub-suppliers meeting the specified PQR. The same shall be approved by concerned Engineering Head in consultation with Quality.

28 Chapter- V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS Document No. AA:MM:SR:01 Revision No. 01 amdt.-0 Page No. 14 of Wherever customer has specified PQR or specified/ approved list of additional/ partial/ complete subsupplier(s) for the sub-system, then the same shall be followed to comply with above clause and Customer approval is to be taken as per contract requirement Necessary clause shall be inserted in the GCC/ NIT of the main package to ensure compliance In order to increase vendor base, new sub-supplier(s) identified during the above process shall be considered for registration by MISCC, provided PMD for such items is maintained in the unit REGISTRATION MATRIX The registration matrix is given on the next page for easy understanding of procedure of registration for various types of suppliers. The abbreviations used are indicated below: MISCC - Material Identification & Supplier Control Committee SRC - Supplier Registration Committee (for Power Sector Regions) SRF - Supplier Registration Form TCA - Trained & Certified Assessor MI - Manufacturer (Indigenous) MF - Manufacturer (Foreign) MC - Manufacturer recommended by Collaborator SU - Sister Unit SURS - Sister Unit Registered Supplier NA - Not Applicable UNITS - All Manufacturing units, PS-Regions and Divisions. Constituting Authority (CA) - As defined in 3.1 of Chapter-I

29 Chapter- V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS Document No. AA:MM:SR:01 Revision No. 01 Page No. 1 of 23 REGISTRATION MATRIX FOR SUPPLIERS OF VARIOUS TYPES Sl no Type of Supplier MI Authority for initial recommen dation MISCC/ SRC Assessment Criteria SRF, Technical Competence & team visit, if reqd. MF -do- SRF & team visit, if reqd SU -do- Not Applicable SURS -do- Same item (Size/ application)/ same class of material, performance feedback Reputed MISCC/ Justification Suppliers SRC for seeking (Clause.0 of registration Chapter V) Authority to decide assessment criteria MISCC/ SRC Authority for assessment MISCC/ SRC, Supplier Assessment Team Final recommendation for registration MISCC/ SRC Approving authority for registration Chairman MISCC/ Constituting Authority SRC -do- -do- -do- -do- -do- Remarks. Permanent code or Development code or Trial code Not Applicable Not Applicable -do- -do- Permanent Code MISCC/ SRC MISCC/ SRC -do- -do- SURS with permanent code can only be considered. Technical Competence to be verified/ assessed MISCC/ SRC SRF not required, however, statuary details shall be asked for. MISCC/ SRC Head of Unit Exceptional cases only

30 Chapter- V REGISTRATION OF OTHER CATEGORIES OF SUPPLIERS Document No. AA:MM:SR:01 Revision No. 01 amdt.-04 Page No. 16 of 23 Sl. No. Type of Supplier Authority for initial recommen dation 6. MC MISCC/ SRC 7. Stockist / trader/distributor /Dealer/Authorised agent / Channel partner / Indian sales office or subsidiary of foreign principal 8. Petty Item Suppliers -do- Product MM Head 9 One Time Code Product MM Head/ MISCC/ SRC 10 Contractors for PS-Regions Assessment Criteria Collaborator document/ confirmation Assessment of Organisation Soundness and principal's authorisation letter Authority to decide assessment criteria Authority for assessment of Supplier Registration Form Final recommendation for registration Approving authority for registration MISCC / SRC MISCC/ SRC MISCC /SRC Chairman MISCC/ Constituting Authority SRC MISCC / SRC MISCC / SRC / TCA - - No registration recommended - - No formalities required for irregular requirements. Statutory requirements to carry out the business should be obtained. Remarks. MISCC / SRC -do- Registration of Agents to be discouraged and avoided to the extent possible. - MM Head/ Nominee of Unit Head MISCC/ SRC -do- Chairman SRC SRF SRC SRC SRC Constituting Authority for SRC One time code will be allotted One time code will be allotted.

31 Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM Document AA:MM:SR:01 No. Revision No. 01 amdt.-04 Page No. 17 of 23 SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM 1.0 The Supplier Performance Rating can be used for assessing the performance of a supplier in comparison with other suppliers with a view to decide whether or not to continue to procure the products from the supplier if the Supplier Performance Rating is below a certain limit. 2.0 Supplier Performance Rating (SPR): Supplier performance shall be assessed taking into account the following main factors and calculated for each consignment/ purchase order: 2.1 Quality Rating (QR): Rating Weightage Quality 60 Delivery 30 Service 10 Total 100 Quality rating is based on acceptable quantity of material offered for inspection or delivered by supplier and shall be calculated as: Quality Rating (QR) = (Q x Q2 + 0 x Q3) x 60 Q Q Q1 Q2 Q3 Quantity inspected Quantity accepted Quantity accepted with concession/ deviation/ rectification Quantity rejected 2.2 Delivery Rating (DR): Supplier will be rated on delivery parameters wherein Delivery rating shall be 30 in case of adherence to PO delivery. For non-adherence to PO delivery (i.e. delay in supply), marks to be deducted in proportion of delay to PO delivery. Deduction = 30*delay in days/po delivery in days DR = 30 Deduction Note: 1. Delay is calculated as per PO delivery terms. 2. In cases, where delay is on account of BHEL in providing raw materials/ tools/ any other input, the delivery shall be extended with amendment to PO. 3. In case of rectification/replacement of item, the delivery is to be reckoned from the original supply date. Units to put a system in place to capture such data. 2.3 Service Rating (SR): The criteria for service rating shall be based on the Demerit factor (negative rating) to be updated by the User/ Quality/ MM group. The service rating shall be 10 in case there is no negative feedback against the supplier for the given supply. Else, the service rating should be reduced proportionally based on the Demerit factor.

32 Chapter- VI SUPPLIER PERFORMANCE MONITORING AND RATING SYSTEM Document AA:MM:SR:01 No. Revision No. 01 Page No. 18 of 23 In case negative feedback (substantiated by documentary evidence) is received from Shop Floor/ Site on the supplies made, at a later date, demerit factor should be applied again accordingly. Units shall decide on the mechanism for updation of the Demerit factor. Supplier Performance Rating (SPR) = QR + DR + SR 2.4 SPR shall be calculated for the period of previous year plus elapsed period of current year or average of last three executed purchase orders, which ever is more as the case my be. 2. In case no PO has been executed by the supplier, SPR will be taken as NOT ASSESSED. 3.0 Usage of Supplier Performance Rating: The following action is recommended based on SPR score:- SPR Grade Action Score >9 A1 BHEL may consider award appreciation/ commendation letter >90 <=9 A Supplier can be considered for self certification or for reduced witness points during inspection >7 <=90 B No action in normal course. If any deterioration comes to notice on analysis, the supplier may be informed >=60 C (i) Thorough analysis for identification of areas for improvement <=7 (ii) Enquiry to be sent only after concerned MM head approval < 60 D To be dealt in accordance with the extant guidelines on Suspension of Business Dealings with Suppliers/ Contractors 4.0 Feed back to suppliers regarding performance rating: The feedback to the supplier shall be posted every quarter as per Annexure ID on unit website in the first fortnight of every quarter. The supplier shall be allowed access to view his performance rating. In addition, the annual SPR rating should also be intimated to the supplier by registered post/ fax/ . In case, the supplier does not contest the SPR ratings within 30 days of posting of the SPR ratings on the unit web site, it shall be construed that the supplier has accepted the SPR ratings provided on the unit website..0 The above SPR procedure is basically applicable for purchases being done by manufacturing Units, PEM, TBG and ISG. Considering the nature of work/ system purchases being carried out by PS regions, SPR procedure as detailed in Annexure VIII may be followed.

33 Chapter- VII SUSPENSION OF BUSINESS DEALINGS WITH SUPPLIERS/ CONTRACTORS Document No. AA:MM:SR:01 Revision No. 01 Page No. 19 of 23 SUSPENSION OF BUSINESS DEALINGS WITH SUPPLIERS/ CONTRACTORS Suspension of Business dealing with suppliers/ contractors will be dealt in accordance with the Guidelines no. AA:MM:SB:01 issued from time to time by the management.

34 Chapter- VIII TRANSPARENCY Document No. AA:MM:SR:01 Revision No. 01 Page No. 20 of 23 TRANSPARENCY 1. Supplier Registration Procedure and relevant formats are available on 2 Status of supplier registration applications (as per Annexure IC Part E ) shall be displayed online by each unit on their website to enable the suppliers to see the status of their applications. 3. The acknowledgement of receipt of application, feed back of registration or rejection, performance rating and reasons for putting on hold/ delist/ ban (as per guidelines issued for suspension of business dealings issued from time to time by the management) are to be conveyed to the supplier.

35 Chapter- X REGISTRATION OF CONTRACTORS FOR PS REGIONS AND SIMILAR WORKS IN UNITS/ DIVISIONS Document No. AA:MM:SR:01 Revision No. 01 Page No. 22 of 23 REGISTRATION OF CONTRACTORS FOR PS REGIONS AND SIMILAR WORKS IN UNITS/ DIVISIONS 1.0 The procedure aims to register reliable and quality conscious Contractors for Power Sector Regions and similar works in Units/ Division. 2.0 The registration of Contractors starts with identification of packages along with groups for which registration is to be done based on categories like MW Ratings, Tonnage, Estimated Value Range etc. (refer Annexure IV for sample categories for Contractor registration). For every category, relevant codes to be given for easy identification. 3.0 Each Power Sector Regions to define Basic requirements like similar previous jobs, qualification of personnel, turnover, related industry experience etc. for various categories/ codes as defined in point 2.0 above as per Annexure V. 4.0 Before registration, Contractors to fill up registration form and send to respective Power Sector Region along with relevant supporting documents on following parameters: Section I: Company Profile and General information Section II: Resources owned by the company Section III: Work Experience The guideline to Contractors for filling up the registration form is defined in Annexure VI..0 Once the filled in registration form along with supporting documents are received from Contractors, the SRC will evaluate them based on: Part A: Organisational Soundness Part B: Quality Systems Part C: Technical Competence Part D: Final Recommendation Contractor Evaluation format will be as per Annexure VII. 6.0 Registered Contractors will be continually evaluated for their performances every quarter on aspects like quality, delivery, manpower, Tools & Plants (T&Ps), Inspection Measuring and Test Equipments (IMTEs), site infrastructure and services, health safety etc. as laid down in Annexure VIII. This performance evaluation will be on net weighted score calculated for evaluation and monitoring purposes and will be informed to the concerned Contractor.

36 SUPPLIER REGISTRATION STATUS REPORT Annexure IC Unit: Qtr Ending: Part E: Status of supplier application for registration * Name of the Company Item/ Services Date of receipt of application Status** Month Ending: Remarks * To be updated Every month and put on Unit's website ** Status to be given as either of the following: 1. Registered 2. Under Process 3. Clarification Sought from Supplier 4. Visit being planned to Supplier's work. Regretted

37 Annexure-ID SUPPLIER RATING FEEDBACK FORM Name of Supplier: Supplier Code: Item / Package: Matl. Category : The supplier performance rating (SPR) is evaluated by considering the following weightage; 60% for quality rating (QR) & 30% for delivery rating (DR) and 10% for service rating (SR). The performance rating is shown below : - Rating factor Points Obtained QR (Max 60) DR (Max 30) SR (Max 10) SPR= QR + DR+SR (Max. 100) Note: In case supplier needs any assistance from BHEL for improvement they can contact the MM Department. General Remarks, if any : Signed by SDC

38 Annexure-II GUIDELINES TO INDIAN SUPPLIERS FOR FILLING-UP SUPPLIER REGISTRATION FORM Document No. AA:MM:SR:01 Revision No. 01 Page No. I of II 1. Prospective Suppliers may also visit our web site (link Supplier Registration -> New Supplier Required) to know more about the requirement of new suppliers for various items in our units. 2. Registration Form may be obtained from BHEL website 3. Application for registration, with a covering letter detailing where your products can find application (if possible) in BHEL unit(s), should be sent to: Supplier Development Cell Unit Name: Bharat Heavy Electricals Ltd. City: India 4. In case registration is being sought in multiple units of BHEL, please send the separate application to each unit.. Any clarification with respect to procedure for registration may be obtained from the Supplier Development Cell of respective BHEL unit. 6. The Supplier Registration Form has four parts: Part A Organisational Information Form no. SRF(I)01 page 1 to 10 Part B Quality System Form no. SRF(I)01 - page 11 to 12 Part C Technical Competence Form no. SRF(I)01 page 13 (if sent by BHEL) Part D Score Sheet Form no. SRF(I)01 page 14 to 17 (to be filled by BHEL) The set of formats to be filled by different category of suppliers is as follows: Sl.No Supplier Category Formats 1. Indian Suppliers ( manufacturers ) - Organisational Information - Quality System - Technical Competence 2. Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal - Organisational Information SRF(I)01- Part A (page 1 to 10 except Sl. No..1,.2, 6.6, 6.7, 7 & 8) 7. All columns are to be filled up properly in the space provided for. Wherever it is not applicable, please mention Not Applicable. The form is to be signed by the authorised signatory. 8. A separate sheet may be attached if the space provided is insufficient or additional information is to be given. Please put proper identification tag on the separately attached sheet. 9. Please ensure that all required enclosures are attached with the filled up Supplier Registration Form and all enclosures are numbered & list of enclosures is given as required. 10. As multiple copies of the application forms are required for processing at our end, please do not spiral bound the application forms or its enclosures and instead send them in two hole clip flat file. 11. Incomplete forms will be rejected. 12. Any information / clarification required by BHEL during evaluation must be given expeditiously. 13. Please note that if you are registered and participate in Tender process and qualify to get order from BHEL, your performance based on Quality of your product, delivery performance and service rendered will be evaluated inline with Chapter VI. 14. Please fill up the check- list given on next page and send along with the Supplier Registration Forms to BHEL. 1. If you are attaching a document in a language other than Hindi/ English, a self attested Hindi/ English translated document may please be also attached.

39 Annexure-II Check List for Indian Supplier Registration Form Document No. AA:MM:SR:01 Revision No. 01 Page No. II of II Sl.No. Check-Point Yes/No 1. Information against all points under Organizational Information (Part-A) has been given. 2. All enclosures and supporting documents have been enclosed. 3. Summary list of enclosures has been furnished as per S.N.10 of Organisational Information form no. SRF (I) 01 & S.N 12 of Quality system form no. SRF (I) Are you an ISO 9001accredited supplier?. If yes, have you enclosed "Table of Contents of your Quality Manual and copy of ISO 9001 accreditation certificate? 6. Have you filled up Quality System format given in Part B? 7. Technical requirements, specifications, drawings, standards have been received from BHEL before filling up Technical Competence, Part C. 8. All the parts of the form & enclosures have been signed by Authorised Signatory. 9. Have you attached EFT details? (In original, Certified by the bank) 10. If you are seeking registration for a MSME company (as per MSME Act of Government of India), have you attached requisite certificate as per Act? Date : Signature & seal (Authorised Signatory) Note: This check list is to be attached with the filled up Supplier Registration Form.

40 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 1 of 17 INFORMATION WITH * MARKS IS SCOREABLE. PART- A : ORGANISATIONAL SOUNDNESS ALL COLUMNS SHOULD BE PROPERLY FILLED IN THE SPACE PROVIDED FOR, WHEREVER IT IS NOT APPLICABLE, PLEASE WRITE NOT APPLICABLE. INCOMPLETE OR INCORRECT FORMS MAY NOT BE CONSIDERED. PLEASE ATTACH SEPARATE SHEET, IF SPACE AVAILABLE IS INADEQUATE. ALL THE PAGES OF THE FORM ARE TO BE SIGNED ALONGWITH SEAL BY THE AUTHORISED SIGNATORY ORGANISATIONAL INFORMATION NAME AND CORRESPONDENCE ADDRESS OF THE SUPPLIER SEEKING REGISTRATION :- 1.0 PRODUCTS / SYSTEMS / SERVICES FOR WHICH REGISTRATION IS APPLIED FOR : SL. NO. DESCRIPTION SIZE & RANGE MFG. STD/ IS / DIN /BS ETC. SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

41 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 2 of 17 ORGANISATIONAL INFORMATION 2.0 GENERAL INFORMATION : 2.1 NAMES OF THE WORKS/DIVISION (Products manufactured at each works to be mentioned : ADDRESS : E - Mail : TELEPHONE : Landline Mobile FAX : 2.2 NAME OF CHIEF EXECUTIVE / PROPRIETOR / PARTNER & ADDRESS : 2.3 DETAILS OF AUTHORISED SIGNATORY FOR SEEKING CLARIFICATION : NAME : DESIGNATION : E - Mail : TELEPHONE : Landline Mobile FAX : SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

42 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 3 of 17 ORGANISATIONAL INFORMATION 3.0 OWNERSHIP INFORMATION : DOCUMENTS TO BE FURNISHED 3.1 GOVT. OF INDIA UNDERTAKING: OR STATE GOVT. UNDERTAKING : OR LIMITED COMPANY, : MEMORANDUM AND ARTICLES OF ASSOCIATION OR PRIVATE COMPANY : MEMORANDUM AND ARTICLES OF ASSOCIATION OR CO-OPERATIVE SOCIETY, : SOCIETY RULES AND BYE LAWS OR PARTNERSHIP FIRM, : PARTNERSHIP DEED OR PROPRIETORSHIP, : PROFESSION TAX REGN. AND MUNICIPAL REGN. ANY OTHER (SPECIFY) : 3.2 NATURE OF BUSINESS : (MANUFACTURING UNIT/ ENGG CONSULTANT/ EPC CONTRACTOR) (AGENTS/ DISTRIBUTORS/STOCKISTS/DEALERS/ TRADERS/ INDIAN SUBSIDIARY/ CHANNEL PARTNER attach authorization certificate of principal) 3.3 YEAR OF ESTABLISHMENT : * 3.4 YEAR OF COMMENCEMENT OF BUSINESS : SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

43 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 4 of 17 ORGANISATIONAL INFORMATION 4.0 REGISTRATION PARTICULARS ( FURNISH DETAILS AND ENCLOSE COPY OF CERTIFICATE FOR THE FOLLOWING) 4.1 PERMANENT ACCOUNT NO : 4.2 CENTRAL SALES TAX REGN NUMBER : 4.3 STATE SALES TAX / TIN NUMBER : 4.4 EXCISE DUTY REGN NUMBER : 4. EXCISE CONTROL CODE NUMBER : 4.6 SERVICE TAX REGN NUMBER : 4.7 CATEGORY AS PER MSMED ACT : MICRO/ SMALL/ MEDIUM REGN NO. : VALID UPTO : (Attach Certificate).0 TOTAL ORGANISATIONAL STRENGTH : (ATTACH ORGANISATION CHART) ENGINEERING : GRADUATE DIPLOMA SKILLED NON-SKILLED MANUFACTURING : QUALITY : COMMERCIAL / SERVICE AFTER SALES : OTHERS : TOTAL : *.1 POWER BACKUP : YES/ NO (GIVE DETAILS) *.2 DOES THE COMPANY SELL ITS PRODUCT DIRECTLY : YES/ NO SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

44 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page of 17 ORGANISATIONAL INFORMATION 6.0 OTHER PARTICULARS : ( FURNISH DETAILS AND ENCLOSE DOCUMENTARY EVIDENCE/ COPY OF CERTIFICATE FOR THE FOLLOWING) * 6.1 IF THE COMPANY IS ALREADY REGISTERED WITH ANY OF BHEL UNITS, GIVE : BHEL UNIT S NAME : SUPPLIER REGN. CODE NO. : ITEMS FOR WHICH REGISTERED & THEIR SPECIFICATION ( ENCLOSE PROOF OF SUCCESSFUL EXECUTION OF ONE OR MORE PURCHASE ORDERS ) : * 6.2 IS THE COMPANY APPROVED BY ASME / NTPC / NPC / EIL / DGS&D / RAILWAYS / IBR / LLOYDS ETC FOR INTENDED MATERIAL CATEGORY? : (ENCLOSE DOCUMENTARY EVIDENCE) YES / NO * 6.3 IS THE COMPANY ISO 9001 APPROVED? : YES / NO (ENCLOSE CERTIFICATE & TOC OF QUALITY SYSTEM) : * 6.4 IS THE COMPANY AN ISO APPROVED? : YES / NO (ENCLOSE CERTIFICATE) : * 6. IS THE COMPANY OHSAS APPROVED?: YES / NO (ENCLOSE CERTIFICATE) * 6.6 TECHNICAL COLLABORATOR : (FOREIGN OR INDIGENOUS) (ENCLOSE DOCUMENTARY EVIDENCE) * 6.7 R&D SET UP 6.8 DIRECTORS / PARTNERS, IF RELATED TO ANY BHEL EMPLOYEE. NAME : STAFE NO. : DESIGNATION : Unit & DEPARTMENT : RELATIONSHIP : SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

45 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 6 of 17 ORGANISATIONAL INFORMATION 6.9 IF ANY EX-BHEL PERSONNEL IS EMPLOYED BY THE COMPANY, MENTION HIS / HER DETAILS OF LAST POSTING. NAME : STAFF NO. : DESIGNATION : UNIT & DEPARTMENT : DATE OF LEAVING SERVICE : 6.10 COMPANY S WEEKLY HOLIDAYS : 6.11 EXPERIENCE LIST: WORKS OFFICE (ATTACH LIST OF PRESENT CUSTOMERS WITH NAME & ADDRESS FOR OFFERED / SIMILAR TYPE & SIZE OF ITEM / EQUIPMENT FOR WHICH REGISTRATION HAS BEEN SOUGHT AND WITH WHOM YOU HAVE CONTINUOUS BUSINESS SINCE LAST THREE YEARS. ALSO ATTACH PERFORMANCE CERTIFICATES ISSUED BY ANY TWO CLIENTS FOR SUCCESSFUL EXECUTION OF THE CONTRACTS FOR LAST TWO YEARS- FOR PEM) *6.12 DETAILS OF PENDING LEGAL ISSUES ON CONTRACTUAL ASPECTS WITH CUSTOMER, IF ANY 6.13 The following information of Bank Account of the Company, duly endorsed by the Bank (required for Electronic Fund Transfer EFT/RTGS) is to be submitted 1. Name of the Company 2. Name of Bank 3. Name of Bank Branch 4. City/Place. Account Number 6. Account type 7. IFSC code of the Bank Branch 8. MICR Code of the Bank Branch 9. Details of other Bankers (for reference purpose only) NOTE : Suppliers who have already submitted the above information are requested to submit a copy of the same. SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

46 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 7 of 17 ORGANISATIONAL INFORMATION 7.0 MANUFACTURING FACILITIES: *7.1 LIST OF MANUFACTURING FACILITIES/EQUIPMENTS (INCLUDING MATERIAL HANDLING FACILITY) SL. NO DESCRIPTION OF MACHINE/EQUIPMENT QUANTITY MAKE & YEAR OF INSTALLATION REMARKS IN CASE OF SPACE LIMITATION, PLEASE ENCLOSE ANNEXURE / CATALOGUE WITH TAG * 7.2 IF IN-HOUSE MFG FACILITIES NOT AVAILABLE, INFORM SOURCE OF MFG. DETAILS ALONGWITH THEIR FACILITIES & EXPERIENCE SL. NO PROCESS OUTSOURCED NAME OF THE COMPANY DESCRIPTION OF MACHINE / EQUIPMENT REMARKS IN CASE OF SPACE LIMITATION ENCLOSE ANNEXURE / CATALOGUE WITH TAG * 7.3 RATIO OF OUTSOURCED COST TO TOTAL PRODUCTION VALUE: SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

47 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 8 of 17 ORGANISATIONAL INFORMA TION 8.0 INSPECTION & TESTING FACILITIES: * 8.1 LIST OF INSPECTION & TESTING FACILITIES / EQUIPMENT SL. NO DESCRIPTION OF FACILITY/ EQUIPMENT & CAPACITY NOS. MAKE & YEAR OF MANUFACTURING LAST DATE OF CALIBERATION IN CASE OF SPACE LIMITATION ENCLOSE ANNEXURE / CATALOGUE WITH TAG * 8.2 IF IN-HOUSE TESTING FACILITIES NOT AVAILABLE, INDICATE SOURCE OF TESTING ALONGWITH THEIR FACILITIES & EXPERIENCE SL. NO TEST SOURCE OF TESTING DESCRIPTION OF FACILITY/ EQUIPMENT & CAPACITY APPROVAL OF EQUIPMENT/ PROCESS/PERSONNEL QUALIFICATION IN CASE OF SPACE LIMITATION ENCLOSE ANNEXURE / CATALOGUE WITH TAG Note: In case of outsourcing of major testing such as NDT, Electrical & Mechanical Testing, no marks will be awarded. However, material composition testing by chemical method from recognized laboratory shall not attract negative marking SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

48 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) 9.0 Parameter * 9.1 ORGANISATIONAL INFORMA TION FINANCIAL INFORMATION FOR THE PREVIOUS FOUR YEARS NET WORTH (Share Capital +Reserves) Growth over previous year (%) LONG TERM DEBT / LOAN * * * 9.6 DEBT EQUITY RATIO Long term Debt (9.2) Net worth (9.1) INVESTMENT IN: Land & Building 1 2 * 3 Plant & Machinery Other Fixed Assets NET CURRENT ASSETS a) Cash on hand b) Account receivable c) Inventories Total CURRENT LIABILITY a) Sundry creditors b) Interest accrued but not due c) Other liabilities Total QUICK RATIO CA - INVENT. {9.(1)-9.(1)c} Current liability {9. (2)} SALES Growth over previous year (%) * 9.7 PROFIT BEFORE TAX Growth over previous year (%) * 9.8 Whether the supplier has been referred to BIFR / NCLT / any other Govt agency ( If YES, enclose details) ANNEXURE-II Page 9 of 17 Year 1 Year 2 Year 3 Year 4 (Years in ascending order, Money value in Rs. Lakhs ) YES / NO * 9.9 Whether the supplier is a potential sick company.( If YES, YES / NO enclose details) NOTE: 1. Copies of annual accounts (Balance Sheet) for the last four years (or from date of incorporation which ever is less) along with audit report are to be submitted. The above details shall be highlighted in the Balance Sheet. 2. Status of Tax assessments done under various laws (Income Tax, VAT/Sales Tax, Excise & Service Tax, Custom) and details of disputes pending, if any, with these authorities to be submitted. SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

49 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 10 of 17 ORGANISATIONAL INFORMATION 10. LIST OF ENCLOSURES (Tags to be put on enclosures) : (i) MEMORANDUM AND ARTICLES OF ASSOCIATION / SOCIETY RULES AND BYE LAWS / PARTNERSHIP DEED/ : YES / NO PROFESSION TAX REGN & MUNICIPAL REGN. (ii) Copy of certificate of following:- PERMANENT ACCOUNT NO : YES / NO CENTRAL SALES TAX REGN NUMBER : YES / NO STATE SALES TAX / TIN NUMBER : YES / NO EXCISE DUTY REGN NUMBER : YES/ NO EXCISE CONTROL CODE NUMBER : YES / NO SERVICE TAX REGN NUMBER : YES / NO REGN NUMBER OF CATEGORY AS PER MSMED ACT : YES / NO (iii) ORGANISATION CHART : YES / NO (iv) If registered with any other BHEL Unit, LETTER OF REGISTRATION WITH BHEL UNIT : YES / NO PROOF OF SUCCESSFUL EXECUTION OF ONE OR MORE PURCHASE ORDERS : YES / NO (v) Letter of approval from ASME / NTPC / NPC / EIL / DGS&D / RAILWAYS /IBR / LLOYDS ETC : YES / NO (vi) Accreditation certificate for ISO: 9001 : YES / NO TOC of Quality System Manual : YES / NO ISO : : YES / NO OHSAS, ISO : YES / NO (vii) Letter regarding technical collaboration : YES / NO (viii) Experience List / Performance certificate : YES / NO (ix) Balance Sheet for the last four years along with audit Report : YES / NO (x) Principal s authorization in case of dealers/ agents : YES / NO (xi) EFT Bank s certificate : YES / NO I /WE GIVE THE UNDERTAKING THAT BHEL DRAWINGS & SPECIFICATIONs SHALL NOT BE USED IN ANY WAY DETRIMENTAL TO THE INTEREST OF BHEL AND/ OR FOR SUPPLY OF ANY MATERIAL, PRODUCT OR SERVICES DIRECTLY OR INDIRECTLY TO ANY OTHER CUSTOMER. Maximum Marks = 0 Negative Marks = -13 Minimum Qualifying marks = 30 SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

50 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) FORM NO. SRF(I) 01 Part B (QUALITY SYSTEM): ANNEXURE-II Page 11 of 17 Sl. No PARAMETERS SYSTEM IN EFFECT (Tick if exists & provide evidences if ticked in written procedure) Written Practice Procedure RECORDS (Tick if available & submit evidences) REMARKS 1* Incoming Material Control System Furnish a copy of system and organization. 2* In process control Furnish at least one work instruction & record of process control parameter 3* Manufacturing / Testing Procedure Qualification Procedure Qualification specification may be submitted 4* Personnel qualification for 3 above. Record of Personnel qualification (PQR) to be submitted * Calibration system Submit list of instrument 6* System of Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. 7* System of Storage, Preservation, Painting & packing 8* System of NCR disposition & corrective preventive action 9* Customer complaints handling system & their calibration status Copy of procedure to be submitted Copy of procedure to be submitted Two copies of NCR & CAPA Submit list of customer complaints & status for the last three years 10* Safety measures Submit copy of safety system & Record of accidents for last three years 11 Any other quality initiative SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

51 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) FORM NO. SRF(I) 01 Part B (QUALITY SYSTEM): ANNEXURE-II Page 12 of LIST OF ENCLOSURES (i) Copy of system of control incoming materials and organization chart (ii) Copy of at least one process control work instruction (iii) Record of process control parameter (iv) Copy of at least one Procedure Qualification specification (v) Record of Personnel qualification (PQR) (vi) List of instrument & their calibration status (vii) Copy of procedure for Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. (viii) Copy of procedure for Storage/ preservation/ painting & packing (ix) Copies of two NCRs and their CAPA. (x) List of customer complaints & status for the last three years (xi) Copy of safety system (xii) Record of accidents for last three years Maximum Marks = 2 Minimum Qualifying marks = 1 SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

52 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) ANNEXURE-II Page 13 of 17 amdt.-04 FORM NO. SRF(I)01 Part C: TECHNICAL COMPETENCE Technical competence shall be evaluated in two parts viz. common competence and product/ material category specific competence. (i) COMMON TECHNICAL COMPETENCE TECHNICAL COMPETENCE ( where design specification is given by BHEL ) MARKING RANGE Marking range, if product specific technical competency not required 1. Supplier understands the product specification. (0-3) (0-8) 2. Supplier understands the inspection requirements. (0-2) (0-) 3. Supplier has process capability to achieve the product (0-3) (0-8) specification/dimensional requirement. 4.Supplier has experienced manpower to carry out the job. (0-2) (0-4) SUPPLIER RESPONSE (ALONG WITH SUPPORTING DOCUMENTS)# MARK S BY BHEL TOTAL MARKS OUT OF POSSIBLE 10 2 TECHNICAL COMPETENCE (where performance specification is given by BHEL) MARKING RANGE Marking range, if product specific technical competency not required 1. Design capability (0-3) (0-8) 2. Adequacy of quality assurance plan (0-2) (0-) 3. Process capability for components (0-3) (0-8) 4. Adequate of testing (0-2) (0-4) TOTAL MARKS OUT OF POSSIBLE Average of Total (Total/3) = OR PROCEDURE SUPPLIER RESPONSE (ALONG WITH SUPPORTING MARKS BY BHEL SYSTEM IN EFFECT SUPPLIER RESPONSE (ALONG WITH SUPPORTING (ii) PRODUCT/ MATERIAL CATEGORY SPECIFIC TECHNICAL COMPETENCE (Max Marks: 1) Unit MISCC to structure the parameters to be considered for the technical competence depending on material category. The score of individual parameter selected is to be decided by MISCC. MISCC shall identify the requirement of enclosures to be furnished by supplier. Product: Sl. Material No category. Tech Parameter Supplier s response Refer Format No: M-1, B-1 & R-1 Remarks To be filled up only on receipt of technical requirements/ specification, drawings, standards from BHEL and to be sent to BHEL for further scrutiny. Enclose documentary evidence where ever required. LIST OF ENCLOSURES: Maximum Marks = 2 Minimum Qualifying marks = 1 # No marks is to be given by the supplier. Only supplier response along with supporting documents. MARKS BY BHEL RECORDS SUPPLIER RESPONSE (ALONG WITH SUPPORTING MARKS BY BHEL SUPPLIER S AUTHORISED SIGNATORY BHEL CERTIFIED ASSESSOR

53 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) Part D : SCORE SHEET 1. ORGANISATIONAL SOUNDNESS (for Manufacturers): S.N. PARAMETER CRITERIA 1. Whether all relevant information like ownership, PAN no., Yes: 2 sales tax no., excise duty no., etc. submitted No: YEAR OF COMMENCEMENT OF BUSINESS More than years : 2 1- years : 1 2 Less than 1 year : POWER BACKUP Yes : 1 1 No : DOES THE COMPANY SELL ITS PRODUCT Yes : 1 1 DIRECTLY. 6.1 REGISTERED WITH ANY OF BHEL UNITS No : 0 Yes (same item) : 2 Yes (another item) : 1 No : APPROVAL BY ASME/ NTPC/ NPC/ EIL/ DGS&D/ Yes : 2 RAILWAYS/ IBR/ LLOYDS ETC No : ISO 9001 ACCREDITATION Yes : 3 No : ISO ACCREDITATION Yes : 1 No : OHSAS ACCREDITATION Yes : 1 No : TECHNICAL COLLABORATOR : Yes : 1 (FOREIGN OR INDIGENOUS) No : R & D SET UP Yes : 1 No : PENDING LEGAL ISSUES ON TECHNO Yes : - COMMERCIAL ASPECTS WITH CUSTOMER No : & 7.2 MANUFACTURING FACILITIES INCLUDING OUTSOURCING RATIO OF OUTSOURCED COST TO TOTAL PRODUCTION VALUE INSPECTION & TESTING FACILITIES Adequate : 3 Substantial : 2 Inadequate : 0 Less than 10% : 2 10 to 30 % : 1 More than 30% : 0 Adequate : 2 Substantial : 1 Inadequate : 0 Yes : 0 No : OUTSOURCING OF MAJOR TESTING FACIILTY 1 (Refer Note) TOTAL 2 ANNEXURE-II Page 14 of 17 Maxm. Marks 1. ORGANISATIONAL SOUNDNESS (for Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal): S.N. PARAMETER CRITERIA 1. Whether all relevant information like ownership, PAN no., sales tax no., etc. submitted (clause 6.0 of chapter V to be referred in this regard) Yes: 7 No: YEAR OF COMMENCEMENT OF BUSINESS More than 3 years : years : 1 Less than 1 year : REGISTERED WITH ANY OF BHEL UNITS Yes (same item) : 2 Yes (another item) : 1 No : 0 Yes : 2 No : APPROVAL BY ASME/ NTPC/ NPC/ EIL/ DGS&D/ RAILWAYS/ IBR/ LLOYDS ETC. 6.3 ISO 9001 ACCREDITATION Yes : 2 No : PENDING LEGAL ISSUES ON TECHNO Yes : - COMMERCIAL ASPECTS WITH CUSTOMER No : 0 BHEL CERTIFIED ASSESSOR Maxm. Marks Marks Awarded Marks Awarded

54 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) Part D: SCORE SHEET 2. FINANCIAL INFORMATION (for Manufacturers): S.N. PARAMETER CRITERIA Growth of Net Worth over previous year (%) Average of three years to be worked out DEBT EQUITY RATIO Long term Debt (9.2) Net worth (9.1) QUICK RATIO CA - INVENTORIES {9.(1)-9.(1)c} Current liability {9. (2)} Growth in Sales over previous year (%) Average of three years to be worked out. 9.7 PROFIT BEFORE TAX Growth over previous year (%) Whether the supplier has been referred to BIFR / NCLT/ any other similar Govt agency Whether the supplier is a potentially sick company More than 20 % : % : 4 10 % : 3 > 0 & < % : 2 0 or below : 0 1 : 1 : 1.1 upto 1. : 1 : upto 2.0 : 1 : & above : 1 : 2 1 : 1 : 1 : 1 upto 1. : 4 1 : 1. upto 1.7 : 3 1 : 1.7 upto 2. : 2 1 : > 2. : 0 More than 3% : 20-3 % : % : 3 10 % : 2 > 0 & < % : 1 0 or negative : 0 More than 20 % : % : 4 10 % : 3 > 0 & < % : 2 0 or below : 0 Yes: - No : 0 Yes: -3 No : 0 Maximum Marks 0 0 ANNEXURE-II Page 1 of 17 Marks Awarded TOTAL 2 Note: If the supplier is new in business and does not have past data, then the evaluation will be done on the basis of information provided by him and will be decided by MISCC. 2. FINANCIAL INFORMATION (for Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal): S.N. PARAMETER CRITERIA Maximum Marks Marks Awarded Growth in Sales over previous year (%) Average of three years to be worked out PROFIT BEFORE TAX Growth over previous year (%) More than 3% : 20-3 % : 4-20 % : 3 >0 - % : 2 0 or negative : 0 More than 20 % : 20 % : 4 >0 % : 3 0 or below : 0 BHEL CERTIFIED ASSESSOR

55 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) Part D : SCORE SHEET 3. QUALITY SYSTEM : ANNEXURE-II Page 16 of 17 S.N. PARAMETER CRITERIA 1. Incoming Material control System System availability : Yes: 1 No : 0 Availability of Organisation chart Yes: 1 No : 0 2. Process control Work instruction available: Yes: 1 No : 0 3. Manufacturing / Testing Procedure Qualification Record of process Control : Available : 2 Partial record : 1 Not available: 0 Procedure Qualification Specification : Adequate : 3 In adequate: 1 Not available : 0 4. Personnel qualification Record of PQR: Adequate : 3 In adequate: 1 Not available : 0. Calibration system Adequate : 3 In adequate: 1 Not available : 0 6. System of Identification & Traceability of materials, tools, jigs, fixtures & processed components, etc. 7. System of Storage/ preservation/ painting & packing 8. System of NCR disposition & corrective preventive action 9. Customer complaints handling system Procedure available : Adequate : 2 In adequate: 1 Not available : 0 Procedure available : Adequate : 2 In adequate: 1 Not available : 0 Two copies of NCR & CAPA Available :2 Not available : 0 System available : Yes: 1 No : 0 Complaints registered & resolved : 2 Complaints registered & partially resolved : 1 Complaints not registered or not resolved : 0 Maxm. Marks Safety measures System available : Yes: 1 1 No : 0 Record available : Yes: 1 1 No : 0 TOTAL Marks Awarded BHEL CERTIFIED ASSESSOR

56 BHARAT HEAVY ELECTRICALS LIMITED SUPPLIER REGISTRATION FORM FORM NO. SRF(I) 01 (INDIAN SUPPLIER) Part D : SCORE SHEET 4. TECHNICAL COMPETENCE Maximum Marks A. Common Technical Competence (1) Marks obtained (2) ANNEXURE-II Page 17 of 17 amdt.-04 And/ or B. Product Specific Technical Competence Column no. 1 to 4 to be filled by MISCC before sending to supplier. Column no. to be filled by BHEL certified Assessor after evaluation of supplier response. Sl. No (1) Parameter (2) Scoring criteria (3) Maximum Marks (4) Marks obtained () Sub-Total 1 TOTAL (A+B): 2 ( ) SUMMARY: Sl. Maxm Qualifying Marks Criteria No Marks marks * obtained 1. Organisational Soundness 0 30 Recommended : Financial Information 2. Quality System Technical Competence 2 1 TOTAL *Minimum Qualifying Score in Each category shall be 60%. REGISTRATION CRITERIA: Recommendation for registration Permanent code /Development code/ Trial code Not recommended Sl. No Score Recommendation 1. More than 90 Supplier is to be registered and given Permanent code, Normally no visit is called for. 2. >7 <=90 Supplier may be visited if recommended by MISCC or to be registered and given permanent code. 3. >=60 <=7 Supplier may carry out suggested improvements if advised by MISCC Supplier s visit is mandatory. Trial/ Development code may be given. 4. Less than 60 Not to be registered Note: Indian Stockist/ Trader/ Distributor/ Dealer/ Authorised Agent/ Channel partner/ Indian Sales office or Subsidiary of registered foreign principal are to be awarded marks on pro-rata basis and registered accordingly. Signatures: MISCC and Suppler Evaluation Team (in case of visit) 1) 2) 3) 4) ) 6) BHEL CERTIFIED ASSESSOR

57 Annexure-III GUIDELINES TO FOREIGN SUPPLIERS FOR FILLING UP SUPPLIER REGISTRATION FORM Document No. AA:MM:SR:01 Revision No. 01 Page No. I of II 1. Prospective Suppliers may also visit our web site (link Supplier Registration -> New Supplier Required) to know more about the requirement of new suppliers for various items in our units. 2. Registration Form no. SRF(F)01 may be obtained from BHEL website 3. Application for registration, with a covering letter detailing where your products can find application (if possible) in BHEL unit(s), should be sent to: Supplier Development Cell Unit Name: Bharat Heavy Electricals Ltd. City: India 4. In case registration is being sought in multiple units of BHEL, please send the separate application to each unit.. Any clarification with respect to procedure for registration may be obtained from the Supplier Development Cell of respective BHEL unit. 6. All columns are to be filled up properly in the space provided for. Wherever it is not applicable, mention it as Not Applicable. The form is to be signed by the authorised signatory and submitted in original. 7. Please attach separate sheet if the space provided is insufficient. For any other information also, separate sheet may be attached. 8. Any information / clarification required by BHEL during processing of registration must be given expeditiously. 9. Please ensure that all required enclosures are attached with the filled up Supplier Registration Form and all enclosures are numbered & list of enclosures is given as required. 10. As multiple copies of the application forms are required for processing at our end, please do not spiral bound the application forms or its enclosures and instead send them in two hole clip flat file. 11. Please fill up the check- list given on next page and send along with the Supplier Registration Forms to BHEL. 12. Please note that if you are registered and participate in Tender process and qualify to get order from BHEL, your performance based on Quality of your product, delivery performance and service rendered will be evaluated inline with Chapter VI. 13. If you are attaching a document in a language other than English, a self attested English translated document may please be also attached.