east central railway head quarter personnel...

OPEN TENDER NO. ECR/CPO/AADHAAR/1/2015 of 90

Signature of Tenderer/s

Date

EAST CENTRAL RAILWAY

HEAD QUARTER

PERSONNEL DEPARTMENT

TENDER DOCUMENT

OF

OPEN TENDER NO.: ECR/CPO/AADHAAR/1/2015

DATE OF OPENING: 12.02.2016

NAME OF WORK: ALLOTMENT OF AADHAAR NUMBERS TO RAILWAY

EMPLOYEES (PAST & SERVING) AND THEIR FAMILY MEMBERS OF EAST

CENTRAL RAILWAY

COST OF TENDER DOCUMENT: RS. 5000/-

OFFICE OF THE

CHIEF PERSONNEL OFFICER

GROUND FLOOR, RAIL NIKETAN

EAST CENTRAL RAILWAY HEAD QUARTER

HAJIPUR – 844101 (BIHAR)



Date


HEAD QUARTER

TENDER NOTICE NO.: ECR/CPO/AADHAAR/1/2015

DEPARTMENT: PERSONNEL OFFICE: CPO/EAST CENTRAL RAILWAY

1. Tender Notice No. & Date: ECR/CPO/AADHAAR/1/2015

DT. 01.01.2016

2. Name of the work & location: ALLOTMENT OF AADHAAR NUMBERS TO

RAILWAY EMPLOYEES (PAST & SERVING) AND

THEIR FAMILY MEMBERS OF EAST CENTRAL

RAILWAY

3. Tender Value: Rs. 93,92,280.00 (rupees ninety three lakh ninety

two thousand two hundred eighty only).

4. Cost of Tender Document: Rs. 5000.00 (rupees five thousand only) –

Non-refundable

5. Address of the office from

where the tender form can be

purchased:

Office of the Chief Personnel Officer, Ground

Floor, Rail Niketan, East Central Railway Head

Quarter, Hajipur – 844101 (Bihar) on any

working days between 11.01.2016 to 11.02.2016

from 11.30 hrs to 16.00 hrs on production of

money receipt from Coaching Supervisor, East

Central Railway, Hajipur station.

6. Earnest Money to be

deposited:

Rs. 1,87,850.00 (rupees one lakh eighty seven

thousand eight hundred fifty only)

7. Completion period of the

work:

180 days from the date of receipt of letter of

acceptance.

8. Date & Time for submission of

tender and opening of tender:

Date of submission of Tender paper is up to 13.30

hours of 12.02.2016 & date of opening is 12.02.2016

at 14.00 hrs.

9. Website particulars and notice

board location where

complete details of tender can

be seen and tender paper can

be downloaded:

Websites: www.ecr.indianrailways.gov.in and

www.tendertimes.com

Location of Notice Board: Office of the Chief

Personnel Officer, Ground Floor, Rail Niketan,

East Central Railway Head Quarter, Hajipur –

844101 (Bihar)

10 Tender schedule Available as Annexure – I of this document

GENERAL MANAGER (P)

EAST CENTRAL RAILWAY, HAJIPUR

FOR AND ON BEHALF OF PRESIDENT OF INDIA

http://www.ecr.indianrailways.gov.in/

http://www.tendertimes.com/



Date

EAST CENTRAL RAILWAY: HEAD QUARTER



NAME OF THE WORK: ALLOTMENT OF AADHAAR NUMBERS TO RAILWAY

EMPLOYEES (PAST & SERVING) AND THEIR FAMILY MEMBERS OF EAST CENTRAL

RAILWAY

1. SUBMISSION OF TENDER FORMS:

(a) Chief Personnel Officer, East Central Railway, Hajipur on behalf of the

President of India invites sealed tender for the above work only from the agencies

empanelled by UIDAI for undertaking demographic and biometric data collection for

enrolment of residents.

(i) Non-transferable Tender Documents containing detailed description of the Schedule of

Works along with other terms & conditions can be obtained from the office of the Chief

Personnel Officer, East Central Railway, Hajipur in cash deposition to Coaching Supervisor,

East Central Railway, Hajipur station.

(ii) In case the tenderer wishes to obtain the Tender documents by post, Rs. 500 (rupees

five hundred only) extra towards postal charges for each Set of Document to be remitted by

MO/TMO in favour of Chief Personnel Officer, East Central Railway, Hajipur. The Railway is

not responsible for delay, loss or non-receipt of tender document sent by post.

(iii) The Tender Document is also available at our website www.ecr.indianrailways.gov.in

and www.tendertimes.com which can be downloaded and used as tender document for

submitting the offer. The Tender Document cost for the downloaded tender to be submitted

in the form of Demand Draft/Pay Order on any nationalized bank in favour of “FA&CAO,

East Central Railway” along with the tender document. In case of any discrepancy between

the tender document downloaded from the internet and the master copy kept at this office,

later shall prevail and will be binding on tenderer.

Tender must be enclosed in sealed cover superscribing tender number as above and must be

sent to the address of Chief Personnel Officer, East Central Railway, Hajipur so as to reach his

office not later than 13.30 hrs on 12.02.2016 and should be deposited in the special box

allotted for the purpose in the office of Chief Personnel Officer, East Central Railway,

Hajipur. The box will be sealed at 13.30 hrs. on 12.02.2016 Tender received after the time

and date specified above shall not be considered. Any tender delivered or sent otherwise will

be at the risk of tenderers. In case the date of opening happens to be holiday, the tender will

be received and opened on the next working day with the same timings.

(b) Offer received incomplete will be summarily rejected.

(c) Tenders received in the office of Chief Personnel Officer, East Central Railway, Hajipur

after the scheduled time of closing of the tender, shall be classified as “Delayed/late tender”

even if posted by the tenderer sufficiently in time. The administration is not responsible either

for the loss in the transit or late/delayed receipt of tender. Late/delayed tender will be

summarily rejected.

http://www.ecr.indianrailways.gov.in/

http://www.tendertimes.com/



Date

(d) The tenders will be opened at 14.00 hrs on 12.02.2016 and rates read out in the

presence of such tenderer who choose to be present.

2. DOCUMENTS TO ACCOMPANY THE BID/TENDER:

The following documents shall accompany the offer:

(i) Covering letter in the specified format as given in Annexure – A;

(ii) Earnest money, in original;

(iii) Eligibility criteria:

(a) The Tenderer should have completed at least one similar single work, for a minimum

value of 35% of advertised tender value of work in last three financial year, i.e.,

current year and 3 previous years.

(b) The Tenderer should have total contract amount received during last three years and

in current financial year should be a minimum of 150% of advertised tender value of

work. The tenderer should satisfy about the authenticity of the certificates by

submitting attested certificate from the employer/client, audited balance sheet duly

certified by the Chartered Accountant etc. Tenders submitted without the above valid

credential may not be considered as valid tender.

(c) The tenderer should be empanelled by UIDAI for undertaking the demographic and

Biometric data collection of past and serving railway employees and their family

members residing under the geographical area of East Central Railway and outside

within India. The agencies which have been de-empanelled by UIDAI recently cannot

take part in the tender. The Bidders shall submit a copy of the Letter of Empanelment

issued by UIDAI duly indicating the level and tier as well as the list of States, the

Bidder is eligible to work in. Non-submission of the letter of empanelment may be

grounds for disqualification.

(Note: Similar Work for this instant tender is collection of demographic and biometric data

for generation of UID number).

(d) Agencies empanelled by UIDAI and working on Joint Venture basis are also eligible.

3. RATES:

(a) The rates shall be quoted both in the figures and words for each item, mentioned in

schedule of works. Only one rate is to be quoted for each item.

(b) If there is variation between the rates quoted in figures and in words, the lower

quoted rate shall be taken as correct. If more than one or improper rates quoted by

the tenderer for the same item, the offer is liable to be rejected.

(c) The rates quoted by the tenderer shall be inclusive of all taxes, royalty, octroi etc.,

whenever liable should be included in the rates. No claim for octroi or any other taxes

etc. shall be entertained by the Railway at any later stage and on any ground

whatsoever. Rate should be quoted inclusive service tax if applicable.

4. EARNEST MONEY & SECURITY DEPOSIT:

Tenderer shall be required to deposit a sum of Rupees one lakh eighty seven thousand

eight hundred fifty only (Rs. 1,87,850.00) towards the earnest money with the Tender.



Date

Earnest money may be furnished either in cash with the Coaching Supervisor, East

Central Railway, Hajipur station or in any of the following forms:

(a) Pay order or demand drafts. These should be either of the State Bank of India or of

any Nationalised Banks or scheduled Banks. No confirmation advice from the Reserve Bank

of India will be necessary.

(b) Pay orders and demand drafts should be drawn in favour of “FA&CAO, East Central

Railway”. These instruments should be at least for the period covering the contract and the

maintenance period.

The tender must be accompanied by a sum of rupees one lakh eighty seven thousand

eight hundred fifty only as earnest money deposited in cash or in any of the forms mentioned

above failing which the tender will not be considered and will be summarily rejected. The

tenderer shall hold the offer open till such date as may be specified in the tender. It is

understood that the tender documents have been sold/issued to the tenderer and the tenderer

is being permitted to tender in consideration of the stipulation his part that after submitting

his tender he will not resile from his offer or modify the terms and conditions thereof in a

manner not acceptable to the Railway, should the tenderer fail to observe or comply with the

foregoing stipulation, the amount deposited as earnest money for the due performance for

the above stipulation shall be forfeited by the Railway.

If the tender is accepted, the amount of Earnest money will be held as part of security

deposit for the due and faithful fulfillment of the contract. The earnest money of the

unsuccessful tenderer will be returned to the unsuccessful tenderer, but the Railway shall not

be responsible for any loss or depreciation that may happen to the security for the due

performance of the above stipulation, to keep the offer open for the period specified in the

tender documents or to the earnest money while in their possession nor be liable to pay

interest thereon.

5. SCOPE OF WORK:

The scope of work of the Enrolling Agency (EA) is defined below:

(a) Functional scope

(b) Geographical scope

5.1 Functional Scope:

The functional scope of this engagement shall include all the steps from setting up an

enrolment station/centre for enrolment of past and serving railway employees and their

family members for “UID Implementation project in East Central Railway” up to providing

requisite MIS reports to Registrar and UIDAI on enrolments completed on a daily basis till the

whole enrolment operation for the targeted population is completed. The functional scope

shall also include the collection of demographic details as per the KYR+ data requirements of

Railways. The Enrolling Agency shall also be responsible for delivering additional services as

required by the Registrar through this Contract.

5.1.1 Procure Biometric Devices as per UIDAI Specification:

The enrolling agency for capture of biometric data at the enrolling station should

procure web/digital camera confirming to UIDAI specifications and biometric devices (for

fingerprint and iris capture), certified by UIDAI appointed agencies.



Date

5.1.2 Setting up of Enrolment Stations and Enrolment Centers:

The number of enrolment stations/centers and the duration shall be planned by

Enrolment Agency and approved by the Registrar taking into account a number of factors like

population density, geographical and topographical features, accessibility etc. The Supplier

will set up a Permanent Enrolment Station as per the guidelines of the Purchaser anywhere

unde the geographical area of East Central Railway and outside within India.

The empanelment agency may need some mobile stations for enrolment process. A

mobile enrolment station in this context would mean an enrolment station housed in a

mobile vehicle with facilities as defined in this section and shall move around in the catchment

area (locality) assigned until the enrolment of the target population in the locality is

completed.

The exact location and catchment area of the stationary enrolment station and

catchment area for the stationary/mobile enrolment station shall be planned by the

Enrolment Agency and the same should be approved by the registrar.

The process for setting up Enrolment centre and sub process flow is defined below:

Resident Enrolment Process Flow

Exe

cu

tio

n O

wn

ers

hip

: E

nro

lme

nt C

en

tre

Enrolment Process – L1 Flow

UIDAI & RegistrarEnrolment Centre

Start

1. Setup

Enrolment

Center Sub

Process

2. Capture

Demographic &

Biometrics Data

Sub Process &

Ready for

Transfer

End

3. Process ,

Sample Data

Audit and

feedback



Date

Resident Enrolment Process Description

S.No Step Responsibility Reference

Start

This process begins when an Enrolment Agency is ready

to start enrolling residents. To begin enrolments,

Enrolment Agency needs to Setup Enrolment Centre. Go

to Step 1.

1. Setup Enrolment Centre

Initiate sub process Setup Enrolment Centre. This

contains details on setting up an enrolment centre.

Enrolment Agency Setup

Enrolment

Centre

2. Capture Demographic and Biometric Data and Ready for

Transfer

After an enrolment centre is ready, Enrolment Agencies

can begin the process of capturing residents’ demographic

and biometric data. For details on how to capture data,

go to sub process Capture Demographic and Biometric

Data.

After Data Capture, Data files are to be ready at

identified/specified location for transfer to CIDR.

Refer external process for 1st Mile logistics which

prescribes the methods by which the data has to be

transferred to the Authority. The enrolling agencies are

therefore advised to obtain these instructions before they

proceed to collect the demographic and biometric data

of the willing enrolees.

The Unique Identification Authority of India (UIDAI)

accords highest importance and primacy to the security

of data collected on the enrolees who enrol themselves

to obtain Unique Identification Numbers. It is the

responsibility of the enrolling agencies to make sure that

the data is kept in a very secure and confidential manner

and under no circumstances shall they use the data

themselves nor part with the data to any other agency

than the UIDAI. Privacy of an individual’s data is

accorded utmost importance by the UIDAI. If there is any

violation of privacy by the enrolling agency or through

its employees, contractual or otherwise, there shall be a

breach of contract, apart from attracting the penal

provisions of the Act which will govern the operations of

the Authority.

Enrolment Agency Capture

Demograp

hic and

Biometric

Data and

Ready for

Transfer

Sub Process

External

process for 1st

Mile logistics

Process



Date


3. Process , Sample Data Audit and feedback

UIDAI may do sample data audits for quality. This will

reduce the chances of enrolment failures/rejections later

due to poor data quality.

Registrar should audit adherence to process by enrolment

agency to prevent malpractices. These audits may be

conducted by the Registrar, a 3rd party appointed by the

Registrar or by any other party/mechanism deemed fit by

the Registrar.

UIDAI may also undertake sample process audit during

enrolment and also provide feedback on the audit

conducted by the Registrar.

Based on feedback, Enrolment Agency may need to make

some adjustments/changes in its process.

UIDAI and

Registrar

End



Date

Setup Enrolment Centre Sub Process Flow

Exe

cu

tio

n O

wn

ers

hip

: E

nro

lme

nt C

en

tre

Setup Enrolment Centre Sub Process Flow

UIDAIEnrolment Centre

(Supervisor)Registrar

Start

1. Identify

Suitable

Locations for

Centre

2. Decide No. of

Stations for Each

Centre

4. Share Pre-

Enrolment Data

3. Deploy

Required

Devices,

Hardware &

Software

9. Ensure

availability of

certified

Operators,

Supervisors

10. Ensure Site

Readiness As Per

Checklist

11. Audit Site

Readiness As Per

Checklist

End

Q

Q

5. Load Pre-

enrolment Data, If

Applicable

7. Create

Awareness

8. Help Create

Awareness

6.Share

Awareness and

Publicity Content

Setup Enrolment Centre Sub Process Description




Date


C Start

To setup enrolment centres, activities that need

to be initiated are:

Step 1 Identify suitable locations for

Enrolment

Step 4 Share Pre-Enrolment Data, if used

Step 6 Ensure Availability of Certified

Operators, Supervisors

Step 7 Share Awareness and Publicity

Content

1. changed Identify Suitable Locations for Centre.

Enrolment Agency shall identify the locations

for enrolments and get them approved by

Registrar. Registrar will provide all the help

possible for identification and availability of

these locations.

Enrolment

Agency

2. changed Decide Number of Stations for Each Centre

Enrolment agency shall prepare a detailed

work plan about number of stations and get that

approved by the Registrar.

Enrolment

Agency

3. Deploy Hardware, Software for Enrolment

Ensure all hardware and software as per standard

UIDAI guideline are deployed at the enrolment

centre. Test the hardware / software for proper

working.

Enrolment

Agency

Checklist for

Setting up

Enrolment

Centre

4. Share Pre-enrolment Data Available, if Used

Where applicable, share the pre-enrolment data /

beneficiary database with Enrolment Agencies for

carrying out the enrolments. The details of the

database need to be discussed and sent to UIDAI

in advance in prescribed format and aligned to

UIDAI requirements as per technology integration

toolkit.

Registrar

KYR

Standards for

Collecting

Demographic

Data

5. Load Pre-enrolment Residents Data on the

Enrolment Station Laptop

Load and test beneficiary database on enrolment

centre laptops / desktops and ensure it is

accessible / searchable.

Enrolment

Agency



Date


6. Share Awareness and Publicity Content

Share awareness and publicity content, as detailed

in the external process, with the Registrar. Guide

them in adapting the content / communication.

UIDAI

7. Create Awareness in Target Beneficiaries /

Residents

Ensure right communication reaches the target

resident groups with respect to timing and

location for enrolment centres, benefits of

enrolling etc.

Registrar

8. Help Create Awareness

Enrolment Agency needs to assist the Registrar in

communication and generating resident

awareness. The role of the enrolment agency

should be limited to publishing the content

provided by the UIDAI/ Registrars. The EA should

not add to / modify /delete the content provided

by Registrar/ UIDAI.

Enrolment

Agency

9. Ensure Availability of Certified Operators,

Supervisors

Although training is not mandatory, certification

is mandatory for Operators. Ensure certified

Operators and Supervisors are available at

enrolment centres. The no. of certified Operators

should be more than the no. of stations for job

rotation and avoiding Operator fatigue.

The supervisor is required to handle any situation

that requires immediate attention and handle

exceptions at the enrolment centre itself and

inform the Registrar subsequently.

Technical personnel for attending power /system

/ biometric instrument related maintenance

problems should be available on call in a centrally

located place covering about six enrolment

centres so that the downtime can be minimized.

Proceed to Step 10. Ensure Site Readiness and Fill

Checklist.

Enrolment

Agency

10. Ensure Site Readiness and Fill Checklist

Ensure the enrolment centre is setup as per

Checklist for Setting up Enrolment Centre.

Document exceptions, if any, and sign-off the

checklist.

Enrolment

Agency

Checklist for

Setting up

Enrolment

Centre



Date


11. Audit Site Readiness

Audit enrolment centre for readiness using

Checklist for Setting up Enrolment Centre. The

Registrar’s supervisor will also sign-off the

checklist.

Registrar

(Supervisor)

End

The minimum facilities in the setup are as below:

a. Setting up of Enrolment station

Enrolment Station refers to an individual enrolment booth/enclosure inside the

Enrolment Centre. The capture of Demographic and Biometric data is done in this

Station.

(i) An enrolment station including a mobile enrolment station shall be equipped

with all the necessary machinery which include:

Mandatory Requirements

A Enrolment Station

A.1 Laptop with windows OS available

A.2 UIDAI software installed, tested, configured, registered with CIDR as per

installation and configuration manual

A.3 List of Introducers loaded on laptop

A.4 Iris capturing device available(record Make & Model)

A.5 Fingerprint capturing device available(record Make & Model)

A.6 Digital Camera(record Make & Model)

A.7 White back ground screen available for taking photographs

A.8 Extra monitor for residents to verify their data (15-16" with a resolution

above 1024x768)

A.9 All devices as per UIDAI standards

A.10 Testing of equipment at all enrolment stations

A.11 Data backup device (4 GB pen drive sufficient for 1 centre/day i.e. ~5

stations)

A.12 Printer ( A4 laser printer; must print photo with good quality receipt)

A.13 Printer Paper( Inventory for 5 stations for 10 days ~ 20 rims)

A.14 GPS Receiver (USB/built in)

A.15 Antivirus / Anti Spyware checks

A.16 Data Card /Internet connectivity for Enrolment Client to be online every 24-

48 hrs



Date

A.17 All Operators and Supervisors enrolled into AADHAAR and registered with

CIDR

A.18 The pre-enrolment data from the Registrars, if used, is available for import

on laptops

A.19 If Registrar has additional fields to be captured , then the KYR+ software for

capturing the KYR+ fields is configured and tested

(b) Setting up of Enrolment Centre

Enrolment Centre refers to the premises located in the area where the

enrolment is being carried out. The location for the enrolment center and number of

enrolment stations per center shall be determined by the Enrolling agency and

approved by the Registrar.

The process for setting up Enrolment centre is defined in Set up Enrolment

centre sub process flow.

The enrolment plan and schedule for the center shall be prepared by the

Enrolment Agency and shared with the registrar. One Enrolment Centre can host a

single or multiple Enrolment Stations.

Following are the specifications for a stationary/mobile enrolment center:

Mandatory Requirements

B Enrolment Centre

B.1 Backup power supply (generator) of 2 KVA capacity for every five

enrolment stations kept in a centre

B.2 Fuel to run the generators

B.3 Printed enrolment forms for filling data available in sufficient numbers

B.4 Adequate lighting, fans & power points for plugging various biometric

devices available

B.5 Local authorities informed of enrolment schedule

B.6 Introducers informed of enrolment schedule

B.7 Banner for the Enrolment Centre placed at entrance

B.8 Posters depicting enrolment process in English & the local language present

in visible places

B.9 Grievance handling Helpline Number and other important numbers

displayed prominently inside/outside the enrolment centre

B.10 The User Manual of the software available for ready reference & operators

aware of the same

B.11 Sponge for wetting and hand-cleaning cloth available

B.12 Photocopier and Scanning facility available

Desired



Date

C Other Logistics

C.1 Mobile phone/ Land phone/Internet available for immediate

communication with UIDAI /Registrars etc

C.2 Extension box for Power Cord

C.3 Water, soap and towel for cleaning hands and moisturizer

C.4 Drinking water facility available

C.5 Sufficient number of tables and chairs for enrolment station operators

C.6 Chairs/benches available in shade for waiting enrollees

C.7 Hall / room spacious & furniture organized to minimize movement of

enrollee while capturing biometric information

C.8 At least one station is suitable for physically challenged, pregnant women,

women with infants and elderly enrollees. This station is clearly marked

with a visible banner.

C.9 Carry cases for all devices available

C.10 Material for cleaning biometric instruments and laptops as specified by

device manufacturers

C.11 A separate enclosure to enroll “purdah-nasheen” women available

C.12 Sufficient no. of operators available for job rotation & preventing operator

fatigue

C.13 Lady operators / volunteers to assist women enrollees

C.14 Security arrangement in place to stop enrolees from carrying bags /

suitcases or any other material into the enrolment centres

C.15 A ramp is provided for disabled and old age people

C.16 First aid kit available

C.17 ORS kit available for areas in extreme heat conditions

C.18 Scanner (Optional as per Registrar’s mandate)

C.19 Bar Coded Stickers (Optional as per Registrar’s mandate)

C.20 Bar Code Reader (Optional as per Registrar’s mandate)

Enrolment Center – Health & Safety Considerations

D.1 All the electrical equipment are properly earthed

D.2 All wiring on the floor or along the walls properly insulated

D.3 Wiring required for the generator backup and for connecting the various

devices used for enrolment neatly organized

D.4 Fuel for generator or any other inflammable material stored away from the

enrolment area

D.5 Fire safety equipment available handy

D.6 Power generator kept sufficiently away from the enrolment stations

D.7 Local Emergency Help numbers available at the center & operators aware

of the same



Date

i. An enrolment center shall be manned by a supervisor and technical personnel

in addition to the operators at the enrolling stations. A ratio of 5:1 operators

to supervisors as well as operators to technical staff subject to a minimum of

one technical staff per one enrolment centre should be maintained by the

Enrolment Agency.

ii. The premises of the enrolment center are expected to be provided by the

Government authorities wherever available. However the enrolling agency

shall ensure required infrastructure like connectivity, power (if not already

available) etc with the help of the local body authorities. In cases where such

facilities are not available, the enrolling agency shall be responsible for

providing alternate arrangements like power generator etc.

iii. An area in the enrolment center shall be clearly demarcated for enrollees

waiting to be enrolled and facilities for seating should be provided.

iv. In case of mobile enrolment centers/stations, the decision on frequency/period

of availability shall be decided by the Registrar based on density of population,

geographical terrain etc.

5.1.3 Hire & Train Manpower for Enrolment

Hiring Manpower:

The Enrolling Agency shall hire manpower to operate the enrolment

station/center as per the guidelines prescribed by UIDAI.

i. Operator: The enrolling agency shall hire manpower (operator) to execute

enrolment at the enrolment stations as per the criteria provided below

1. The operator should have passed Matriculation

2. The operator should have a basic understanding of operating a computer and

should be comfortable using the computer.

3. The operator should have undergone training on the various equipment and

gadgets as specified in 1.a above.

4. The operator should have passed the Operator test for UID enrolment and

certified from a testing and certifying agency authorized by UIDAI.

ii. Supervisor: The enrolling agency shall hire Supervisors to supervise enrolment

at the enrolment centers as per the criteria provided below:

1. The supervisor shall preferably a graduate

2. The supervisor shall have a good understanding and experience in using a

computer.

3. The supervisor should have undergone training on the various equipment and

gadgets as specified in 1.a above.

4. The operator should have passed the Supervisor test and certified from a

testing and certifying agency authorized by UIDAI.

iii. Technical personnel : The enrolling agency shall hire Technical personnel to

provide technical support during enrolment at the enrolment centers as per the

criteria provided below:



Date

1. The Technical personnel shall be a Graduate and have a

certification/experience on hardware/software trouble shooting and

maintenance

2. The Technical personnel shall have a good understanding and experience in

using a computer.

3. The Technical personnel should have undergone training on the various

equipment and gadgets as specified in 1.a above.

4. The Technical personnel should have passed the Technical personnel test and

certified from a testing and certifying agency authorized by UIDAI.

iv. Induction training: After hiring the personnel as described above, the

Enrolment Agency should impart induction training on the various activities involved

in the enrolment process to enable them to understand and adjust to the local

situation. The induction training is to be given just before actual deployment of the

personnel for enrolment operations and shall be compulsory. The period of induction

training shall be from 10 to 15 days.

5.1.4 Conduct Enrolment Operations as per Standard Processes specified by UIDAI:

Prior to the commencement of the Enrolment operations the Enrollment Agency shall

work closely with the local governing bodies, key introducers in publicizing the UID,

its importance and schedule for UID registration in that location. During the

enrolment operation also publicity and awareness shall be done in coordination with

the local authorities to encourage UID registrations. All content and material for such

publicity will be jointly worked by UIDAI/Registrar and shall conform to specifications

laid down by UIDAI.

UIDAI has defined clear-cut standard processes for enrolment as mentioned

hereunder. The Enrolment Agencies would use the software provided by the

UIDAI/Registrar for the collection of demographic data and the biometric data. The

software will be supported by a User Manual.

Step 1a: Collect demographic data after due verification as prescribed by UIDAI

Detailed process flow of capturing Demographic and Biometric data capture and

detailed standards and guidelines for demographic data collection are given below:



Date

Capture Demographic and Biometric Data and Ready for Transfer Sub Process Flow

Exe

cu

tio

n O

wn

ers

hip

: E

nro

lme

nt C

en

tre

Capture Demographic & Biometrics Data & Ready for Transfer Sub Process

RegistrarResidentEnrolment Agency (Operator)

Paper Form

Yes

Yes

Start

3. Get

Demographic

Data Filled

2. Provide Paper

Form

13. Is

Resident’s Age

< 5yrs?

14. Enroll Based

on Parent/

Guardian details

6. Search by

Registrar’s

Identifier, if

prefilled data

1. Data

Collection?

12. Capture TIN

in the Form

11. Resident

has RGI’s TIN?

18. Validate Data

7. Enter

Demographic

Details in

Enrolment

Software

G

No

5.

Verification

Sub-

process

No

16. Capture

Biometrics -Facial

Image,

Exception(if any),

IRIS, Fingerprints

End

24. Print Consent

Letter and

Acknowledgement

Slip

22. Provide Own

Fingerprint to

Sign-off the Data

Capture

No

17. Show Data to

Resident

4. Get

Demographic

Data verified

19. Correction

Required?20. Correct Data Yes

21. Approve

25. Take

Consent

and File it

26. Take

Backup for

Transfer

Q

9.Resident gives

consent ?

No

Yes

8. Check

Resident’s consent

for UID enabled

bank account

10. Capture

Required Details

15. Check and

Record any

Missing Eye/

Finger

23. Record and

Get Supervisor to

Sign-off

Exceptions

Prefilled

Capture Demographic and Biometric Data and Ready for Transfer Sub Process

Description




Date

Start

This is the sub-process where actual resident enrolment

begins. This process begins when a resident approaches

an Enrolment Centre for enrolment.

1. Pre-Filled Data?

Initial collection of demographic data can happen via

multiple channels. The data can be either extracted from

a pre-filled database OR the data can be filled in a

paper-based form when a resident approaches an

enrolment centre.

If pre-filled data is not available, proceed to Step 2.

Provide Paper Form

Else go to step no. 4.

Enrolment

Agency

(Operator)

2. Provide Paper Form

Enrolment forms (containing KYR fields) must be filled

up at the enrolment centre along with Resident’s

signature. A Registrar can choose to have the Enrolment

form as a part of their enrolment form OR to have

separate forms for capturing KYR and KYR+ fields.

These paper-based forms are to be maintained at

enrolment centres.

Enrolment

Agency

(Operator)

Enrolment

Form

3. Get Demographic Data Filled Up

Guide resident in filling up and signing the form. If the

Resident is unable to fill the form himself / herself,

operator may take assistance from local support such as

(but not limited to) Village Accountant, Field Inspector,

Introducer, NGOs / CSOs etc.

Refer standard for details on capturing the KYR field.

Refer guideline for details on capturing resident

demographic information.

Enrolment

Agency

(Operator)

KYR Standards

for Collecting

Demographic

Data

Detailed

Guidelines for

Recording

Demographic

Data

4. Get demographic data verified.

Resident needs to get the demographic data provided by

him/her verified. Resident need to carry Original

documents and a photocopy of PoI,PoA,DoB for

verification.

Resident

5. Refer Verification Sub Process Flow for details

2 Distinct methods of verification are discussed in this

document

Based on supporting documents

Based on introducer system

Registrar

(Supervisor)

6. Retrieve by Registrar’s Identifier, if prefilled data Enrolment



Date

If the resident is already a part of the Registrar’s

beneficiary database, retrieve resident’s demographic

details using the Registrar’s Identifier. Some examples are

(but not limited to)

Ration card no (Food and Civil Supplies

Department as Registrar)

Job card no (Department of Information

Technology, Government of Jharkhand as

Registrar)

Policy no (LIC as Registrar)

TIN (RGI as Registrar)

EPIC no (Election Commission as Registrar)

PAN no (Income Tax Department as Registrar)

Agency

(Operator)

7. Enter Demographic Details in Enrolment Software

Enter the verified demographic details in the enrolment

software. The software has built-in features to ensure

completion of mandatory data fields.

In case data has been retrieved using Registrar’s

identifier, then check and correct/complete the

demographic data.

Enrolment

Agency

(Operator)

8. Check Resident’s Consent to participate in FI?

Check with resident if he/she wants to participate in the

scheme of financial inclusion (FI) by linking his current

Bank A/C to his UID or by opening a new Bank A/C on

the basis of his UID.

Enrolment

Agency

(Operator)

9. Resident gives consent

If the resident has consented with a “Yes” to participate

in financial inclusion and linking/opening a bank A/C

with his UID, proceed to step 10 to Capture Required

Details. If resident does not give his/her consent,

proceed to step 11 Resident has RGI’s TIN?

Resident

10. Capture Required Details

If the resident has an existing bank A/C, the following

details must be procured:

Name, Bank, Bank Branch, A/C Number and IFSC

Code(to be filled in by the enrolment operator from the

dropdown he’ll have access to, in case the resident is

unaware of the same).

Irrespective of the registrar being a bank or non-bank,

the above details have to be mandatorily filled in the

enrolment form. Any additional information that a bank

registrar would want to process may well be done after

the above requirements are fulfilled.

Enrolment

Agency

(Operator)



Date

If a resident has consented to participate in FI, and

doesn’t have an existing bank A/C, then the enrolment

station must procure from the resident his preferred

bank in which he wants to open a UID enabled bank

account from the list of banks available with the

enrolment station, and fill in the BIN (Bank

Identification Number) for the same.

If the Registrar involved in enrolment is a bank,

determine if the resident has an existing A/C in this

Registrar’s bank. In such a case, an existing A/C in any

other bank will mean the same as having ‘No’ bank

account.

If the registrar is a bank, then their own BIN must be

entered. This is subject to the approval of the resident’s

consent to open a new account with the registrar bank.

If the resident denies doing so, proceed to check in step

11.

11. Resident has RGI’s TIN?

The Operator should check with the resident if the RGI

(census) officials have visited his / her household for the

census survey.

If yes, proceed to Step 12. Capture TIN in the Form

If no, proceed to next check in Step 13. Is

Resident’s Age< 5yrs?

Enrolment

Agency

(Operator)

12. Capture TIN in the Form

The RGI official would have provided a TIN / schedule

no. to the household / individual. Capture the same in

the enrolment software. Operator can inform the

resident that this will be used for sharing resident’s

AADHAAR number with RGI. The resident may already

have an AADHAAR prior to RGI process.

Enrolment

Agency

(Operator)

13. Is Resident’s Age< 5yrs?

Check if the resident’s age is less than 5 years.

If yes, proceed to Step 14. Enrol based on

Parent/Guardian Details

If no, proceed to Step 15. Check and Record for any

Eye/ Finger Missing

Enrolment

Agency

(Operator)

14. Enrol based on Parent/Guardian Details

In case of children below the age of 5 years one of the

parents’ or guardian’s name shall be recorded and UID

or Enrolment Number (either of the two numbers) shall

be recorded. This is mandatory.

If the child is being enrolled along with his father

/mother / guardian, first enrol the parent / guardian and

record the parent’s enrolment no. in the child’s form.

Enrolment

Agency

(Operator)



Date

If the father /mother / guardian of the child has either

not enrolled or does not possess AADHAAR number at

the time of enrolment, the enrolment of that child

cannot be done unless the above requirements are

fulfilled.

It should be noted that in case of children below the age

of 5, Enrolment agency need to take only the

demographic data and photograph needs to be taken

and no biometric data is required.

15. Check and Record for any Eye/ Finger Missing

Check resident’s eyes and fingers for fitness

(missing/amputated). If the resident has any deformities,

these also have to be captured on the Demographic

screen.

Enter Details of “Missing Eye Indication” or “Missing

Finger Indication” as appropriate.

In such a case, the operator shall assist the resident in the

fingerprint capture to avoid capture of the extra finger/s.

Enrolment

Agency

(Operator)

16.

Capture Biometrics – Facial Image, IRIS and Fingerprints

Guide the resident to occupy the chair in front of the

enrolment station. The resident should be instructed to

be seated properly with their back upright and their face

towards the camera.

The images of all the ten fingers are to be captured. The

fingerprints must be captured in the sequence of slaps of

four fingers of left hand, right hand followed by the two

thumbs.

The Operator can visually verify facial image quality.

Apart from this in-built quality checks in the software

indicate the quality of biometrics at each stage. If any

biometric exceptions have been specified on the

demographic screen, these should be captured as

photographs on the Photograph screen.

The software forces re-captures for a fixed number of

times when quality is not OK. Afterwards the Operator

may try capture again but will not be forced by the

system. However, it should be borne in mind that the

forced capture should not become harassment for the

resident.

If required, ask resident to clean hands on towel and/or

Enrolment

Agency

(Operator)

Biometric Data

Capture

Standards

Detailed

Guidelines for

Collecting

Biometric Data



Date

help to apply little more pressure on hand while taking

image again. Similarly, guide resident to get appropriate

quality of iris and facial images.

Policies for biometric capture:

Iris – above 5 yrs mandatory (also used for de-

duplication)

Fingerprint – above 5 yrs capture

Fingerprint – above 15, treated like adult

Face – all mandatory including infants

Below 5 yrs – guardian/parent mandatory, after that

optional

Any biometric exception (any finger missing, any eye

missing) – extra photo as well as supervisor signature

AADHAAR Enrolment Client software automatically

takes care of enforcing these policies. UIDAI may, from

time to time, make modifications to these policies

17. Show Data to Resident

The Operator shows the data entered to the resident on

a monitor facing the resident and if required, reads out

the content to the enrolee, to ensure that all details

captured are correct.

Enrolment

Agency

(Operator)

18. Validate data

The resident will ensure that all details entered in

Demographic form are correct.

Resident

19. Correction Required?

In case any errors are pointed out to the Operator. Go

to step no.20, Correct Data

Else go to step no. 21, Approve.

Resident

20. Correct Data

The EA Operator then corrects the errors pointed out

and again shows the data to the resident.

Enrolment

Agency

(Operator)

21. Approve

If no corrections are required, resident will approve the

data.

Resident

22. Provide Own Fingerprint to Sign-off the data capture

The Operator will then provide own Fingerprint to sign-

Enrolment

Agency



Date

off the data captured.

CIDR will process for an operator that is enrolled and

has been added to valid operator list by EA.

(Operator)

23. Record and Get Supervisor to Sign Off Exceptions

The Supervisor may sign off any exceptions observed in

Data Collection.

Enrolment

Agency

(Operator)

Handling

Exceptions

24. Print Consent Letter and Acknowledgement

Print Acknowledgement slip and provide to resident.

Enrolment

Agency

(Operator)

Acknowledgem

ent Slip and

Consent

Letter(draft

format)

25. Take Consent and file it

Operator will take Resident’s consent (signature/thumb

impression) and file this copy.

Enrolment

Agency

(Operator)

26. Take Backup for Transfer

Operator maintains backup of data captured. Also,

Operator exports data to a memory stick and keeps it

ready for transfer at a specified location.

Refer 1st Mile Logistics Process for Data Transfer flow and

Guidelines

Enrolment

Agency

(Operator)

External Process

Refer 1st Mile

Logistics Process

for Data

Transfer flow

and Guidelines

End

KYR Standards for Collecting Demographic Data

Information Fields Verification

Required

Verification Procedure

Personal

Details

Name Yes Any of the POI documents

Introducer for people who

have no documents

Date of Birth ## No ---

Gender No ---

Address Details

Residential

Address(For UID

letter delivery and

other

communications)

Yes

Any of the POI documents

Introducer for people who

have no documents

Address will be physically

verified during UID letter

delivery. But Resident’s

physical presence not required

during letter delivery

Parent/ Guardian

Details

Father’s/ Husband’s/

Guardian’s Name*

Conditional No Verification of Father/

Husband/ Guardian in the case

of adults Father’s/ Husband’s/ Conditional



Date

Guardian’s UID* No Verification of Mother/

Wife/ Guardian in the case of

adults

Mother’s/ Wife’s/

Guardian’s Name*

Conditional

Mother’s/ Wife’s/

Guardian’s UID*

Conditional

Introducer Details Introducer Name** Yes

Introducer’s Name, UID on the

form

Introducer’s thumbprint

endorsing the resident in the

Review tab of the enrolment

software. In case Introducer is

not present at the time of

enrolment, he/she can review

the list later and endorse.

Introducer’s UID**

Contact Details Mobile Number No ---

Email Address No ---

## A flag is maintained to indicate if Date of Birth (DoB) is verified, declared, or approximate. In

case exact DoB is not known, resident should indicate the age only. Enrolment software has the

provision to capture age & calculate the year of birth.

* For infants, Father/ Mother/ Guardian’s name (at least one) and UID is mandatory.

* For children under a particular age, biometric de-duplication will not be done. Hence their UID

will be flagged as such until they are biometrically de-duplicated at a later age. Their UID will be

linked to at least one of the parent’s UID.

* In the case the adult is not in a position or does not want to disclose, name of either Father/

Husband/ Guardian or Mother/ Wife/ Guardian, select the flag in the enrolment software to

indicate that resident has not given the relationship details.

** For residents with no document proof, an “Introducer” should certify his/ her identity.

Detailed Guidelines for Recording Demographic Data

i. Name

1. The Enrolment Agency should verify the proof of identity documents produced by the

individual before recording the name.

2. The name of the person in full should be entered in the boxes provided for this purpose. Leave

single box between two separate words.

3. It is very important to write the person’s name very carefully and correctly. For example, the

respondent may tell that his name is V. Vijayan whereas his full name may be Venkatraman

Vijayan and similarly R. K. Srivastava’s full name may actually be Ramesh Kumar Srivastava.

Similarly, a female enrolee may tell her name as K. S. K. Durga while her full name may be

Kalluri Surya Kanaka Durga.

4. Ascertain from her/him the expansion of her/his initials and check the same in the documentary

evidence produced before recording the name in full.

5. In case of difference in the name declared and the one in document (PoI), the name as

declared by the resident may be recorded by the Enrolment Agency provided the difference is

only in spelling.

6. If two documentary proofs produced by the enrollee have variation in the same name (i.e.,

with initials and full name), the enrollee’s preferred name should be recorded.

7. Sometimes the infants and children may not have been named yet. Please try to ascertain the

intended name for the child by explaining to the enrollee the importance of capturing the

name of the individual for allotting UID.



Date

8. In case of non-availability of supporting documents for PoI, the name should be recorded with

the assistance of the Introducer.

ii. Date of Birth (DoB)

1. Write date of birth of Enrolment Agency, indicating day, month and year in the relevant boxes

provided. Record the day (2 digits), month (2 digits) and year (4 digits).

2. In the Date of Birth Field, depending on the clarity / proof provided by the resident, following

should be captured:

“V” – When the DoB can be verified from a documentary evidence

“D” – When resident declares the DoB without any documentary evidence

“A” – When the resident is unable to give exact DoB and the approximate age has been

given

iii. Gender:

1. Gender has to be recorded by the Enrolment Agency as declared by the enrolee in the box

provided by recording Male, Female or Transgender ‘M’ or ‘F’ or ‘T’ respectively.

iv. Residential Address:

1. Record the residential address in the boxes provided.

2. The address should be recorded as available in the documentary evidence produced by the

enrolee. Leave space between two words. Please ensure that the particulars are filled up

correctly.

3. In line 1 of the address capture “care of” person’s name if any. (Usually this has to be captured

for children and old age people living with parents and children respectively). If not

available, leave the Address line 1 blank.

4. Generally in rural areas, Building number, House number etc. are not available. If not

available leave the address line 2 blank.

5. Write the Street Name, if any, in Address line 3, otherwise leave it blank.

6. Write major/minor landmark if any in address line 4 otherwise leave it blank.

7. Write name of Mohalla/Locality/Post Office in address line 5, otherwise leave it blank.

8. Name of the village/town/city is to be written in address line 6.

9. Write the name of District and State in address line 6 and 7.

10. Ascertain the Postal Index Number Code(PIN code) and record in the boxes.

v. Parent/ Spouse /Guardian Information (Conditional)

1. Filling the father / husband / guardian or Mother / Wife / Guardian field is mandatory for all.

If they are enrolled their UID should be recorded.

2. In case the adult is not in a position or does not want to disclose, xxx should be recorded in

the field.

3. In case of children below the age of 5 years one of the parents’ or guardian’s name is recorded

and UID or Enrolment Number is recorded. It is mandatory.

4. If the child’s father /mother / guardian has / have not enrolled and / or do / does not possess

an UID at the time of enrolment, the enrolment of that child cannot be done unless the

above requirements are fulfilled.

vi. Relationship type (Conditional):



Date

1. This field is mandatory if the information in the above field is available, otherwise leave this

field as blank.

2. Here the relationship type of the above field to be recorded as “F” for Father, “M” for

Mother, “H” for Husband, “W” for Wife and “G” for Guardian.

vii. Introducers Name (Conditional):

1. Name of the Introducer has to be recorded in this field in case where enrollee is not able to

produce any documentary evidence as PoI and PoA.

2. When the enrollee depends on Introducer for proof of verification, the UID of the Introducer

is mandatory.

viii. Mobile Number (optional):

1. If the enrollee possesses and is willing to provide his/her mobile/landline number, this optional

field can be filled in.

ix. Email address (optional):

If the enrollee possesses and is willing to provide his/her e-mail ID, this optional field can be filled in.

Detailed Verification Process is described below:

Verification Sub Process Flow

Exe

cu

tio

n O

wn

er:

Re

gis

tra

r

Verification Sub Process

Enrollment Center

(Operator)IntroducerRegistrar

Start

6. Endorse

Resident by Giving

Fingerprint

Document Based

End

2. Verify

documents

1. Type of

Verification?Introducer Based

4. Store

Documents—

hard copy;

online scan;

Offline scan

5. Paste bar

coded stickers

on Consent

Letter , PoI &

PoA

3. Data

Capture

If Offline

Verification Sub Process Description

S. No Step Responsibility Reference

Start

It is essential that key demographic data is verified

properly.



Date

1. Type of Verification

2 Distinct methods of verification are discussed in this

document

Based on supporting documents

Based on introducer system

Registrar

2. Verify Documents

Registrar’s Supervisor verifying the documents should be

a pre enrolled resident. He may be covered during the

special drive for Introducers.

For Verification based on Documents, the Registrar’s

Supervisor present at the Enrolment Centre will verify the

documents and sign/stamp the documents as a proof of

Verification.

If pre-enrolment data is used Registrar’s Supervisor will

verify those documents (like Ration Card, NREGA job

card etc.).

In case Enrolment form is used for filling demographic

data, then Supervisor will verify form details against PoI,

PoA, DoB documents.

Verify Name, Date of Birth, Address against PoI, DoB and

PoA documents. Refer Guideline for list of applicable

documents.

Verify Name and UID of Parent/Guardian in case of

children.

Registrar’s Supervisor will then sign and stamp the

photocopy of documents verified.

Registrar

(Supervisor)

Documents for

Verifying PoI,

PoAand DoB

3. Capture Demographic and Biometrics Data and Ready

for Transfer Sub Process

After verification by Registrar, the Operator will follow

the process of capturing Demographic and Biometrics

Data and keep it ready for transfer to CIDR.

Refer Capture Demographic and Biometrics Data and

Ready for Transfer Sub Process

Enrolment Agency

(Operator)

Capture

Demographic

and Biometrics

Data and

Ready for

Transfer Sub

Process

4. Store Documents

These documents need to be maintained by the

UIDAI at least for 7 years from the date of capture.

The UIDAI may store documents in either

Hard copy or

Digitise documents by online scanning

during the process of data capture

Enrolment Agency will hand over the documents to

Enrolment Agency

(Operator)



Date

the UIDAI approved Document Management

Agency as per process guidelines circulated by

UIDAI from time to time.

End.

5. Paste bar coded stickers on Consent Letter, PoI and PoA

To save on online scanning cost and time, a Registrar

may opt for offline scanning of documents. If this is the

case, the Operator will paste pre-printed bar coded

stickers on these documents. The bar code will be read

and stored on the Resident file.

When scanning of documents will take place at a later

stage, then the bar code reader will read the bar code on

any of these documents. PoI, PoA documents will then

be scanned and attached to the data file of the Resident

that is retrieved using bar code.

Enrolment Agency

(Operator)

6. Endorse Resident by giving fingerprint

The Introducer will go through all the details to ensure

that he endorses correctly. The Introducer ensures that all

the residents that he is about to endorse are known and

given particulars are correct. The concept of inclusiveness

should not take away the credibility of the Introducer

system. Any false verification by Introducer shall make

him liable for legal action.

The Introducer can endorse a resident and vouch for the

validity of Resident’s information by giving his/her

thumbprint in the enrolment software’s “Review” tab. In

addition he/she should sign the Enrolment form

endorsing the resident.

Introducer will validate by giving fingerprint.

Introducer

End

Documents for Verifying PoI, PoA and DoB

Support PoI Documents Containing Name and Photo

1. Passport

2. PAN Card

3. Ration/ PDS Photo Card

4. Voter ID

5. Driving License

6. Government Photo ID Cards

7. NREGS Job Card

8. Photo ID issued by Recognized Educational Institution

9. Arms License

10. Photo Bank ATM Card

11. Photo Credit Card

12. Pensioner Photo Card

13. Freedom Fighter Photo Card



Date

14. Kissan Photo Passbook

15. CGHS / ECHS Photo Card

16. Address Card having Name and Photo issued by Department of Posts

17. Certificate of Identify having photo issued by Group A Gazetted Officer on letterhead

18. Certificate of Identity having photo issued by Panchayat Mukhiya

Supported PoA Documents Containing Name and Address

1. Passport

2. Bank Statement/ Passbook

3. Post Office Account Statement/Passbook

4. Ration Card

5. Voter ID

6. Driving License

7. Government Photo ID cards

8. Electricity Bill (not older than 3 months)

9. Water bill (not older than 3 months)

10. Telephone Landline Bill (not older than 3 months)

11. Property Tax Receipt (not older than 3 months)

12. Credit Card Statement (not older than 3 months)

13. Insurance Policy

14. Signed Letter having Photo from Bank on letterhead

15. Signed Letter having Photo issued by registered Company on letterhead

16. Signed Letter having Photo issued by Recognized Educational Instruction on letterhead

17. NREGS Job Card

18. Arms License

19. Pensioner Card

20. Freedom Fighter Card

21. Kissan Passbook

22. CGHS / ECHS Card

23. Certificate of Address having photo issued by MP or MLA or Group A Gazetted Officer on

letterhead

24. Certificate of Address issued by Village Panchayat head or its equivalent authority (for rural

areas)

25. Income Tax Assessment Order

26. Vehicle Registration Certificate

27. Registered Sale / Lease / Rent Agreement

28. Address Card having Photo issued by Department of Posts

29. Caste and Domicile Certificate having Photo issued by State Govt.

Supported Proof of DoB Documents

1. Birth Certificate

2. SSLC Book/Certificate

3. Passport

4. Certificate of Date of Birth issued by Group A Gazetted Officer on letterhead

Step 1(b): Collect demographic data after due verification as prescribed by Registrar

The East Central Railway proposes to collect additional information (called KYR+), wherever

available or applicable, during enrolment process. The basic KYR+ data and guidelines for

capture of the details are given below, however railway may modify the fields according to

requirement at the time of implementation:

Specification and Formats for capture of KYR+ Information



Date

1 EPIC Number YES/NO Number

2 MGNREGS Job Card

number

YES/NO Number

3 BPL Card Number YES/NO Number

4 TIN No. YES/NO Number

5 PAN YES/NO Number

6 Pension

YES/NO

If Yes, which

Pension

Pension

Number

7 Bank Details, if any Name of the Bank Branch Savings bank,

Acc.No

8

Ration Card YES/NO BPL/APL Card No No of

Units

Shop

No

9 Post Office, if any Account

Number

Branch

10 Panchayat Name

11 Mobile No.



Date

Step 2: Collect Biometric data from the enrolees as prescribed by the UIDAI

Detailed Guidelines for collecting of Biometric data are described below:

i. Fingerprint Capture

a. Left Hand Fingerprints: The Enrolee

should be requested to place all four

fingers of the left hand to platen of the

fingerprint scanner for the four-finger

capture to ensure good contact and

maximize the area of the captured

fingerprints.

b. If automatic capture does not

happen, the operator should force the

capture through option available in the

enrolment software. The capture software

will allow forced capture only after at

least one attempted automatic capture for

that Enrolee.

c. The operator should visually check the image for quality and for typical problems. In

case there are problems go back to steps above to retry the capture.

d. If capture is still not possible, move

on to the next step to capture the

fingerprints of the right hand.

e. Right Hand Fingerprints: The

Enrolee should be requested to place all

four fingers of the Right Hand to platen of

the fingerprint scanner for the four-finger


maximize the area of the captured

fingerprints.

f. If automatic capture does not

happen, the operator should force the

capture through option available in the

enrolment software. The capture software will allow forced capture only after at least one

attempted automatic capture for that

Enrolee.

g. Visually check the image for quality

and for typical problems. In case there are

problems go back to steps above to retry

the capture.

h. If capture is still not possible, move

on to the next step to capture the

fingerprints of the two thumbs.

i. Two Thumbs: The Enrolee should

be requested to place Two Thumbs to

platen of the fingerprint scanner for the


maximize the area of the captured fingerprints.



Date

j. If automatic capture does not happen, the operator should force the capture through

option available in the enrolment software. The capture software will allow forced capture

only after at least one attempted automatic capture for that Enrolee.

k. Visually check the image for quality and for typical problems. In case there are

problems go

back to steps above to retry the capture.

ii. Facial Image Capture

a. Enrolee Position: For capturing facial image, it is advisable for the operator to adjust

the camera instead of the Enrolee to position herself/himself at the right distance or in the

right posture.

b. Focus: The capture device should use auto focus and auto-capture functions. The

output image should not suffer from motion blur, over or under exposure, unnatural

coloured lighting, and radial distortion. Interlaced video frames are not allowed.

c. Expression: Expression strongly affects the performance of automatic face recognition

and also affects accurate visual inspection by

humans. It is strongly recommended that

the face should be captured with neutral

(non-smiling) expression, teeth closed and

both eyes open.

d. Illumination: Poor illumination has a

high impact on the performance of face



Date

recognition. It is difficult for human operators to analyze and recognize face images with

poor illumination. Proper and equally distributed lighting mechanism should be used such

that there are no shadows over the face, no shadows in eye sockets, and no hot spots.

e. Eye Glasses: If the person normally wears glasses, it is recommended that the

photograph be taken with glasses. However, the glasses should be clear and transparent so

that pupils and iris are visible. If the glasses are with tint, then direct and background lighting

sources should be tuned accordingly.

f. Accessories: Use of accessories that cover any region of the face is not permitted.

g. However, accessories like eye patches are allowed due to medical reasons.

h. Further, accessories like turban are also allowed as religious practices.

i. Operators need to be trained to obtain the best possible face images that satisfy

requirements.

iii. Iris Capture

a. Iris pattern of each eye is not

correlated, and gives two independent

biometric feature sets. It assures correct

assignment of left and right eyes and

allows for more accurate estimation of

roll angle.

b. In order to obtain good quality

template, the iris image diameter

should be a minimum of 170 native

pixels.

c. In order to retain sufficient

image surrounding the iris for the

purpose of identifying the left or right

eye as well as for a more accurate iris

segmentation, the margins around the iris portion of the image need to be at least 50% of

the iris diameter on the left and right sides of the image, and a least 25% of the iris diameter

on the top and bottom of the image.

d. The capture device should be more than 300 mm away from the Enrolee to be

considered non-intrusive.

e. The capture device should use auto focus and auto-capture functions.

f. In special circumstances where the Enrolee has to position herself or himself, the

capture device should be more than 100mm away but the device should use a visor or other

mechanical alignment aid to enable the Enrolee to position themselves.

g. In order to provide an acceptable level of usability and ease of alignment, the camera

must allow for some variability in the position of the iris centre relative to the camera. This

variability is defined by position tolerances in the horizontal, vertical, and axial dimensions

that together define a volume (the “capture volume”) within which the centre of the iris must

be located in order to enable image capture.

h. For two eye capture devices, the capture volume dimensions for devices without

mechanical alignment aids are 19 mm wide, 14 mm high, and 20 mm deep, and for devices

with such aids, 19 mm wide, 14 mm high, and 12 mm deep.

i. The iris image capture device must be capable of capturing light in the range of 700 to

900 nanometres. The camera’s near infrared illuminator(s) must have a controlled spectral

content, such that the overall spectral imaging sensitivity, including the sensor characteristics,



Date

transfers at least 35% of the power per any 100 nm-wide sub-band of the 700 to 900 nm

range.

j. The iris image capture sensor shall use progressive scanning.

k. Illumination shall be compliant with illumination standard IEC 825-1 and safety

specification ISO 60825-1.

l. In order to achieve acceptable recognition accuracy, the iris acquisition sensor must

achieve a signal-to-noise ration of at least 36dB.

m. Within the frequency range of interest, 700 to 900 nm, the iris sensor shall generate

images with at least 8 bits per pixel.

n. The operator and not the Enrolee will handle the capture device.

o. The Enrolee will be required to sit (or stand) in a fixed position, like taking a portrait

photograph.

p. The iris capture device or the connected computer would be able to measure the iris

image quality. An initial image quality assessment would be done to provide feedback to the

operator during the capture process. The device alerts the operator if the captured iris image

is of insufficient quality.

q. The iris capture process is sensitive to ambient light. No direct or artificial light should

directly reflect off Enrolee’s eyes.

Handling of Exceptions

There would be instances where the enrolee would not be in a position to give complete set of

biometrics as required by the UIDAI owing to reasons such as injury, amputation of the fingers / hands

and similar problems with the eyes. The following sets of guidelines are to be borne in mind while

handling such exceptions.

i. Exceptions in capturing Facial Image capture

S.No Problem Suggestions

a. Unable to capture

image due to poor

light:

a. No flash is to be used.

b. Contact the local state government authorities to improve

the ambient light.

c. If there is inadequate lighting because of low voltage, use

the generator backup to improve the lighting.

d. Consider moving the enrollment station to a location in

the room with better light.

e. The non-capture could be because of bright light behind

the backdrop. The backdrop should be preferably placed

against an opaque wall/partition.

b. Unable to crop image

because of turban /

head scarf:

a. If it is strict religious attire, choose the manual capture

option.

b. If the headgear can be removed this may be requested

politely by the operator.

c. In the case of lady enrollees, it would be advisable for a

lady operator, or volunteer to undertake this process.

c. Enrollee unable to

keep head / torso still

and vertical:

Assistance may be provided to the enrollee. In case of lady

enrollees, assistance is to be provided by the lady operators or

volunteers.

ii. Exceptions in handling Fingerprint Image capture



Date


a. Missing /

amputated /

bandaged fingers

i. The same is noted in the data as provided in the software

ii. The fingerprints of remaining fingers are captured by the

operator

b. Unable to crop

image because of

turban / head

scarf

i. If it is strict religious attire, choose the manual capture

option.

ii. If the headgear can be removed this may be requested

politely by the operator.

iii. In the case of lady enrollees, it would be advisable for a lady

operator, or volunteer to undertake this process.

c. Fingerprint

captured is not of

the requisite

quality

i. If standard image of the finger prints are not possible for an

enrollee despite repeated attempts, the operator should

politely ask the enrollee to wash his hands. The operator can

provide a wet sponge or towel available in the centre.

ii. The operator can request the enrolled to apply pressure on

the platen to increase the area of contact and thereby obtain

image of the requisite quality.

iii. For applying pressure he would firstly rely on efforts of the

enrollee. If not successful, the operator can take the

permission of the enrollee and assist her/him in applying the

pressure to capture the image.

iv. It has to be ensured that assistance to women enrollees has to

be provided by women operators / volunteers.

v. The operator would make a reasonable number of attempts

to capture the biometrics of the resident. The number of

attempts that can be made is built into the software.

d. Inability to flatten

the fingers

i. The operator with due permission from the enrollee may

assist the enrollee in order to attempt capture of the

fingerprints.

ii. In case this is not successful, the operator may try to obtain

fingerprints to the extent that the enrollee is able to flatten

and place her / his fingers on the platen.

iii. The enrollee can then be made to move to the next set of

fingerprints of the other hand or the two thumbs.

e. Worn out ridges

or hands

blackened through

mehendi or any

other substance

a. Attempt a manual capture

b. Proceed to capture fingerprints of fingers which are not

blackened or without worn out ridges.

iii. Exceptions in handling Iris Image capture

If capturing Iris image is not possible due to non-existence of one or both eyes or bandage across one

or both eyes / any other deformity or disease the same has to be recorded in the system.


a. Squint /

disoriented eye

a. If the capture of both eyes at a time is not possible, the single

eye iris scan device may be used

b. In case the single eye iris device is not available, the operator

can make use of the dual eye device to capture one of the

irises correctly

b. Inability to open

the eyes properly

a. Guide the enrollee to open the eyes wide to enable the

capture

b. Manually assist the enrollee to open the eyes with the help of

his own hands so that the iris can be scanned.



Date

iv. General exceptions

The enrolee may not be in a position to keep herself / himself in correct posture for reaching biometric

instruments or for photograph due to old age or sickness. In such cases the operator should arrange to

take the biometric data by moving the equipment close to the enrolee.

Step 3: Get consent letter and generate acknowledgement receipt

After the demographic and biometric details are captured the enrolment operator shall

show the demographic data to the enrolee and get his consent. If needed any corrections are

made to the data and signed off by the operator by providing his finger prints. All exceptions

need to be signed off by the Supervisor. A consent letter has to be printed and the

signature/thumb impression of the enrolee obtained and the letter filed. An acknowledgement

receipt is then printed and provided to the enrolee as a reference.

Step 4: Data backup and transfer:

The data thus collected would be transmitted to the UIDAI for a process of de-duplication

and allotment of the AADHAAR Number.

Please refer to the Guidelines for enrolment for detailed process flows of the various activities

in the Enrolment process as prescribed by UIDAI. Process flow for Enrolment operations is a

given below:



Date

Exe

cu

tio

n O

wn

ers

hip

: E

nro

lme

nt C

en

tre

Enrolment process flow

RegistrarResidentEnrolment Agency (Operator)

Paper Form

Yes

Yes

Start

3. Get

Demographic

Data Filled

2. Provide Paper

Form

13. Is

Resident’s Age

< 5yrs?

14. Enroll Based

on Parent/

Guardian details

6. Search by

Registrar’s

Identifier, if

prefilled data

1. Data

Collection?

12. Capture TIN

in the Form

11. Resident

has RGI’s TIN?

18. Validate Data

7. Enter

Demographic

Details in

Enrolment

Software

G

No

5.

Verification

Sub-

process

No

16. Capture

Biometrics -Facial

Image,

Exception(if any),

IRIS, Fingerprints

End

24. Print Consent

Letter and

Acknowledgement

Slip

22. Provide Own

Fingerprint to

Sign-off the Data

Capture

No

17. Show Data to

Resident

4. Get

Demographic

Data verified

19. Correction

Required?20. Correct Data Yes

21. Approve

25. Take

Consent

and File it

26. Take

Backup for

Transfer

Q

9.Resident gives

consent ?

No

Yes

8. Check

Resident’s consent

for UID enabled

bank account

10. Capture

Required Details

15. Check and

Record any

Missing Eye/

Finger

23. Record and

Get Supervisor to

Sign-off

Exceptions

Prefilled

5.1.5 Send Enrolment Data to Registrar

The enrollment data has to be uploaded to Central Identities Data Repository

(CIDR) through a secure file transfer protocol (SFTP) on regular basis as per the UIDAI



Date

guidelines/instructions. The enrolling agencies are therefore advised to obtain these

instructions before they proceed to collect the demographic and Biometric Data of the

willing enrollees.

The UIDAI has a Document Management System to deal with enrollment

documents such as Enrolment Forms, PoI & PoA documents and consent letter. The

enrolling agency will be responsible for scanning the documents at the time of

enrolment and also the proper storage of all the enrollments documents before

handling both the scanned as well as hard copies to the proper authority as decided

by the UIDAI/Registrar.

5.1.6 Privacy & Security

Enrolling agencies are responsible to make sure that the data is kept in a very secure

and confidential manner and under no circumstances, shall they neither use the data

themselves nor part with the data to any other agency other than the UIDAI.

Mechanisms to ensure the same have to be put in place by the Enrolling agency and

shall be subject to audit by UIDAI/Registrar/their representative from time to time.

5.1.7 Provide Electronic MIS Reports on Enrolment Status Daily

Operator shall send enrollment statistics on enrolment status to Registrar/UIDAI on a

daily basis. The formats and contents of the MIS reports shall be decided by the

UIDAI/Registrar.

The Enrolment Agency shall be required to update the MIS of enrolment operations

across the allocated Schedule on a daily basis to the Purchaser. The Purchaser shall

provide the MIS Portal/Software/ including the formats/contents of the required

reports. While the collection of such MIS data by itself is expected to be an

automated process, it is mandatory on the part of the enrolment agency to

synchronize this data at the end of each day.

The enrolment agency shall be required to place one (1) Supervisor / Operations

Coordinator on a fulltime basis at each center. It shall be the responsibility of the

Supervisor/ Operations Coordinator to ensure that the MIS is updated to the

repository of the purchaser on a daily basis.

5.1.8 Prohibition of Sub-contracting

Sub-contracting of enrolment work is prohibited. This must be strictly adhered by all

enrolment agencies, irrespective of their empanelment status. In accordance with

UIDAI’s suspension policy the agency will immediately be dis-associated from all

Aadhaar enrolment work till the suspension is in force, irrespective of its

empanelment status.

5.1.9 GPS and Document Scanning

Enrollment agencies agree to install Device GPS for every enrollment client from

commencement of the second phase of the enrollment.



Date

Enrollment agencies agrees to scan the POI, POA and date of birth certificate

documents along with enrollment form and acknowledgement cum consent form

upfront and to integrate with resident data packet mandatorily form 01 October

2013.

5.1.10 Registrar’s Packet

All the data packets belonging to the Registrar should be submitted to Chief Personnel

Officer, East Central Railway, Hajipur in hard disks on regular basis.

5.1.11 Deployment of Enrollment Stations

All Enrollment Agencies agrees to deploy location wise minimum number of stations

as per prescribed by Registrar so as to complete the remaining work in remaining

period.

5.2 Geographical Scope

The geographical scope of work for enrolment operations shall include the following

schedules that shall be catered to by the Enrolment agency by setting up enrolment

stations. The target population for that schedule to be catered to by the Enrolment

Agency is as follows:

Location

code no. Location

Population to be

enrolled Approx.

01

02

03

04

05

06

07

08

09

10

11

12

13

14

15

16

17

18



Date

5.2.1 Roles and Responsibilities

The roles and responsibilities of the various parties involved in the Enrolment process are

defined below:

Role Organization Responsibilities

Enrolment

Agency Point

of Contact

Enrolment

Agency

Procure certified biometric devices

Procure other hardware and infrastructure for enrolments

Ensure enrolment software is installed on required laptops /

desktops

Load pre-enrolment residents data on enrolment stations laptop,

where applicable

Ensure UIDAI processes and standards are followed

Assist Registrar develop enrolment schedules

Work closely with the Registrar in enrolment publicity and

awareness at grass-root level

Ensure availability of certified operators and supervisors at

enrolment centres

Ensure adequate stationary is available

Ensure adequate backup arrangement at enrolment centre

Take remedial / corrective action in case of process / quality

deviations

Enable successful data transfer to CIDR

Enrolment

Centre

Supervisor

Enrolment

Agency

Setup enrolment station

Supervise enrolment process

Handle issues and concerns of operators and residents

Act as an operator, when required

Ensure checklists are filled

Ensure audit feedback, if any, incorporated in process

Take enrolment data to a designated location for transfer to

CIDR

File, back up and store enrolment data as per UIDAI guidelines

Enrolment

Operator

Enrolment

Agency

Capture demographic and biometric data

Handle exception cases during capture of data

Obtain consent letters and make corrections in data recorded, if

required

Provide acknowledgement slips to Residents



Date

Role Organization Responsibilities

Registrar’s

Supervisor

Registrar Audit of Enrolment Centres’ readiness

Audit of enrolment agency processes and their effectiveness

Verify PoI,PoA,DoB documents in case of document based

verification

Registrar

point of

contact

Registrar Define enrolment plan including locations and timeframe

Identify suitable locations for setting up enrolment centres

Ensure pre-enrolment data, where applicable, is available to

Enrolment Agency

Ensure list of Introducers is available with their demographic,

biometric details and UID numbers

Ensure communication reaches the target beneficiaries / residents

Provide template for paper-based enrolment form containing

KYR and KYR+ fields

Setup mechanism for periodic process and data quality audit

UIDAI point

of contact

UIDAI Facilitate certification of biometric devices

Provide training content

Appoint a training and certification agency and provide testing

content to this agency

Provide required standards and guidelines

Vet awareness and publicity content

Introducer Registrar Confirm the identity of the resident by giving his/her UID and

fingerprints for verification

Resident -- Provide demographic and biometric information

Provide authentic documentation or be introduced by an

Introducer

5.2.2 Timelines

Location wise

code No.

location Start date End Date

01

02

03

04

05

06

07

08

09



Date

10

11

12

13

14

15

16

17

18

Legends

Signifies Start /End of Process

Signifies Activity/Task

Signifies an off page reference of a Sub Process

Signifies a Decision Box

Signifies a Reference to either a Guideline(G), Form(F) or Quality

Check point (Q) depending on the text used inside the circle

Signifies an external process being referred

Abbreviations used

UID - Unique Identification

UIDAI - Unique Identification Authority of India

DDSVP - Demographic Data Standards and Verification Procedure

KYR - Know Your Resident

KYR+ - Fields required in addition to KYR fields required by the Registrars

PoI - Proof of Identity

PoA - Proof of Address

DoB - Date of Birth



Date

RGI - Registrar General of India

TIN - Temporary Identification Number provided by RGI

NGO - Non Government Organisation

CSO - Civil Society Outreach

FI - Financial Inclusion

The above document on Scope of Work is intended to provide necessary inputs to the

Enrolment Agency to make sure that the data capture is done in a proper manner and

also the verification of the details given is done as prescribed for the process of issuing

AADHAAR. However the latest guidelines issued by UIDAI in this context should be

followed.

The objective is to provide detailed guidelines for the enrolment process which

consists of setting up enrolment centres, capturing demographic data and biometric

data, handling exceptions, and storage of data.

6. PERFORMANCE GUARANTEE:

The Successful contractor should give a Performance Guarantee in the form of an

irrevocable Bank Guarantee drawn on any Nationalised/Scheduled bank amounting to 5%

(five percent) of the contract value after the issue of letter of acceptance but before signing of

Contract Agreement which will normally be signed within 30 days after issue of Letter of

Acceptance (LOA). Performance Guarantee will be released after satisfactory completion of

the work subject to certification of Railway’s Competent Authority in this respect.

The firm have to submit the said performance guarantee within 30 days from the date

of issue of LOA. Extension of time for submission of PG beyond 30 days and up to 60 days

from the date of issue of LOA may be given by the authority who is competent to sign the

contract agreement.

However a penal interest of 15% (fifteen percent) per annum shall be charged for the

delay beyond 30 days, i.e., from 31st day after the date of issue of LOA.

In case the contractor fails to submit the requisite PG even after 60 days from the date

of issue of LOA, the contract shall be terminated duly forfeiting EMD and other dues, if any

payable against that contractor. The failed contractor shall be debarred from participating in

retender for the work.

The successful bidder shall submit the PG in any of the following forms amounting to

5% (five percent) of the contract value:

(i) A deposit of cash

(ii) Irrevocable Bank Guarantee in favour of FA&CAO, East Central Railway, Hajipur

(iii) Government Securities including State Loan Bonds at 5 (five) percent below the

market value

(iv) Deposit Receipts, Pay Order, Demand Drafts and Guarantee Bonds. These forms of

Performance Guarantee could be either of the State Bank of India or any of the Nationalised

banks in favaour of FA&CAO, East Central Railway, Hajipur



Date

(v) Guarantee Bonds executed or Deposit Receipts tendered by all Scheduled banks

(vi) A deposit in the Post Office Saving Bank

(vii) A deposit in the National Saving Certificates

(viii) Twelve Years National Defence Certificates

(ix) Ten Years Defence Deposits

(x) National Defence Bonds, and

(xi) Unit Trust Certificates at 5 (five) percent below market value or at the face value

whichever is less. Also FDR in favour of FA&CAO, East Central Railway, Hajipur (free from

any encumbrance may be accepted).

The performance guarantee shall be submitted by the successful bidder after the LOA has been

issed but before signing of the contract agreement. This PG shall be valid up to the stipulated

date of completion plus sixty days beyond that. In case, the time for completion the work get

extended, the contractor shall get the validity of the PG extended to cover such extended

time for completion of work plus sixty days.

The value of PG to be submitted by the contractor will not change for variation upto 25%

(twenty five percent) either increase or decrease. In case during the course of execution, value

of the contract increases by more than 25% of the original contract value, an additional

Performance Guarantee amounting to 5% (five percent) for the excess value over the original

contract value shall be deposited by the contractor.

The Performance Guarantee shall be released after physical completion of the work based on

‘Completion Certificate’ issued by the competent authority stating that the contractor has

completed the work in all respects satisfactorily. The Security Deposit shall, however, be

released only after expiry of the maintenance period and after passing the final bill based on

‘No Claim Certificate’ from the contractor.

Whenever the contract is rescinded, the Security Deposit shall be forfeited and the

Performance Guarantee shall be encashed. The balance work shall be got done independently

without risk & cost of the failed contractor. The failed contractor shall be debarred from

participating in the tender for executing the balance work. If the failed contractor is a Joint

Venture or a Partnership firm, then every member/partner of such a firm shall be debarred

from participating in the tender for the balance work in his/her individual capacity or as a

partner of any other Joint Venture/partnership firm.

Railway shall not make a claim under the Performance Guarantee except for amounts to

which the President of India is entitled under the contract (not withstanding and/or without

prejudice to any other provisions in the contract agreement) in the event of:

(i) Failure by the contractor to extend the validity of the Performance Guarantee as

described herein above, in which event the Engineer may claim the full amount of the

Performance Guarantee

(ii) Failure by the contractor to pay President of India any amount due, either as agreed

by the contractor or determined under any of the Caluses/Conditions of the Agreement,

within 30 days of the service of notice to this effect by Railways

(iii) The Contract being determined or rescinded under provision of the GCC, the

Performance Guarantee shall be forfeited in full and shall be absolutely at the disposal of the

President of India.



Date

7. AGREEMENT:

The successful tenderer shall have to perform agreements as per the standard form of contract

within 30 days after the issue of LOA having been called upon by notice to do so be bound

to execute an agreement based on accepted rates and conditions, in such form as the railway

may prescribe and lodge the same with the railway together with the condition of contract,

specification and schedule of price referred to therein duly completed.

8. SECURITY DEPOSIT:

(a) Security Deposit for each work shall be 5% (five percent) of the contract value

(b) The rate of recovery shall be at the rate of 10% (ten percent) of the bill amount till

the full security deposit is recovered.

(c) Security Deposit will be recovered only from the running bills of the contract and no

other mode of collecting SD such as SD in the form of instruments like BG, FD etc. shall be

accepted towards security deposit.

(d) Security Deposit will be returned to the contractor after the physical completion of the

work and Maintenance Period of One Year subject to certification of Railway’s Competent

Authority in this respect as well as on the basis of ‘No Claim’ certificate from the contractor.

9. The tender paper is not transferable.

10. The work must be completed within 180 (one hundred eighty) days from the date of

receipt of letter of acceptance.

11. A deduction of Income Tax @ 2% (two percent) and Surcharge @10% (ten percent)

on Income Tax will be made from the contractor’s bill as per Income Tax Act. Educational

Cess @3% (three percent) on the sum of Income Tax and Surcharge will be deducted from

the contractor’s bill. However, rates of these statutory deductions may vary as per the order

of the appropriate authority from time to time.

12. The work should be executed under supervision of concerned Staff & Welfare

Inspector as nominated by Railway who may be intimated well in advance about the work to

be executed before starting the work.

13. It shall not be obligatory on the Railway Authority to accept the lowest tender and no

tenderer/tenderers shall demand any explanation for the cause of rejection of his/her/their

quotation.

14. Rates must be quoted in figures and in words also in Annexure-I enclosed. The offer

must be kept open for 120 days (one hundred twenty days) from the date of opening of the

tender.

15. All the pages of the tender papers are to be signed by the contractor with rubber

stamp and to be submitted in original accordingly as stated above.

16. LIQUIDATED DAMAGE:

If the contractor fails to execute and complete the work within the time specified in the

agreement or within the period of extension granted by the Railways competent authority on

reasonable ground except in so far as the delay is for the Railway administration, the

contractor shall accept reduction from total amount payable to him by the Railway

Administration at the rate of ½% (half percent) per week or part thereof on the total

contract value subject to a maximum of 10% (ten percent) of first 2 lakhs and 5% (five

percent) of the balance of the total contract value for the actual delay occurred beyond the



Date

prescribed time by which the work shall have been completed under the contract. Such

reduction shall be accepted by the contractor in full satisfaction on the contractor’s liability

arising from delay only.

17. TERMS OF PAYMENT:

(i) Currency of

Payment

All payments shall be made in Indian Rupees

(ii) Terms of

Payment

The payments in respect of the Services shall be made as follows:

(a) The payment to the Supplier will be made on the basis on

successful Aadhaar generation on a monthly basis, as and

when the same is provided to the Purchaser by the UIDAI.

Responsibility to produce documental evidence confirming

successful AADHAAR number generation by UIDAI on the

basis of data provided by the contractor will solely lie on

the contractor. The contractor will have to produce the

said documental evidence in original alongwith the bills.

(b) All payments under this Contract shall be made to the

accounts of the Supplier.

(c) Bills and Measurement Book against execution portionof

the work will be prepared and signed jointly with the

Contractor by the concerned Staff & Welfare Inspector

duly endorsed by concerned Assistant Registrar (Senior

Divisional Personnel Officer) on account and final bill(s)

and the same should be sent to Chief Personnel Officer,

East Central Railway, Hajipur’s office for passing the same

through FA&CAO, East Central Railway, Hajipur. 10% (ten

percent) retention money so deducted from on account

bills will be paid through Final Bill.

(d) (i) Tenderer should give consent in a mandate form for

receipt of payment through ECS/EFT.

(ii) Tenderer should provide the details of Bank account in time

with RBI guidelines for the same. These details will include

Bank Name, Branch Code, IFSC as appearing on MICR

cheque issue by Bank.

Note: Assessment should be made about work done from the

previous payment period, for which the payment is made

or to be made till the date of the termination. The Supplier

shall provide the details of the services performed

during this period with supporting documents. Based

on such details, the remuneration shall be calculated based



Date

on the rate as specified.

18. PENALTY ON QUALITY OF DATA:

There should not be failure due to

Wrong/bad Quality

(i) Demographic error at the rate of Rs.

150 (rupees one hundred fifty) only per

such case.

(ii) Biometric errors, process violations,

wrongly enforced biometric exception at

the rate of Rs. 500 (rupees five hundred)

only per such case in addition to criminal

liability against concerned operator

and/or supervisor in case of attempt to

fraud is established.

19. DISQUALIFICATION:

Purchaser may at its sole discretion and at any time during the evaluation of

application, disqualify any applicant, if the applicant:

(i) Submitted the application after the response deadline;

(ii) Made misleading or false representations in the forms, statements and

attachments submitted in proof of the eligibility requirements;

(iii) Exhibited a record of poor performance such as abandoning works, not

properly completing the contractual obligations, inordinately delaying completion or

financial failures, etc. in any project in the preceding three years;

(iv) Submitted an application that is not accompanied by required documentation

or is non-responsive;

(v) Failed to provide clarifications related thereto, when sought;

(vi) Submitted more than one application either as a Single Agency/ Prime Agency/

consortium member;

(vii) Was declared ineligible/blacklisted by the Government of India/State/UT

Government;

(viii) Is in litigation with any Government in India;

(ix) Any agency which was previously engaged with the supplier and has not

agreed to continue shall not be eligible to participate in the bidding process

(x) In cases where the total population to be covered including the current bid

exceeds the Bidder’s limit as mentioned in the Maximum Bid Capacity for the Bidder’s

Financial Capacity ‘TIER’ as described below, the Bidder shall be disqualified from

bidding.

Sl. No. Financial Capacity ‘TIER’ Maximum Bid Capacity

(maximum enrolments in a year)



Date

1 F1 25 Lakh enrolments



4 F4 500 Lakh enrolemnts

20. Rules in vogue regarding Works Contract as per GCC-2014 of Indian Railways

and up-to-date modification thereof will be applicable to this work.

21. Whenever there is a conflict between Special Condition of Contract (SCC) if

any, the provisions herein in SCC shall prevail over those in the General Condition of

Contract (GCC).

22. The contractor shall comply with all statutory provisions as applicable in this

contract.



Date

Annexure – ‘A’

(To be submitted on the Letter head of the applicant)

To,

Chief Personnel Officer

East Central Railway, Hajipur

Dear Sir,

Ref: Tender Notice No. ECR/CPO/AADHAR/1/2015 dated …………

1. Having examined tender document, I/we, the undersigned, herewith submit

my/our response to your Tender Notification dated ………… for selection of

enrolment agencies, in full conformity with the said tender document. I/We, the

undersigned, offer to provide services to East Central Railway for carrying out the

enrolment functions for the UID Project of Government of India in accordance with

your tender.

2. I/We have read the provisions of the tender document and confirm that these

are acceptable to me/us. Hence, we are hereby submitting our Financial Bid.

3. We agree to abide by this tender document, consisting of this letter, financial

bid and all attachments, for a period of 120 days from the closing date fixed for

submission of bid as stipulated in the tender document.

4. We would like to declare that we are not involved in any litigation with any

Government in India and we are not under a declaration of ineligibility for corrupt or

fraudulent practices.

5. We hereby declare that we have not been blacklisted by any Central/State/ UT

Government.

6. We hereby declare that we have not been charged with any fraudulent

activities by any Central/State/UT Government.

7. We hereby certify that we have taken steps to ensure that no person acting for

us or on our behalf will engage in bribery.

8. We undertake that, in competing for (and, if the award is made to us, in

executing) the above contract, we will strictly observe the laws against fraud and

corruption in force in India namely “Prevention of Corruption Act, 1988”.

9. We understand that the East Central Railway is not bound to accept any bid

received in response to this tender.

10. In case we are engaged by the East Central Railway as the Enrolling Agency,

we shall provide any assistance/cooperation required by East Central Railway. UIDAI



Date

appointed auditing agencies/UIDAI officials for performing their auditing and

inspection functions. We understand that our non-cooperation for the same shall be

grounds for termination of service.

11. In case we are engaged as the Enrolling Agency, we agree to abide by all the

terms & conditions of the Contract that will be issued by East Central Railway.

12. The financial bid includes the cost of setting up enrolment stations, cost of

providing additional services and performing all functions as per the scope of work

defined in the tender document.

13. Our correspondence details with regard to this tender are:

Sl. No. Information Details

1. Name of the Contact Person

2. Address of the contact person

3. Name, designation and

contact address of the person

to whom all references shall

be made regarding this tender

4. Telephone number of the

contact person

5. Mobile number of the

contact person

6. Fax number of the contact

person

7. Email ID of the contact

person

8 Corporate website URL

We remain,

Yours sincerely,

Authorised signature (in full):

Authorised signature (initials):

Name and Title of the signatory:

Name of the Firm:

Address:

Rubber seal of the firm:



Date

“Annexure – I”

EAST CENTRAL RAILWAY, HEAD QUARTER



Name of Work: Provision for allotment of AADHAAR Numbers to railway

employees (past & serving) and their family members of East Central Railway

Schedule of Items

Sl.

No.

Description Quantity Unit Rate per

unit in

figure (in

rupees)

Rate per

Unit in

words (in

rupees)

1 Supply of enrolment & KYR+

forms and Undertaking

demographic and biometric

enrolment activities as well as

delivering additional services

for the issuance of one UID

number (AADHAAR) include

all costs like the equipment

costs, manpower costs,

vehicle costs, travel and

lodging cost, taxes and duties

and any other miscellaneous

costs for issue of one UID

number

2,34,807

Number

Note:

1. The submission of tender shall be deemed to have been done after careful

study & examination of all papers including technical specification in Annexure – II as

well as work in site area understanding the implication thereof.

2. Quoted rates shall be inclusive of all type of taxes, duties, carrying costs of all

materials for the work including loading & unloading involved in the concerned

work.

3. The work must be completed within one hundred eighty days (180 days) from

the date of issue of the letter of acceptance.

4. Inspection of all equipments to be used for the purpose of the work shall be

done by the authorised representative of Chief Personnel Officer, East Central

Railway, Hajipur. All the cost of inspection shall be borne by the contractor.



Date

5. In case of emergency, the competent authority may change the site of work (if

Railway desires so).

6. The work will be done under the supervision of authorised representative of

Chief Personnel Officer, East Central Railway, Hajipur.

7. After completion of work, the authorised representative of Chief Personnel

Officer, Hajipur will certify the quality & quantity of the work.

8. All the necessary accessories for execution of the work shall be supplied by the

contractor. The contractor shall provide total electrical fittings from where source will

be taken.

Signature of the Tenderer



Date

“Annexure – II”

Biometric Data Capture Standards:

The biometrics are to be collected by the Enrolling Agency based on the standards laid

down by the UIDAI. The recommended standards for the capture of facial image,

finger prints and the iris are as follows:

i. Face Image Capture

Key Decisions Summary of Decisions

Enrolment

Image capture Full frontal, 24 bit colour

Digital / Photographic

requirements

Per ISO 19794-5 Section 7.3, 7.4, 8.3 and 8.4

with Section 8.3 of Technical Corrigendum 2.

Inter-eye distance – minimum 120 pixels.

Pose Per ISO 19794-5 Section 7.2.2

Expression Neutral expression. Specified as best practices.

Illumination Per ISO 19794-5 Section 7.2.7

Eye Glasses Per ISO 19794-5 Section 7.2.11

Accessories Permissible for medical and ethical reasons only.

Multiple samples of face Yes. Recommended for automatic face

recognition.

Operational Per ISO 19794-5 Section 7.2.4 – 7.2.10

Assistance Yes. Specified as best practices.

Segmentation and

feature extraction

Recommended for automatic face recognition

Quality check Yes. Specified as best practice.

Storage and compression Uncompressed image strongly recommended. For

legacy reasons, lossless JPEG 2000 colour

accepted.

Authentication

Image capture Same as enrolment

Compression JPEG 2000 colour compression recommended.

Compression ratio to be less than 10:1

Number of Images One full frontal image

ii. Finger Print Capture



Date


Enrolment

Image capture

Plain or rolled Plain, live scan

Number of fingers Ten

Device characteristics Setting level 31 or above, EFTS/F certified

Quality check Yes – Specified as best practice. Avoid NFIQ

quality 4 and 5 level fingerprints.

Operational

Assistance Yes – Specified as best practice

Corrective measure Yes – Specified as best practice

Storage and transmission

Compression

Uncompressed image strongly recommended.

For legacy reasons, JPEG 2000 or WSQ

compression accepted.

Storage format Per ISO Section 8.3 No deviation necessary

Minutiae format Per ISO Section 8.3. No deviation necessary

Multi-finger fusion

algorithm

Recommended. Application dependent.

Authentication

Image capture

Number of fingers No minimum, no maximum. Application

dependent. Recommended as best practice

Any finger option Yes. Recommended as best practice

Retry Maximum 5. Recommended as best practice.

Device characteristics Setting level 28 or above

Transmission format Per ISO. No tailoring necessary

Compression JPEG 2000 compression recommended.

Compression ratio to be less than 15:1

Minutiae format Per ISO 19794-2. No tailoring necessary

iii. Iris Capture


Enrolment



Date

Image Two eyes, > 140 pixel image diameter (170 pixel

preferred), image margin 50% left and right,

25% top and bottom of iris diameter

Device Characteristics

Tethered, autofocus, continuous image capture,

exposure < 33 mille-second, distance >300 mm

for operator control, > 100mm Enrolee control

Operational

Operator controlled strongly preferred. No direct

natural or artificial light reflection in the eye,

capture location: indoor.

Segmentation Non-linear segmentation algorithm

Quality Assessment Per IREX II recommendations

Compression and

Storage

ISO 19794-6 (2010) data format standard as

tailored in Section 11 JPEG 2000 or PNG lossless

compression, KIND_VGA of Table A.1 of ISO

19794-6 (2010)

Authentication Same as enrolment except One and / or two eyes

JPEG 2000

(All these above specifications are bare minimum, any latest specification

suggested/amended by UIDAI should be followed).



Date


HEAD QUARTER

Schedule of Items Rebate Form

TENDER NOTICE NO.: ECR/CPO/AADHAAR/1/2015

DATE OF OPENING: ................

NAME OF THE WORK: Provision for allotment of AADHAAR Numbers to all

railway employees (past & serving) and their family members of East Central Railway.

I/We offer a general rebate of __________% (___________________ percent) as

lump sum rebate on all items of all the schedules.

Notes:

1. If any tenderer wishes to give rebate on the rates quoted by him, the same

may be filled up by him in the schedule.

2. It is to be noted that such rebate, if offered, shall apply on rates quoted for all

items in all the schedules of this tender document. Such a rebate shall be totally

unconditional.

3. In case tenderer does not wish to give any rebate, he should write “NIL” in this

schedule.

4. In case nothing has been filled in by tenderer in this schedule, it will be treated

as “NIL” and shall be so recorded in the blanks above at the time of opening of this

tender by the officials opening this tender.

5. If any tenderer gives any type of conditional rebate, such rebate shall not be

considered for evaluation of the tender. However, if his tender is accepted by the

Railway, it will avail the aforesaid rebate.

Signature of the Tenderer

Date:_____________

Witness:

1. Signature: _______________

Name & Address: ___________________________________________

2. Signature: _________________________________

Name & Address: _____________________________________________________



Date

ELECTRIONIC FUND TRANSFER MANDATE FORM

To,

FA & CAO,

East Central Railway, Hajipur

M/s. ………………………………………………………………………………………

…………………………………………………………………………………………………..

like to opt for the EFT and the information in this regard is submitted below for your

kind perusal.

1. Vendor Code (will be given by Railway): ……………………………………………

2. Vendor Name: ………………………………………………………………………….

3. Vendor Address: ………………………………………………………………………..

…………………………………………………………………………………………………..

4. Vendor Telephone No. & E-mail (if any): ……………………………………………

5. Bank Code: ……………………………………………………………………………...

(Photocopy of MICR Cheque leaf must be attached)

6. Name & Address of Bank and Branch: ……………………………………………….

…………………………………………………………………………………………………..

7. Bank Account No.: ……………………………………………………………………..

8. Bank Account Type (Please tick as applicable): Current/Savings/Cash Credit

9. PAN: ……………………………………………………………………………………

10. VAT Registration No.:…………………………………………………………………..

11. IFS Code (11 Digits to be collected by Bank): ………………………………………..

Signature of the authorized signatory

of the firm with seal



Date

Non Judicial Stamp Paper of Rs. 100/-

MODEL FORM OF PERFORMANCE BANK GUARANTEE BOND

GUARANTEE BOND

To

The President of India

Acting through: FA&CAO, East Central Railway, Hajipur

1. In consideration of the President of India (hereinafter called “the Government”)

having agreed to exempt __________________________________________ (hereinafter

called “the said contractor(s)” from the demand, under the terms and conditions of

an Acceptance Letter No. _________________________________________________

dated _____________________ made between (Name of Executive) and (Name of

Agency) for (Name of work) (hereinafter called “the said Agreement”), of

Performance Guarantee for the due fulfillment by the said Contractor(s) of the terms

and condition contained in the said Agreement, on production of a irrevocable Bank

Guarantee drawn in favour of “FA&CAO, East Central Railway”, Hajipur for Rupees

________________________ (Rupees __________________________________________)

only. We ________________________________________________ (indicate the name

of Bank with full address) (hereinafter referred to as “the Bank”) at the request of

___________________________________________ contractor(s) do hereby undertake

to pay to the Government an amount not exceeding Rupees

___________________________ against any loss or damage caused to or suffered or

would be caused to or suffered by the Government by reason of any breach by the

said contractor(s) of any of the terms or conditions contained in the said Agreement.

2. We ____________________________________________ do hereby undertake to

pay the amount due and payable under this (indicate the name of bank with full

address) guarantee without any demur, merely on a demanded from the Government

stating that the amount claimed is due by way of loss or damage caused to or would

be caused to or suffered by the Government by reason of breach by the said

contractor(s) of any of the terms or conditions contained in the said Agreement or by

reason of the contractor(s) failure to perform the said Agreement. Any such demand

made on the Bank shall be conclusive as regards the amount due and payable by the

Bank under this guarantee. However, our liability under this guarantee shall be

restricted to an amount not exceeding Rs. _____________________________________.

3. We undertake to pay the Government acting through FA&CAO, East Central

Railway, Hajipur, any money so demand notwithstanding any dispute or disputes

raised by the contractor(s)/supplier(s) in any suit or proceeding pending before any

court or Tribunal relating thereto our liability under this present being absolute and



Date

unequivocal.

The payment so made by us under this bond shall be a valid discharge of our liability

for payment there under and the contractor(s)/supplier(s) shall have no claim against

us for making such payment.

4. We _________________________________________ further agree that the

guarantee herein contained shall remain (indicate the name of bank) in full force and

effect during the period that would be taken for the performance of the said

Agreement and that it shall continue to be enforceable till all the dues of the

Government under or by virtue of the said Agreement have been fully paid and its

claims satisfied or discharged or till Concerned Authority of Ministry of Railways

certifies that the terms and conditions of the said Contract have been fully and

properly carried out by the said contractor and accordingly discharges this guarantee.

Unless a demand of calim unde the guarantee is made on us in writing on or before

the (Date of completion + 3 (three) months thereafter) we shall be discharged from

all liability under this guarantee thereafter.

5. We ___________________________________________ further agree with the

government acting through (indicate the name of bank) FA&CAO, East Central

Railway, Hajipur that the Government shall have the fullest liberty without our

consent and without affecting in any manner our obligations hereunder to vary any

of the terms and conditions of the said Agreement or to extend time of performance

by the said contractor(s) from time to time or to postpone for any time or from time

to time any of the powers exercisable by the Government against the said

Contractor(s) and to forbear or enforce any of the terms and conditions relating to

the said Agreement and we shall not be relieved from our liability by reason of any

such variation or extension being granted to the said Contractor(s) or for any

forbearance act or omission on the part of the Government or any indulgence by the

Government to the said Contractor(s) or any such matter or thing whatsoever which

under the law relating to sureties would but for this provision, have effect of so

relieving us.

6. This guarantee will not be discharged due to the change in the constitution of

the Bank or the Contractor(s)/Supplier(s).

7. We _______________________________________ lastly undertake not to revoke

this guarantee during its currency (indicate the name of bank) except with the

previous consent of the Government in writing.

Date the ______________________ day of ______________ 2015

For _____________________________________________________



Date

(indicate the name of the Bank)

Seal & Stamp



Date

STANDARD GENERAL CONDITIONS OF CONTRACT

DEFINITIONS AND INTERPRETATION

1. (1) Definition: In these General Conditions of Contract, the following terms

shall have the meaning assigned hereunder except where the context otherwise

requires:

(a) “Railways” shall mean the President of the Republic of India or the Administrative

Officers of the Railway or of the Successor Railway authorized to deal with any

matters which these presents are concerned on his behalf.

(b) “General Manager” shall mean the Officer in-charge of the General

Superintendence and Control of the Railway and shall also include the General

Manager (Construction) and shall mean and include their successors, of the successor

Railway.

(c) “Chief Personnel Officer” shall mean the Officer in-charge of the Personnel

Department of Railway.

(d) “Contractor” shall mean the Person/Firm/Co-operative Society or Company

whether incorporated or not who enters into the contract with the Railway and shall

include their executors, administrators, successors and permitted assigns.

(e) “Contract” shall mean and include the Agreement of Work Order, the accepted

Schedule of Rates or the Schedule or Rates of Railway modified by the tender

percentage for items of works quantified, or not quantified, the General Conditions of

Indian Railways Standard General Conditions of Contract – July 2013 Contract, the

Special Conditions of Contract, if any; the Drawing, the Specifications, the Special

Specifications, if any and Tender Forms, if any.

(f) “Works” shall mean the works to be executed in accordance with the contract.

(g) “Specifications” shall mean the Standard Specifications for Materials & Works of

Railway as specified by Railway under the authority of the Chief Personnel Officer or

as amplified, added to or superseded by Special Specifications, if any.

(h) “Schedule of Rates of Railway” shall mean the Schedule of Rates issued under the

authority of the Chief Personnel Officer from time to time.

(i) “Drawing” shall mean the maps, drawings, plans and tracings or prints thereof

annexed to the contract and shall include any modifications of such drawings and

further drawings as may be issued by the Railway from time to time.

(j) “Constructional Plant” shall mean all appliances or things of whatsoever nature

required for the execution, completion or maintenance of the works or temporary

works (as hereinafter defined) but does not include materials or other things intended

to form or forming part of the permanent work.

(k) “Temporary Works” shall mean all temporary works of every kind required for

the execution completion and/or maintenance of the works.

(l) “Site” shall mean the lands and other places on, under, in or through which the



Date

works are to be carried out and any other lands or places provided by the Railway

for the purpose of the contract.

(m) “Period of Maintenance” shall mean the specified period of maintenance from the

date of completion of the works, as certified by the Railway.

1.(2) Singular and Plural: Words importing the singular number shall also include the

plural and vice versa where the context requires.

1.(3) Headings and Marginal Headings: The headings and marginal headings in these

general conditions are solely for the purpose of facilitating reference and shall not be

deemed to be part thereof or be taken into consideration in the interpretation or

construction thereof or the contract.

GENERAL OBLIGATIONS

2. (1) Execution Co-Relation And Intent Of Contract Documents: The contract

documents shall be signed in triplicate by the Railway and the Contractor. The

contract documents are complementary and what is called for by anyone shall be as

binding as if called for by all, the intention of the documents is to include all labour

and materials, equipments and transportation necessary for proper execution of work.

Materials or works not covered by or properly inferable from any heading or class of

the specifications shall not be supplied by the Railway to the contractors unless

distinctly specified in the contract documents. Materials or works described in words

which so applied have a well-known technical or trade meaning shall be held to refer

to such recognized standards.

2. (2) If a work is transferred from the jurisdiction of one Railway to another Railway

or to a Project authority or vice versa while contract is in subsistence, the contract

shall be binding on the Contractor and the Successor Railway/Project in the same

manner & take effect in all respects as if the Contractor and the Successor Railway/

Project were parties thereto from the inception and the corresponding officer or the

Competent Authority in the Successor Railway/Project will exercise the same powers

and enjoy the same authority as conferred to the Predecessor Railway/Project under

the original contract/agreement entered into.

2. (3) If for administrative or other reasons the contract is transferred to the Successor

Railway, the contract shall, notwithstanding any things contained herein contrary

thereto, be binding on the Contractor and the Successor Railway in the same manner

and take effect in all respects as if the Contractor and the Successor Railway had been

parties thereto from the date of this contract.

3. (1) Law Governing the Contract: The contract shall be governed by the law for the

time being in force in the Republic of India.

3. (2) Compliance to Regulations and Bye-Laws: The Contractor shall conform to the

provision of any statute relating to the works and regulations and bye-laws of any

local authority and of any water and lighting companies or undertakings, with whose

system the work is proposed to be connected and shall before making any variation

from the drawings or the specifications that may be necessitated by so confirming give



Date

to the Engineer notice specifying the variation proposed to be made and the reason

for making the variation and shall not carry out such variation until he has received

instructions from the Engineer in respect thereof. The Contractor shall be bound to

give all notices required by statute, regulations or bye-laws as aforesaid and to pay all

fees and taxes payable to any authority in respect thereof.

4. Communications to be in Writing: All notices, communications, reference and

complaints made by the Railway or the Railway’s Representative or the Contractor

interse concerning the works shall be in writing and no notice, communication,

reference or complaint not in writing shall be recognized.

5. Service of Notices on Contractors: The Contractor shall furnish to the Railway the

name, designation and address of his authorized agent and all complaints, notices,

communications and references shall be deemed to have been duly given to the

Contractor, if delivered to the Contractor or his authorized agent or left at or posted

to the address so given and shall be deemed to have been so given in the case of

posting on day on which they would have reached such address in the ordinary

course of post or on the day on which they were so delivered or left. In the case of

contract by partners, any change in the constitution of the firm shall be forthwith

notified by the Contractor to the Railway.

6. Occupation and Use of Land: No land belonging to or in the possession of the

Railway shall be occupied by the Contractor without the permission of the Railway.

The Contractor shall not use, or allow to be used, the site for any purposes other than

that of executing the works. Whenever non-railway bodies/persons are permitted to

use railway premises with competent authority’s approval, conservancy charges as

applicable from time to time may be levied.

7. Assignment or Subletting of Contractor: The Contractor shall not assign or sublet

the contract or any part thereof or allow any person to become interested therein any

manner whatsoever without the special permission in writing of the Railway. Any

breach of this condition shall entitle the Railway to rescind the contract under Clause

62 of the Indian Railways Standard General Conditions of Contract and also render

the contractor liable for payment to the Railway in respect of any loss or damage

arising or ensuing from such cancellation. Provided always that execution of the

details of the work by petty contractor under the direct and personal supervision of

the Contractor or his agent shall not be deemed to be sub-letting under this clause.

The permitted subletting of work by the Contractor shall not establish any contractual

relationship between the sub-contractor and the Railway and shall not relieve the

Contractor of any responsibility under the Contract.

8. Railway Passes: No free Railway passes shall be issued by the Railway to the

Contractor or any of his employee/worker.

9. Representation on Works: The Contractor shall, when he is not personally present

on the site of the works place and keep a responsible agent at the works during

working hours who shall on receiving reasonable notice, present himself to the

Railway and orders given by the Railway to the agent shall be deemed to have the

same force as if they had been given to the Contractor. Before absenting himself, the

Contractor shall furnish the name and address of his agent for the purpose of this



Date

clause and failure on the part of the Contractor to comply with this provision at any

time will entitle the Railway to rescind the contract under Clause 62 of the Indian

Railways Standard General Conditions of Contract.

10. Force Majeure Clause: If at any time, during the continuance of this contract, the

performance in whole or in part by either party of any obligation under this contract

shall be prevented or delayed by reason of any war, hostility, acts of public enemy,

civil commotion, sabotage, serious loss or damage by fire, explosions, epidemics,

strikes, lockouts or acts of God (hereinafter, referred to events) provided, notice of

the happening of any such event is given by either party to the other within 30 days

from the date of occurrence thereof, neither party shall by reason of such event, be

entitled to terminate this contract nor shall either party have any claim for damages

against the other in respect of such non-performance of delay in performance, and

works under the contract shall be resumed as soon as practicable after such event has

come to an end or ceased to exist, and the decision of the Engineer as to whether the

works have been so resumed or not shall be final and conclusive, PROVIDED

FURTHER that if the performance in whole or in part of any obligation under this

contract is prevented or delayed by reason of any such event for a period exceeding

120 days, either party may at its option terminate the contract by giving notice to the

other party.

10-A Subject to any requirement in the contract as to completion of any portions or

portions of the works before completion of the whole, the contractor shall fully and

finally complete the whole of the works comprised in the contract (with such

modifications as may be directed under conditions of this contract) by the date

entered in the contract or extended date in terms of the following clauses:

(i) If any modifications have been ordered which in the opinion of the Railway have

materially increased the magnitude of the work, then such extension of the contracted

date of completion may be granted as shall appear to the Railway to be reasonable in

the circumstances, provided moreover that the Contractor shall be responsible for

requesting such extension of the date as may be considered necessary as soon as the

cause thereof shall arise and in any case not less than one month before the expiry of

the date fixed for completion of the works.

(ii) If in the opinion of the Railway, the progress of work has any time been delayed

by any act or neglect of Railway’s employees or by other contractor employed by the

Railway or in executing the work not forming part of the contract but on which

contractor’s performance necessarily depends or by reason of proceeding taken or

threatened by or dispute with adjoining or to neighbouring owners or public

authority arising otherwise through the Contractor’s own default etc. or by the delay

authorized by the Engineer pending arbitration or in consequences of the contractor

not having received in due time necessary instructions from the Railway for which he

shall have specially applied in writing to the Railway then upon happening of any

such event causing delay, the Contractor shall immediately give notice thereof in

writing to the Railway within 15 days of such happening, but shall nevertheless make

constantly his best endeavours to bring down or make good the delay and shall do all

that may be reasonably required of him to the satisfaction of the Engineer to proceed



Date

with the works. The contractor may also indicate the period for which the work is

likely to be delayed and shall be bound to ask for necessary extension of time. The

Railway on receipt of such request from the contractor shall conider the same and

shall grant such extension of time as in his opinion is reasonable having regard to the

nature and period of delay and the type and quantum of work affected thereby. No

other compensation shall be payable for works so carried forward to the extended

period of time, the same rates, terms and conditions of contract being applicable as if

such extended period of time was originally provided in the original contract itself.

(iii) In the event of any failure or delay by the Railway to hand over the Contractor

possession of the lands necessary for the execution of the works or to give the

necessary notice to commence the works or to provide the necessary drawings or

instructions or any other delay caused by the Railway due to any other cause

whatsoever, then such failure or delay shall in no way affect or vitiate the contract or

alter the character thereof or entitle the contractor to damages or compensation

therefor, but in any such case, the Railway may grant such extension or extensions of

the completion date as may be considered reasonable.

10-B Extension of Time for Delay due to Contractor: The time for the execution of

the work or part of the works specified in the contract documents shall be deemed to

be essence of the contract and the works must be completed not later than the date(s)

as specified in the contract. If the contractor fails to complete the works within the

time as specified in the contract for the reasons other than the reasons specified in

Clause 10 and 10-A, the Railway may, if satisfied that the works can be completed by

the contractor within reasonable short time thereafter, allow the contractor for

further extension of time (Performa Annexure-VII) as Railway may decide. On such

extension the Railway will be entitled without prejudice to any other right and

remedy available on that behalf, to recover from the contractor as agreed damages

and not by way of penalty a sum equivalent to ½ to 1% of the contract value of the

works for each week or part of the week. For the purpose of this Clause, the contract

value of the works shall be taken as value of work as per contract agreement

including any supplementary work order/contract agreement issued. Provided also,

that the total amount of liquidated damages under this condition, shall not exceed the

under noted percentage value or of the total value of the item or groups of items of

work for which a separate distinct completion period is specified in the contract.

(i) For contract value upto Rs. 2 lakh – 10% of total value of the contract

(ii) For contracts valued above Rs. 2 lakh – 10% of first Rs. 2 lakh and 5% of balance.

Further, competent authority while granting extension to the currency of contract

under Clause 10-B of GCC may also consider levy of token penalty, as deemed fit

based on the merit of the case. Provided further, that if the Railway is not satisfied

that the works can be completed by the Contractor and in the event of failure on the

part of the contractor to complete the work within further extension of time allowed

as aforesaid, the Railway shall be entitled without prejudice to any other right or

remedy available in that behalf, to appropriate the contractor’s Security Deposit and

rescind the contract under Clause 62 of the Indian Railways Standard General

Conditions of Contract, whether or not actual damage is caused by such default.



Date

11. (1) Illegal Gratification: Any bribe, commission, gift or advantage given, promised

or offered by or on behalf to the Contractor or his partner, agent or servant or,

anyone on his behalf, to any officer or employee of the Railway, or to any person on

his behalf in relation to obtaining or execution of this or any other contract with the

Railway shall, in addition to any criminal liability which he may incur, subject

contractor to the rescission of the contract and all other contracts with the Railway

and to the payment of any loss or damage resulting from such decision and the

Railway shall be entitled to deduct the amounts so payable from any moneys due to

the Contractor(s) under this contract or any other contracts with the Railway.

11.(2) The Contractor shall not lend or borrow from or have or enter into any

monitory dealings or transactions either directly or indirectly with any employee of

the Railway and if he shall do so, the Railway shall be entitled forthwith to rescind

the contract and all other contracts with the Railway. Any question or dispute as to

the commission or any such offence or compensation payable to the railway under

this Clause shall settled by the General Manager of the Railway, in such a manner as

he shall consider fit & sufficient and his decision shall be final & conclusive. In the

event of rescission of the contract under this Clause, the Contractor will not be paid

any compensation whatsoever except payments for the work done up to the date of

rescission.

EXECUTION OF WORKS

12. (1) Contractor’s Understanding: It is understood and agreed that the Contractor

has, by careful examination, satisfied himself as to the nature and location of the

work, the conformation of the ground, the character, quality and quantity of the

materials to be encountered, the character of equipment and facilities needed

preliminary to and during the progress of the works, the general and local conditions,

the labour conditions prevailing therein and all other matters which can in any way

affect the works under the contract.

12. (2) Commencement of Works: The Contractor shall commence the works within

15 days after the receipt by him of an order in writing to this effect from the Railway

and shall proceed with the same with due expedition and without delay.

13. Instruction of Railway’s Representative: Any instructions or approval given by the

Railway’s representative to Contractor in connection with the works shall bind the

Contractor as though it had been given by the Railway provided always as follows:

(a) Failure of the Railway’s representative to disapprove any work or materials shall

not prejudice the power of the Railway Administration thereafter to disapprove such

work or material and to order the removal or breaking up thereof.

(b) If the Contractor shall be dissatisfied by reason of any decision of the Railway’s

representative, he shall be entitled to refer the matter to the Railway who shall there

upon confirm or vary such decision.

14. Adherence to Specifications and Drawings: The whole of the works shall be

executed in perfect conformity with the specifications and drawings of the contract. If

Contractor performs any works in a manner contrary to the specifications or drawings

or any of them and without such reference to the Railway, he shall bear all the costs



Date

arising or ensuing there from and shall be responsible for all loss to the Railway.

15. Working During Night: The Contractor shall not carry out any work between

sunset and sun-rise without the previous permission of the Railway.

16. Damage to Railway Property or Private Life and Property: The Contractor shall be

responsible for all risk to the work and for trespass and shall make good at his own

expense all loss or damage whether to the works themselves or to any other property

of the Railway or the lives, persons or property of others from whatsoever cause in

connection with the works until they are taken over by the Railway and this although

all reasonable and proper precautions may have been taken by the Contractor, and in

case the Railway shall be called upon to make good any costs, loss or damages, or to

pay any compensation, including that payable under the provisions of the Workmen’s

Compensation Act or any statutory amendments thereof to any person or persons

sustaining damages as aforesaid by reason of any act, or any negligence or omissions

on the part of the Contractor, the amount of any costs or charges including costs and

charges in connection with legal proceedings, which the Railway may incur in

reference thereto, shall be charged to the Contractor. The Railway shall have the

power and right to pay or to defend or compromise any claim of threatened legal

proceedings or in anticipation of legal proceedings being instituted consequent on the

action or default of the Contractor, to take such steps as may be considered necessary

or desirable to ward off or mitigate the effect of such proceedings, charging to

Contractor, as aforesaid, any sum or sums of money which may be paid and any

expenses whether for reinstatement or otherwise which may be incurred and the

propriety of any such payment, defence or compromise, and the incurring of any such

expenses shall not be called in question by the Contractor.

17. Deployment of Qualified Manpower at Work Sites by the Contractor: The

contractor shall also employ Qualified Manpower, based on value of contract, as may

be prescribed by the Ministry of Railways through separate instructions from time to

time.

18. Workmanship and Testing: The whole of the work and/or supply of materials

specified and provided in the contract or that may be necessary to be done in order

to form and complete any part thereof shall be executed in the best and most

substantial workman like manner with materials of the best and most approved

quality of their respective kinds, agreeable to the particulars contained in or implied

by the specifications and as referred to in and represented by the drawings or in such

other additional particulars, instructions and drawings may be found requisite to be

given during the carrying on of the works and to the entire satisfaction of the Railway

according to the instructions and directions which the Contractors may from time to

time receive from the Railway. The materials may be subjected to tests by means of

such machines, instruments and appliances as the railway may direct and wholly at

the expense of the Contractor.

19. Facilities for Inspection: The Contractor shall afford the Railway’s Representative

every facility for entering in and upon every portion of the work at all hours for the

purpose of inspection or otherwise and shall provide all labour, materials, planks,

ladders, pumps, appliances and things of every kind required for the purpose and



Date

Railway’s Representative shall at all times have free access to every part of the works

and to all places at which materials for the works are stored or being prepared.

20. Tools, Plant and Materials Supplied by Railway: The Contractor shall take all

reasonable care of all tools, plant and materials or other property whether of a like

description or not belonging to the Railway and committed to his charge for the

purpose of the works and shall be responsible for all damage or loss caused by him,

his agents, permitted subcontractor, or his workmen or others while they are in his

charge. The Contractors shall sign accountable receipts for tools, plants and materials

made over to him by the Railway and on completion of the works shall hand over

the unused balance of the same to the Railway in good order and repair, fair wear

and tear excepted, and shall be responsible for any failure to account for the same or

any damage done thereto.

21. Precaution during Progress of Works: During the execution of works, unless

otherwise specified, the Contractor shall at his own cost provide the materials for and

execute all shoring, timbering and strutting works as is necessary for the stability and

safety of all structures, excavations and works and shall ensure that no damage, injury

or loss is caused or likely to be caused to any person or property.

22. Suspension of Works: The Contractor shall on the order of the Railway, suspend

the progress of the works or any part thereof for such time or times and in such

manner as the Railway may consider necessary and shall during such suspension

properly protect and secure the work so far as is necessary in the opinion of the

Railway. If such suspension is:

(a) Provided for in the contract, or

(b) Necessary for the proper execution of the works or by the reason of weather

conditions or by some default on the part of the Contractor, and or

(c) Necessary for the safety of the works or any part thereof.

23. Handing Over of Works: The Contractor shall be bound to hand over the works

executed under the contract to the Railway complete in all respects to the satisfaction

of the Engineer. The Railway shall determine the date on which the work is

considered to have been completed, in support of which his certificate shall be

regarded as sufficient evidence for all purposes. The Railway shall determine from

time to time, the date on which any particular section of the work shall have been

completed, and the contractor shall be bound to observe any such determination of

the Railway.

24. Clearance Of Site On Completion: On completion of the works, the Contractor

shall clear away and remove from the site all constructional plant, surplus materials,

rubbish and temporary works of every kind and leave the whole of the site and

works clean and in a workman like condition to the satisfaction of the Railway. No

final payment in settlement of the accounts for the works shall be paid, held to be

due or shall be made to the Contractor till, in addition to any other condition

necessary for final payment, site clearance shall have been affected by him, and such

clearance may be made by the Railway at the expense of the Contractor in the event

of his failure to comply with this provision within 7 days after receiving notice to that



Date

effect. Should it become necessary for the Railway to have the site cleared at the

expenses of the Contractor, the Railway shall not be held liable for any loss or

damage to such of the Contractor’s property as may be on the site and due to such

removal there from which removal may be affected by means of public sales of such

materials and property or in such a way as deemed fit and convenient to the Railway.

VARIATIONS IN EXTENT OF CONTRACT

25.(1) Modification To Contract To Be In Writing: In the event of any of the

provisions of the contract requiring to be modified after the contract documents have

been signed, the modifications shall be made in writing and signed by the Railway

and the Contractor and no work shall proceed under such modifications until this has

been done. Any verbal or written arrangement abandoning, modifying, extending,

reducing or supplementing the contract or any of the terms thereof shall be deemed

conditional and shall not be binding on the Railway unless and until the same is

incorporated in a formal instrument and signed by the Railway and the Contractor,

and till then the Railway shall have the right to repudiate such arrangements.

25. (2) Variations In Quantities During Execution Of Works Contracts: The procedure

detailed below shall be adopted for dealing with variations in quantities during

execution of works contracts:

1. Individual NS items in contracts shall be operated with variation of plus or minus

25% and payment would be made as per the agreement rate. For this, no finance

concurrence would be required.

2. In case an increase in quantity of an individual item by more than 25% of the

agreement quantity is considered unavoidable, the same shall be got executed by

floating a fresh tender. If floating a fresh tender for operating that item is considered

not practicable, quantity of that item may be operated in excess of 125% of the

agreement quantity subject to the following conditions:

(a) Operation of an item by more than 125% of the agreement quantity needs the

approval of an officer of the rank not less than S.A. Grade;

(i) Quantities operated in excess of 125% but up to 140% of the agreement quantity

of the concerned item, shall be paid at 98% of the rate awarded for that item in that

particular tender;

(ii) Quantities operated in excess of 140% but up to 150% of the agreement quantity

of the concerned item shall be paid at 96% of the rate awarded for that item in that

particular tender;

(iii) Variation in quantities of individual items beyond 150% will be prohibited and

would be permitted only in exceptional unavoidable circumstances with the

concurrence of associate finance and shall be paid at 96% of the rate awarded for

that item in that particular tender.

(b) The variation in quantities as per the above formula will apply only to the

Individual items of the contract and not on the overall contract value.

(c) Execution of quantities beyond 150% of the overall agreemental value should not

be permitted and, if found necessary, should be only through fresh tenders or by

negotiating with existing contractor, with prior personal concurrence of

FA&CAO/FA&CAO(C) and approval of General Manager.

3. In cases where decrease is involved during execution of contract:



Date

(a) The contract signing authority can decrease the items up to 25% of individual item

without finance concurrence.

(b) For decrease beyond 25% for individual items or 25% of contract agreement

value, the approval of an officer not less than rank of S.A. Grade may be taken, after

obtaining 'No Claim Certificate' from the contractor and with finance concurrence,

giving detailed reasons for each such decrease in the quantities.

(c) It should be certified that the work proposed to be reduced will not be required in

the same work.

4. The limit for varying quantities for minor value items shall be 100% (as against

25% prescribed for other items). A minor value item for this purpose is defined as an

item whose original agreement value is less than 1 % of the total original agreement

value.

5. No such quantity variation limit shall apply for foundation items.

6. As far as SOR items are concerned, the limit of 25% would apply to the value of

SOR schedule as a whole and not on individual SOR items. However, in case of NS

items, the limit of 25% would apply on the individual items irrespective of the

manner of quoting the rate (single percentage rate or individual item rate).

7. For the tenders accepted at Zonal Railways level, variations in the quantities will be

approved by the authority in whose powers revised value of the agreement lies.

8. For tenders accepted by General Manager, variations up to 125% of the original

agreement value may be accepted by General Manager.

9. For tenders accepted by Board Members and Railway Ministers, variations up to

110% of the original agreement value may be accepted by General Manager.

10. The aspect of vitiation of tender with respect to variation in quantities should be

checked and avoided. In case of vitiation of the tender (both for increase as well as

decrease of value of contract agreement), sanction of the competent authority as per

single tender should be obtained.

{Authority: (1) Item-9 to Railway Board's letter no. 2007/CE-IICT/18, Dated 28.09.07

and (2) Item-2 to Railway Board’s letter no. 2007/CE.IICT/18/Pt.XII, Dated 31.12.10}

CLAIMS

26. (1) Monthly Statement of Claims: The Contractor shall prepare and furnish to the

Railway once in every month an account giving full and detailed particulars of all

claims for any additional expenses to which the Contractor may consider himself

entitled to and of all extra or additional works ordered by the Railway which he has

executed during the preceding month and no claim for payment for and such work

will be considered which has not been included in such particulars.

26. (2) Signing of "No Claim" Certificate: The Contractor shall not be entitled to make

any claim whatsoever against the Railway under or by virtue of or arising out of this

contract, nor shall the Railway entertain or consider any such claim, if made by the

Contractor, after he shall have signed a "No Claim" Certificate in favour of the

Railway in such form as shall be required by the Railway after the works are finally

measured up. The Contactor shall be debarred from disputing the correctness of the

items covered by "No Claim" Certificate or demanding a clearance to arbitration in

respect thereof.

MEASUREMENTS, CERTIFICATES AND PAYMENTS



Date

27. Quantities In Schedule Annexed To Contract: The quantities set out in the

accepted Schedule of Rates with items of works quantified are the estimated quantities

of the works and they shall not be taken as the actual and correct quantities of the

work to be executed by the Contractor in fulfillment of his obligations under the

contract.

28. Measurement of Works: The Contractor shall be paid for the works at the rates in

the accepted Schedule of Rates and for extra works at rates determined under Clause

39 of these Conditions on the measurements taken by the Railway's representative in

accordance with the rules prescribed for the purpose by the Railway. The quantities

for items the unit of which in the accepted Schedule of Rates is 100 or 1000 shall be

calculated to the nearest whole number, any fraction below half being dropped and

half and above being taken as one; for items the unit of which in the accepted

Schedule of Rates is single, the quantities shall be calculated to two places of decimals.

Such measurements will be taken of the work in progress from time to time and at

such intervals as in the opinion of the Railway shall be proper having regard to the

progress of works. The date and time on which ‘on account’ or ‘final’ measurements

are to be made shall be communicated to the Contractor who shall be present at the

site and shall sign the results of the measurements (which shall also be signed by the

Railway's representative) recorded in the official measurements book as an

acknowledgement of his acceptance of the accuracy of the measurements. Failing the

Contractor's attendance, the work may be measured up in his absence and such

measurements shall, notwithstanding such absence, be binding upon the Contractor

whether or not he shall have signed the measurement books provided always that

any objection made by him to measurement shall be duly investigated and considered

in the manner set out below:

(a) It shall be open to the Contractor to take specific objection to any recorded

measurements or Classification on any ground within seven days of the date of such

measurements. Any re-measurement taken by the Railway's representative in the

presence of the Contractor or in his absence after due notice has been given to him in

consequence of objection made by the Contractor shall be final and binding on the

Contractor and no claim whatsoever shall thereafter be entertained regarding the

accuracy and classification of the measurements.

(b) If an objection raised by the Contractor is found by the Railway to be incorrect

the Contractor shall be liable to pay the actual expenses incurred in measurements.

29.(1) "On-Account " Payments: The Contractor shall be entitled to be paid from time

to time by way of "On-Account" payment only for such works as in the opinion of the

Railway he has executed in terms of the contract. All payments due on the Railway's

Representative's certificates of measurements shall be subject to any deductions which

may be made under these presents and shall further be subject to, unless otherwise

required by Clause 16 of these Conditions, a retention of ten percent by way of

Security Deposits, until the amount of Security Deposit by way of retained earnest

money and such retentions shall amount to 10% of the total value of the contract

provided always that the Railway may by any certificate make any correction or

modification in any previous certificate which shall have been issued by him and that

the Railway may withhold any certificate, if the works or any part thereof are not

being carried out to his satisfaction.



Date

29. (2) Rounding Off Amounts: The total amount due on each certificate shall be

rounded off to the nearest rupee, i.e. sum less than 50 paise shall be omitted and

sums of 50 paise and more up to Rs.1 will be reckoned as Rs. 1.

29. (3) On Account Payments Not Prejudicial To Final Settlement : "On-Account"

payments made to the Contractor shall be without prejudice to the final making up of

the accounts (except where measurements are specifically noted in the Measurement

Book as "Final Measurements" and as such have been signed by the Contractor) and

shall in no respect be considered or used as evidence of any facts stated in or to be

inferred from such accounts nor of any particular quantity of work having been

executed nor of the manner of its execution being satisfactory.

30. Price Variation clause is not applicable to this instant Contract.

31. Maintenance of Works: The Contractor shall at all times during the progress and

continuance of the works and also for the period of maintenance specified in the

Tender Form after the date of passing of the certificate of completion by the Engineer

or any other earlier date subsequent to the completion of the works that may be fixed

by the Engineer be responsible for and effectively maintain and uphold in good

substantial, sound and perfect condition all and every part of the works and shall

make good from time to time and at all times as often as the Engineer shall require,

any damage or defect that may during the above period arise in or be discovered or

be in any way connected with the works, provided that such damage or defect is not

directly caused by errors in the contract documents, act of providence or insurrection

or civil riot, and the Contractor shall be liable for and shall pay and make good to the

Railway or other persons legally entitled thereto whenever required by the Engineer

so to do, all losses, damages, costs and expenses they or any of them may incur or be

put or be liable to by reasons or in consequence of the operations of the Contractor

or of his failure in any respect.

32. (1) Certificate of Completion of Works: As soon as in the opinion of the Railway,

the work has been completed and has satisfactorily passed any final test or tests that

may be prescribed, the Railway shall issue a certificate of completion duly indicating

the date of completion in respect of the work and the period of maintenance of the

work shall commence from the date of completion mentioned in such certificate. The

Railway may also issue such a certificate indicating date of completion with respect to

any part of the work (before the completion of the whole of work), which has been

both completed to the satisfaction of the Railway and occupied or used by the

Railway. When any such certificate is given in respect of part of a work, such part

shall be considered as completed and the period of maintenance of such part shall

commence from the date of completion mentioned in the completion certificate

issued for that part of the work.

{Authority: Railway Board’s letter no.2010/CE-I/CT/11, Dated 11.06.2010}

32. (2) Contractor not absolved by Completion Certificate: The Certificate of

Completion in respect of the works referred to in Sub-Clause (1) of this Clause shall

not absolve the Contractor from his liability to make good any defects imperfections,

shrinkages or faults which may appear during the period of maintenance specified in

the tender arising in the opinion of the Railway from materials or workmanship not

in accordance with the drawings or specifications or instruction of the Railway, which

defects, imperfections, shrinkages or faults shall upon the direction in writing of the



Date

Railway be amended and made good by the Contractor at his own cost; and in case

of default on the part of Contractor, the Railway may employ labour and materials or

appoint another Contractor to amend and make good such defects, imperfections,

shrinkages and faults and all expenses consequent thereon and incidental thereto shall

be borne by the Contractor and shall be recoverable from any moneys due to him

under the contract.

33. (1) Final Payment: On the Railway's certificate of completion in respect of the

works, adjustment shall be made and the balance of account based on the Railway’s

certified measurements of the total quantity of work executed by the Contractor up

to the date of completion and on the accepted schedule or rates shall be paid to the

Contractor subject always to any deduction which may be made under these presents

and further subject to the Contractor having delivered to the Railway either a full

account in detail of all claims he may have on the Railway in respect of the works or

having delivered "No Claim Certificate” and the Railway having after the receipt of

such account given a certificate in writing that such claims are correct, that the whole

of the works to be done under the provisions of the Contracts have been completed,

that they have been inspected by him since their completion and found to be in good

and substantial order, that all properties, works and things, removed, disturbed or

injured in consequence of the works have been properly replaced and made good

and all expenses and demands incurred by or made upon the Railway for or in the

respect of damage or loss by from or in consequence of the works, have been satisfied

agreeably and in conformity with the contract.

33. (2) Post Payment Audit: It is an agreed term of contract that the Railway reserves

to itself the right to carry out a post-payment audit and or technical examination of

the works and the final bill including all supporting vouchers, abstracts etc. and to

make a claim on the contractor for the refund any excess amount paid to him, if as a

result of such examination any over-payment to him is discovered to have been made

in respect of any works done or alleged to have been done by him under the

contract.

34. Withholding And Lien In Respect Of Sums Claimed: Whenever any claim or

claims for payment of a sum of money arises out of or under the contract against the

contractor, the Railway shall be entitled to withhold and also have a lien to retain

such sum or sums in whole or in part from the security, if any, deposited by the

contractor and for the purpose aforesaid, the Railway shall be entitled to withhold

the said cash Security Deposit or the Security if any, furnished as the case may be and

also have a lien over the same pending finalization or adjudication of any such claim.

In the event of the security being insufficient to cover the claimed amount or amounts

or if no security has been taken from the contractor, the Railway shall be entitled to

withhold and have a lien to the extent of the such claimed amount or amounts

referred to supra, from any sum or sums found payable or which at any time

thereafter may become payable to the contractor under the same contract or any

other contract with this or any other Railway or any Department of the Central

Government pending finalization or adjudication of any such claim. It is an agreed

term of the contract that the sum of money or moneys so withheld or retained under

the lien referred to above, by the Railway will be kept withheld or retained as such

by the Railways till the claim arising out of or under the contract is determined by the



Date

arbitrator (if the contract governed by the Arbitration Clause) or by the competent

court as the case may be and that the contractor will have no claim for interest or

damages whatsoever on any account in respect of such withholding or retention

under the lien referred to supra and duly notified as such to the contractor. For the

purpose of this clause, where the contractor is a partnership firm or a limited

company, the Railway shall be entitled to withhold and also have a lien to retain

towards such claimed amount or amounts in whole or in part from any sum found

payable to any partner / limited company, as the case may be whether in his

individual capacity or otherwise.

34-A Lien In Respect Of Claims in Other Contracts:

(i) Any sum of money due and payable to the contractor (including the Security

Deposit returnable to him) under the contract may be withheld or retained by way of

lien by the Railway, against any claim of this or any other Railway or any other

Department of the Central Government in respect of payment of a sum of money

arising out of or under any other contract made by the contractor with this or any

other Department of the Central Government.

(ii) However, recovery of claims of Railway in regard to terminated contracts may be

made from the Final Bills, Security Deposits and Performance Guarantees of other

contract or contracts, executed by the contractor. The Performance Guarantees

submitted by the Contractor against other contracts, if required, may be withheld and

en-cashed. In addition, 10% of each subsequent ‘on-account bill’ may be withheld, if

required, for recovery of Railway’s dues against the terminated contract.

{Authority: Railway Board’s letter no. 2010/CE-I(Spl.)/CT/41, Dated 25.04.2011}

(iii) It is an agreed term of the contract that the sum of money so withheld or retained

under this Clause by the Railway will be kept withheld or retained as such by the

Railway till the claim arising out of or under any other contract is either mutually

settled or determined by arbitration, if the other contract is governed by Arbitration

Clause or by the competent court as the case may be and contractor shall have no

claim for interest or damages whatsoever on this account or on any other ground in

respect of any sum of money withheld or retained under this Clause and duly notified

as such to the contractor.

LABOUR

35. Wages to Labour: The Contractor shall be responsible to ensure compliance with

the provision of the Minimum Wages Act, 1948 (hereinafter referred to as the “said

Act” and the Rules made there under in respect of any employees directly or through

petty contractors or subcontractors employed by him on road construction or in

building operations or in stone breaking or stone crushing for the purpose of carrying

out this contract. If, in compliance with the terms of the contract, the Contractor

supplied any labour to be used wholly or partly under the direct orders and control

of the Railways whether in connection with any work being executed by the

Contractor or otherwise for the purpose of Railway such labour shall, for the purpose

of this Clause, still be deemed to be persons employed by the Contractor. If any

moneys shall, as a result of any claim or application made under the said Act be

directed to be paid by the Railway, such money shall be deemed to be moneys

payable to the Railway by the Contractor and on failure by the Contractor to repay

the Railway any moneys paid by it as aforesaid within seven days after the same shall



Date

have been demanded, the Railways shall be entitled to recover the same from any

moneys due or accruing to the contractor under this or any other Contract with the

Railways.

35-A. Apprentices Act: The Contractor shall be responsible to ensure compliance with

the provisions of the Apprentices Act, 1961 and the Rules and Orders issued there

under from time to time in respect of apprentices directly or through petty

contractors or subcontractors employed by him for the purpose of carrying out the

Contract. If the contractor directly or through petty contractors or sub-contractors

fails to do so, his failure will be a breach of the contract and the Railway may, in its

discretion, rescind the contract. The contractor shall also be liable for any pecuniary

liability arising on account of any violation of the provisions of the Act.

Note: The contractors are required to engage apprentices when the works undertaken

by them last for a period of one year or more and/or the cost of works is rupees one

lakh or more.

36. Provisions of Payments of Wages Act: The Contractor shall comply with the

provisions of the Payment of Wages Act, 1936 and the rules made there under in

respect of all employees directly or through petty contractors or sub-contractors

employed by him in the works. If in compliance with the terms of the contract, the

Contractor directly or through petty contractors or sub-contractors shall supply any

labour to be used wholly or partly under the direct orders and control of the Railway

whether in connection with the works to be executed hereunder or otherwise for the

purpose of the Railway, such labour shall never the less be deemed to comprise

persons employed by the contractor and any moneys which may be ordered to be

paid by the Railway shall be deemed to be moneys payable by the Engineer on behalf

of the Contractor and the Railway may on failure of the Contractor to repay such

money to the Railways deduct the same from any moneys due to the Contractor in

terms of the contract. The Railway shall be entitled to deduct from any moneys due

to the contractor (whether under this contract or any other contract) all moneys paid

or payable by the Railway by way of compensation of aforesaid or for costs of

expenses in connection with any claim thereto and the decision of the Engineer upon

any question arising out of the effect or force of this Clause shall be final and binding

upon the Contractor.

37. Provisions Of Contract Labour (Regulation And Abolition) Act, 1970:

The Contractor shall comply with the provision of the contract labour (Regulation

and Abolition) Act, 1970 and the Contract labour (Regulation and Abolition) Central

Rules 1971 as modified from time to time, wherever applicable and shall also

indemnify the Railway from and against any claims under the aforesaid Act and the

Rules.

38. Railway Not To Provide Quarters for Contractors: No quarters shall normally be

provided by the Railway for the accommodation of the Contractor or any of his staff

employed on the work. In exceptional cases where accommodation is provided to

the Contractor at the Railway's discretion, recoveries shall be made at such rates as

may be fixed by the Railway for the full rent of the buildings and equipments therein

as well as charges for electric current, water supply and conservancy.

39. Treatment Of Contractor's Staff In Railway Hospitals: The Contractor and his



Date

staff and their families requiring medical aid from the Railway Hospital and

dispensaries where no other Hospitals or dispensaries are available will be treated as

private patients and charged accordingly.

40. Non-Employment of Labourers below the Age of 15: The Contractor shall not

employ children below the age of 15 as labourers directly or through petty

contractors or subcontractors for the execution of work.

DETERMINATION OF CONTRACT

41. (1) Right of Railway to Determine the Contract: The Railway shall be entitled to

determine and terminate the contract at any time should, in the Railway's opinion,

the cessation of work becomes necessary owing to paucity of funds or from any other

cause whatever, in which case the value of approved materials at site and of work

done to date by the Contractor will be paid for in full at the rate specified in the

contract. Notice in writing from the Railway of such determination and the reasons

therefor shall be conclusive evidence thereof.

41. (2) Payment on Determination of Contract: Should the contract be determined

under sub clause (1) of this clause and the Contractor claims payment for expenditure

incurred by him in the expectation of completing the whole of the work, the Railways

shall admit and consider such claims as are deemed reasonable and are supported by

vouchers to the satisfaction of the Railway. The Railway's decision on the necessity

and propriety of such expenditure shall be final and conclusive.

41. (3) The Contractor shall have no claim to any payment of compensation or

otherwise, howsoever on account of any profit or advantage which he might have

derived from the execution of the work in full but which he did not derive in

consequence of determination of contract.

42. (1) Determination of Contract owing to Default of Contractor:

If the Contractor should:

(i) Becomes bankrupt or insolvent, or

(ii) Make an arrangement with of assignment in favour of his creditors, or agree to

carry out the contract under a Committee of Inspection of his creditors, or

(iii) Being a Company or Corporation, go into liquidation (other than a voluntary

liquidation for the purposes of amalgamation or reconstruction), or

(iv) Have an execution levied on his goods or property on the works, or

(v) Assign the contract or any part thereof otherwise than as provided in Clause 7 of

these Conditions, or

(vi) Abandon the contract, or

(vii) Persistently disregard the instructions of the Railway, or contravene any provision

of the contract, or

(viii) Fail to adhere to the agreed programme of work by a margin of 10% of the

stipulated period, or

(ix) Fail to remove materials from the site or to pull down and replace work after

receiving from the Railway notice to the effect that the said materials or works have

been condemned or rejected, or

(x) Fail to take steps to employ competent or additional staff and labour as required,

or

(xi) Fail to afford the Railway's representative proper facilities for inspecting the works

or any part thereof as required under the Conditions, or



Date

(xii) Promise, offer or give any bribe, commission, gift or advantage either himself or

through his partner, agent or servant to any officer or employee of the Railway or to

any person on his or on their behalf in relation to the execution of this or any other

contract with this Railway.

(xiii) (A) At any time after the tender relating to the contract, has been signed and

submitted by the Contractor, being a partnership firm admit as one of its partners or

employee under it or being an incorporated company elect or nominate or allow to

act as one of its directors or employee under it in any capacity whatsoever any retired

engineer of the gazetted rank or any other retired gazetted officer working before his

retirement, whether in the executive or administrative capacity, or whether holding

any pensionable post or not, in the Railways for the time being owned and

administered by the President of India before the expiry of two years from the date of

retirement from the said service of such Engineer or Officer unless such Engineer or

Officer has obtained permission from the President of India or any officer duly

authorized by him in this behalf to become a partner or a director or to take

employment under the contract as the case may be, or

(B) Fail to give at the time of submitting the said tender:

(a) The correct information as to the date of retirement of such retired engineer or

retired officer from the said service, or as to whether any such retired engineer or

retired officer was under the employment of the Contractor at the time of submitting

the said tender, or

(b) The correct information as to such engineers or officers obtaining permission to

take employment under the Contractor, or

(c) Being a partnership firm, the correct information as to, whether any of its partners

was such a retired engineer or a retired officer, or

(d) Being in incorporated company, correct information as to whether any of its

directors was such a retired engineer or a retired officer, or

(e) Being such a retired engineer or retired officer suppress and not disclose at the

time of submitting the said tender the fact of his being such a retired engineer or a

retired officer or make at the time of submitting the said tender a wrong statement in

relation to his obtaining permission to take the contract or if the Contractor be a

partnership firm or an incorporated company to be a partner or director of such firm

or company as the case may be or to seek employment under the Contractor. Then

and in any of the said Clause, the Engineer/Officer on behalf of the Railway may

serve the Contractor with a notice in writing to that effect and if the Contractor does

not within seven days after the delivery to him of such notice proceed to make good

his default in so far as the same is capable of being made good and carry on the work

or comply with such directions as aforesaid of the entire satisfaction of the Railway,

the Railway shall be entitled after giving 48 hours’ notice in writing under the hand of

the Engineer/Officer to rescind the contract as a whole or in part or parts (as may be

specified in such notice) and after expiry of 48 hours’ notice, a final termination

notice should be issued and adopt either or both of the following courses :

(x) To carry out the whole or part of the work from which the contractor has been

removed by the employment of the required labour and materials, the costs of which

shall include lead, lift, freight, supervision and all incidental charges.



Date

(y) To measure up the whole or part of the work from which the contractor has been

removed and get it completed by another contractor, the manner and method in

which such work is completed shall be in the entire discretion of the Engineer/Officer

whose decision shall be final: And in both cases (x) and (y) mentioned above, the

Railway shall be entitled (i) to forfeit the whole or such portion of the Security

Deposit as it may consider fit, and (ii) to recover from the Contractor the cost of

carrying out the work in excess of the sum which would have been payable according

to the certificate of the Engineer/Officer to the Contractor, if the works had been

carried out by the Contractor under the terms of the contract, such certificate being

final and binding upon the contractor, provided, however, that such recovery shall be

made only when the cost incurred in excess is more than the Security Deposit

proposed to be forfeited and shall be limited to the amount by which the cost

incurred in excess exceeds the Security Deposit proposed to be forfeited. The amount,

thus, to be forfeited or recovered may be deducted from any moneys then due or

which at any time thereafter may become due to the Contractor by the Railway

under this or any other Contract or otherwise. Provided always that in any case in

which any of power conferred upon the Railway by Sub Clause (1) of Clause 62

hereof shall have become exercisable and the same shall not be exercised, the non-

exercise thereof shall not constitute a waiver of any of the conditions thereof and such

powers shall not withstanding be exercisable in the event of any future case of default

by the contractor for which his liability for past and future shall remain unaffected.

42. (2) Right of Railway after Rescission of Contract Owing to Default of

Contractor: In the event of any or several of the courses, referred to in Sub-Clause (1)

of this Clause, being adopted:

(a) The Contractor shall have no claim to compensation for any loss sustained by him

by reason of his having purchased or procured any materials or entered into any

commitments or made any advances on account of or with a view to the execution of

the works or the performance of the contract and Contractor shall not be entitled to

recover or be paid any sum for any work thereto for actually performed under the

contract unless and until the Engineer shall have certified the performance of such

work and the value payable in respect thereof and the Contractor shall only be

entitled to be paid the value so certified.

(b) The Railway's Representative shall be entitled to take possession of any materials,

tools, implements, machinery and buildings on the works or on the property on

which these are being or ought to have been executed, and to retain and employ the

same in the further execution of the works or any part thereof until the completion of

the works without the Contractor being entitled to any compensation for the use and

employment thereof or for wear and tear or destruction thereof.

(c) The Railway shall as soon as may be practicable after removal of the Contractor

fix and determine ex-parte or by or after reference to the parties or after such

investigation or enquiries as he may consider fit to make or institute and shall certify

what amount (if any) had at the time of rescission of the contract been reasonably

earned by or would reasonably accrue to the Contractor in respect of the work then

actually done by him under the contract and what was the value of any unused, or

partially used materials, any constructional plant and any temporary works upon the



Date

site. The legitimate amount due to the contractor after making necessary deductions

and certified by the Engineer should be released expeditiously.

SETTLEMENT OF DISPUTES – INDIAN RAILWAY ARBITRATION RULES

43. Matters Finally Determined By The Railway: All disputes and differences of any

kind whatsoever arising out of or in connection with the contract, whether during the

progress of the work or after its completion and whether before or after the

determination of the contract, shall be referred by the contractor to the GM and the

GM shall, within 120 days after receipt of the contractor’s representation, make and

notify decisions on all matters referred to by the contractor in writing provided that

matters for which provision has been made in Clauses of General Conditions of

Contract or in any Clause of the Special Conditions of the Contract shall be deemed as

‘excepted matters’ (matters not arbitrable) and decisions of the Railway authority,

thereon shall be final and binding on the contractor; provided further that ‘excepted

matters’ shall stand specifically excluded from the purview of the Arbitration Clause.

44. (1) Demand For Arbitration:

44. (1) (i) - In the event of any dispute or difference between the parties hereto as to

the construction or operation of this contract, or the respective rights and liabilities of

the parties on any matter in question, dispute or difference on any account or as to

the withholding by the Railway of any certificate to which the contractor may claim

to be entitled to, or if the Railway fails to make a decision within 120 days, then and

in any such case, but except in any of the “excepted matters” referred to in Clause 63

of these Conditions, the contractor, after 120 days but within 180 days of his

presenting his final claim on disputed matters shall demand in writing that the dispute

or difference be referred to arbitration.

44. (1) (ii) - The demand for arbitration shall specify the matters which are in

question, or subject of the dispute or difference as also the amount of claim item-wise.

Only such dispute(s) or difference(s) in respect of which the demand has been made,

together with counter claims or set off, given by the Railway, shall be referred to

arbitration and other matters shall not be included in the reference.

44. (1) (iii) - (a) The Arbitration proceedings shall be assumed to have commenced

from the day, a written and valid demand for arbitration is received by the Railway.

(b) The claimant shall submit his claim stating the facts supporting the claims along

with all the relevant documents and the relief or remedy sought against each claim

within a period of 30 days from the date of appointment of the Arbitral Tribunal.

(c) The Railway shall submit its defence statement and counter claim(s), if any, within

a period of 60 days of receipt of copy of claims from Tribunal thereafter, unless

otherwise extension has been granted by Tribunal.

(d) Place of Arbitration: The place of arbitration would be within the geographical

limits of the Division of the Railway where the cause of action arose or the

Headquarters of the concerned Railway or any other place with the written consent

of both the parties.

44. (1) (iv) - No new claim shall be added during proceedings by either party.

However, a party may amend or supplement the original claim or defence thereof

during the course of arbitration proceedings subject to acceptance by Tribunal having

due regard to the delay in making it.



Date

44. (1) (v) - If the contractor(s) does/do not prefer his/their specific and final claims in

writing, within a period of 90 days of receiving the intimation from the Railways that

the final bill is ready for payment, he/they will be deemed to have waived his/their

claim(s) and the Railway shall be discharged and released of all liabilities under the

contract in respect of these claims.

44. (2) Obligation during Pendency Of Arbitration: Work under the contract shall,

unless otherwise directed by the Railway, continue during the arbitration proceedings,

and no payment due or payable by the Railway shall be withheld on account of such

proceedings, provided, however, it shall be open for Arbitral Tribunal to consider and

decide whether or not such work should continue during arbitration proceedings.

44. (3) Appointment of Arbitrator:

44. (3) (a) (i) - In cases where the total value of all claims in question added together

does not exceed Rs. 25,00,000 (Rupees twenty five lakh only), the Arbitral Tribunal

shall consist of a Sole Arbitrator who shall be a Gazetted Officer of Railway not

below JA Grade, nominated by the General Manager. The sole arbitrator shall be

appointed within 60 days from the day when a written and valid demand for

arbitration is received by GM.

44. (3) (a) (ii) - In cases not covered by the Clause 39(3)(a)(i), the Arbitral Tribunal

shall consist of a Panel of three Gazetted Railway Officers not below JA Grade or 2

Railway Gazetted Officers not below JA Grade and a retired Railway Officer, retired

not below the rank of SAG Officer, as the arbitrators. For this purpose, the Railway

will send a panel of more than 3 names of Gazetted Railway Officers of one or more

departments of the Railway which may also include the name(s) of retired Railway

Officer(s) empanelled to work as Railway Arbitrator to the contractor within 60 days

from the day when a written and valid demand for arbitration is mreceived by the

GM. Contractor will be asked to suggest to General Manager at least 2 names out of

the panel for appointment as contractor’s nominee within 30 days from the date of

dispatch of the request by Railway. The General Manager shall appoint at least one

out of them as the contractor’s nominee and will, also simultaneously appoint the

balance number of arbitrators either from the panel or from outside the panel, duly

indicating the ‘presiding arbitrator’ from amongst the 3 arbitrators so appointed. GM

shall complete this exercise of appointing the Arbitral Tribunal within 30 days from

the receipt of the names of contractor’s nominees. While nominating the arbitrators, it

will be necessary to ensure that one of them is from the Accounts Department. An

officer of Selection Grade of the Accounts Department shall be considered of equal

status to the officers in SA grade of other departments of the Railway for the purpose

of appointment of arbitrator.

44. (3) (a) (iii) - If one or more of the arbitrators appointed as above refuses to act as

arbitrator, withdraws from his office as arbitrator, or vacates his/their office/offices or

is/are unable or unwilling to perform his functions as arbitrator for any reason

whatsoever or dies or in the opinion of the General Manager fails to act without

undue delay, the General Manager shall appoint new arbitrator/arbitrators to act in

his/their place in the same manner in which the earlier arbitrator/arbitrators had been

appointed. Such reconstituted Tribunal may, at its discretion, proceed with the

reference from the stage at which it was left by the previous arbitrator (s).



Date

44. (3) (a) (iv) - The Arbitral Tribunal shall have power to call for such evidence by

way of affidavits or otherwise as the Arbitral Tribunal shall think proper, and it shall

be the duty of the parties hereto to do or cause to be done all such things as may be

necessary to enable the Arbitral Tribunal to make the award without any delay. The

Arbitral Tribunal should record day to-day proceedings. The proceedings shall

normally be conducted on the basis of documents and written statements.

44. (3) (a) (v) - While appointing arbitrator(s) under Sub-Clause (i), (ii) & (iii) above,

due care shall be taken that he/they is/are not the one/those who had an opportunity

to deal with the matters to which the contract relates or who in the course of his/their

duties as Railway servant(s) expressed views on all or any of the matters under

dispute or differences. The proceedings of the Arbitral Tribunal or the award made by

such Tribunal will, however, not be invalid merely for the reason that one or more

arbitrator had, in the course of his service, opportunity to deal with the matters to

which the contract relates or who in the course of his/their duties expressed views on

all or any of the matters under dispute.

44. (3) (b) (i) - The arbitral award shall state item wise, the sum and reasons upon

which it is based. The analysis and reasons shall be detailed enough so that the award

could be inferred therefrom.

44. (3) (b) (ii) - A party may apply for corrections of any computational errors, any

typographical or clerical errors or any other error of similar nature occurring in the

award of a Tribunal and interpretation of a specific point of award to Tribunal within

60 days of receipt of the award.

44. (3) (b) (iii) - A party may apply to Tribunal within 60 days of receipt of award to

make an additional award as to claims presented in the arbitral proceedings but

omitted from the arbitral award.

44. (4) In case of the Tribunal, comprising of three Members, any ruling on award

shall be made by a majority of Members of Tribunal. In the absence of such a

majority, the views of the Presiding Arbitrator shall prevail.

44. (5) Where the arbitral award is for the payment of money, no interest shall be

payable on whole or any part of the money for any period till the date on which the

award is made.

44. (6) The cost of arbitration shall be borne by the respective parties. The cost shall

inter-alia include fee of the arbitrator(s), as per the rates fixed by Railway Board from

time to time and the fee shall be borne equally by both the parties. Further, the fee

payable to the arbitrator(s) would be governed by the instructions issued on the

subject by Railway Board from time to time irrespective of the fact whether the

arbitrator(s) is/are appointed by the Railway Administration or by the court of law

unless specifically directed by Hon’ble court otherwise on the matter.

44. (7) Subject to the provisions of the aforesaid Arbitration and Conciliation Act

1996 and the rules thereunder and any statutory modifications thereof shall apply to

the arbitration proceedings under this Clause.

JOINT VENTURE (JV) FIRMS IN WORKS TENDERS

45. Participation Of Joint Venture (JV) Firms In Works Tender: This Clause shall be

applicable for works tenders of value as approved and communicated by Railway

Board from time to time.



Date

45.1 Separate identity/name shall be given to the Joint Venture Firm.

45.2 Number of members in a JV Firm shall not be more than three, if the work

involves only one department (say Civil or S&T or Electrical or Mechanical) and shall

not be more than five, if the work involves more than one department.

45.3 A member of JV Firm shall not be permitted to participate either in individual

capacity or as a member of another JV Firm in the same tender.

45.4 The tender form shall be purchased and submitted only in the name of the JV

Firm and not in the name of any constituent member.

45.5 Normally Earnest Money Deposit (EMD) shall be submitted only in the name of

the JV Firm and not in the name of constituent member. However, in exceptional

cases EMD in the name of Lead Member can be accepted subject to submission of

specific request letter from Lead Member stating the reasons for not submitting EMD

in the name of JV Firm and giving written confirmation from JV members to the

effect that EMD submitted by the Lead Member may be deemed as EMD submitted

by JV Firm.

45.6 One of the members of the JV Firm shall be its Lead Member who shall have a

majority (at least 51%) share of interest in the JV Firm and also, must have

satisfactorily completed in the last three previous financial years and the current

financial year upto the date of opening of the tender, one similar single work for a

minimum value of 35% of advertised tender value. The other members shall have a

share of not less than 20% each in case of JV Firms with up to three members and not

less than 10% each in case of JV Firms with more than three members. In case of JV

Firm with foreign member(s), the Lead Member has to be an Indian Firm with a

minimum share of 51%.

45.7 A copy of Memorandum of Understanding (MoU) executed by the JV members

shall be submitted by the JV Firm along with the tender. The complete details of the

members of the JV Firm, their share and responsibility in the JV Firm etc. particularly

with reference to financial, technical and other obligations shall be furnished in the

MoU. (The MoU format for this purpose shall be finalized by the Railway in

consultation with their Law Branch and shall be enclosed along with the tender).

45.8 Once the tender is submitted, the MoU shall not be modified / altered /

terminated during the validity of the tender. In case the tenderer fails to

observe/comply with this stipulation, the full Earnest Money Deposit (EMD) shall be

liable to be forfeited.

45.9 Approval for change of constitution of JV Firm shall be at the sole discretion of

the Employer (Railways). The constitution of the JV Firm shall not be allowed to be

modified after submission of the tender bid by the JV Firm, except when modification

becomes inevitable due to succession laws etc. and in any case the minimum eligibility

criteria should not get vitiated. However, the Lead Member shall continue to be the

Lead Member of the JV Firm. Failure to observe this requirement would render the

offer invalid.

45.10 Similarly, after the contract is awarded, the constitution of JV Firm shall not be

allowed to be altered during the currency of contract except when modification

become inevitable due to succession laws etc. and in any case the minimum eligibility

criteria should not get vitiated. Failure to observe this stipulation shall be deemed to

be breach of contract with all consequential penal action as per contract conditions.



Date

45.11 On award of contract to a JV Firm, a single Performance Guarantee shall be

submitted by the JV Firm as per tender conditions. All the Guarantees like

Performance Guarantee, Bank Guarantee for Mobilization Advance, Machinery

Advance etc. shall be accepted only in the name of the JV Firm and no splitting of

guarantees amongst the members of the JV Firm shall be permitted.

45.12 On issue of LOA (Letter Of Acceptance), an agreement among the members of

the JV Firm (to whom the work has been awarded) shall be executed and got

registered before the Registrar of the Companies under Companies Act or before the

Registrar/Sub-Registrar under the Registration Act, 1908. This JV Agreement shall be

submitted by the JV Firm to the Railways before signing the contract agreement for

the work. In case the tenderer fails to observe/comply with this stipulation, the full

Earnest Money Deposit (EMD) shall be forfeited and other penal actions due shall be

taken against partners of the JV and the JV. This Joint Venture Agreement shall have,

inter-alia, following Clauses:

45.12.1 Joint And Several Liability - Members of the JV Firm to which the contract is

awarded, shall be jointly and severally liable to the Employer (Railways) for execution

of the project in accordance with General and Special Conditions of Contract. The JV

members shall also be liable jointly and severally for the loss, damages caused to the

Railways during the course of execution of the contract or due to non-execution of

the contract or part thereof.

45.12.2 Duration of the Joint Venture Agreement - It shall be valid during the entire

currency of the contract including the period of extension, if any and the maintenance

period after the work is completed.

45.12.3 Governing Laws - The Joint Venture Agreement shall in all respect be

governed by and interpreted in accordance with Indian Laws.

45.13 Authorized Member - Joint Venture members shall authorize one of the

members on behalf of the Joint Venture Firm to deal with the tender, sign the

agreement or enter into contract in respect of the said tender, to receive payment, to

witness joint measurement of work done, to sign measurement books and similar such

action in respect of the said tender/contract. All notices/correspondences with respect

to the contract would be sent only to this authorized member of the JV Firm.

45.14 No member of the Joint Venture Firm shall have the right to assign or transfer

the interest right or liability in the contract without the written consent of the other

members and that of the employer (Railways) in respect of the said tender/contract.

45.15 Documents to be enclosed by the JV Firm along with the tender:

45.15.1 In case one or more of the members of the JV Firm is/are partnership firm(s),

following documents shall be submitted:

(a) Notary certified copy of the Partnership Deed,

(b) Consent of all the partners to enter into the Joint Venture Agreement on a stamp

paper of appropriate value (in original).

(c) Power of Attorney (duly registered as per prevailing law) in favour of one of the

partners of the partnership firm to sign the JV Agreement on behalf of the partnership

firm and create liability against the firm.

45.15.2 In case one or more members is/are Proprietary Firm or HUF, the following

documents shall be enclosed:



Date

Affidavit on Stamp Paper of appropriate value declaring that his/her Concern is a

Proprietary Concern and he/she is sole proprietor of the Concern OR he/she is in

position of "KARTA" of Hindu Undivided Family (HUF) and he/she has the authority,

power and consent given by other partners to act on behalf of HUF.

45.15.3 In case one or more members is/are limited companies, the following

documents shall be submitted:

(a) Notary certified copy of resolutions of the Directors of the Company, permitting

the company to enter into a JV agreement, authorizing MD or one of the Directors or

Managers of the Company to sign JV Agreement, such other documents required to

be signed on behalf of the Company and enter into liability against the company

and/or do any other act on behalf of the company.

(b) Copy of Memorandum and Articles of Association of the Company.

(c) Power of Attorney (duly registered as per prevailing law) by the Company

authorizing the person to do/act mentioned in the para (a) above.

45.15.4 All the Members of JV shall certify that they are not black listed or debarred

by Railways or any other Ministry/Department of the Govt. of India/State Govt. from

participation in tenders/contract on the date of opening of bids either in their

individual capacity as members of the JV or the JV Firm in which they were/are

members.

45.16 Credentials & Qualifying Criteria : Technical and financial eligibility of the JV

Firm shall be adjudged based on satisfactory fulfillment of the following criteria:

45.16.1 Technical Eligibility Criteria (‘a’ or ‘b’ mentioned hereunder):

(a) Either the JV Firm or Lead Member of the JV Firm must have satisfactorily

completed in the last three previous financial years and the current financial year up

to the date of opening of the tender, one similar single work for a minimum of 35%

of advertised value of the tender.

OR

(b) (i) In case of composite works (e.g. works involving more than one distinct

component, such as Civil Engineering works, S&T works, Electrical works, OHE works

etc. and in the case of major bridges – substructure, superstructure etc.), for each

component, at least 35% of the value of any of such components individually for

single similar nature of work should have been satisfactorily completed by the JV Firm

or by any member of the JV Firm in the previous three financial years and the current

financial year up to the date of opening of tender. The member satisfying technical

eligibility criteria for the largest component of the work shall be the Lead Member

and that Member shall have a majority (at least 51%) share of interest in the JV Firm.

(ii) In such cases, what constitutes a component in a composite work shall be clearly

pre-defined with estimated tender cost of it, as part of the tender documents without

any ambiguity. Any work or set of works shall be considered to be a separate

component, only when cost of the component is more than Rs. 2 crore each.

(iii) However, as long as the JV Firm or any member of the JV Firm meets with the

requirements, in one or more components of the work, and has completed a

minimum of 35% of the advertised value of the tender for the same value of the

component, and resultantly, all the members of the JV collectively, then meet the

prescribed technical eligibility criteria, the JV shall stand technically qualified.



Date

Note: Value of a completed work done by a Member in an earlier JV Firm shall be

reckoned only to the extent of the concerned member's share in that JV Firm for the

purpose of satisfying his/her compliance to the above mentioned technical eligibility

criteria in the tender under consideration.

45.16.2 Financial Eligibility Criteria: The contractual payments received by the JV Firm

or the arithmetic sum of contractual payments received by all the members of JV Firm

in the previous three financial years and the current financial year up to the date of

opening of tender shall be at least 150% of the estimated value of the work as

mentioned in the tender.

Note: Contractual payment received by a Member in an earlier JV Firm shall be

reckoned only to the extent of the concerned member's share in that JV Firm for the

purpose of satisfying compliance of the above mentioned financial eligibility criteria in

tender under consideration {Authority: Railway Board’s letter no. 2002/CE-I/CT/37,

Dated 07.09.2011}



Date

FORMAT OF

MEMORANDUM OF UNDERSTANDING

FOR

JOINT VENTURE AGREEMENT

This Memorandum of Understanding is made at (name of place) on this _______ day

of ______ between/among

(i) M/s (Name of Company) __________, a company registered under the Companies

Act 1956 having its registered office at _____________ represented through its

Authorised Managing Director/Director/Managers of the company Sri ___________

(hereinafter referred to as ______________ which expression shall unless repugnant to

the context thereof includes its successors) of the FIRST PART

OR

(i) M/s (name of partnership firm), a partnership firm registered under the Indian

Partnership Act 1932, having its registered office at _________________ represented

through its one of the authorized partner Sri ______________ (hereinafter referred as

_________ which expression shall unless repugnant to the context thereof includes its

successors) of the FIRST PART

OR

(i) M/s (name of proprietorship firm) having its registered office at _______

represented through its proprietor Sri _____________ (hereinafter referred to as


successors) of the FIRST PART

AND

(ii) M/s (name of company) _________, a company registered under the Companies

Act 1956 having its registered office at ____________ represented through its

Authorised Managing Director/Director/Managers of the company Sri ____________

(hereinafter referred to as __________ which expression shall unless repugnant to the

context thereof includes its successors) of the SECOND PART

OR

(ii) M/s (name of partnership firm), a partnership firm registered under the Indian




successors) of the SECOND PART

OR

(ii) M/s (name of proprietorship firm) having its registered office at _______



successors) of the SECOND PART

AND

(iii) M/s (name of company) _________, a company registered under the Companies

Act 1956 having its registered office at ____________ represented through its

Authorised Managing Director/Director/Managers of the company Sri ____________



Date

(hereinafter referred to as __________ which expression shall unless repugnant to the

context thereof includes its successors) of the THIRD PART

OR

(iii) M/s (name of partnership firm), a partnership firm registered under the Indian




successors) of the THIRD PART

OR

(iii) M/s (name of proprietorship firm) having its registered office at _______



successors) of the THIRD PART

Whereas, East Central Railway has invited Tender no. _______________ hereinafter

referred to as the ECR Tender for the work of _____________ hereinafter referred to

as the said work.

Whereas, the member of the first part, i.e., M/s __________________________ (details

to be supplied of the expertise in their field).

Whereas, the member of the second part, i.e., M/s ____________________ (details to

be supplied of the expertise in their field).

Whereas, the member of the third part, i.e., M/s ________________ _____ (details to

be supplied of the expertise in their field).

AND whereas members to this MOU have agreed to co-operate with each other to

associate jointly and to form a Joint Venture Firm to participate in the Tender no.

………………….. dt. ………. E.C. Railway.

Now, therefore, in consideration of the premises and mutual promises and of the

undertaking contained herein, the constituent members are hereby agreed as follows:

1. The purpose of MOU:

M/s _____________________, _____________________ and ____________ agree to

cooperate with each other for the purpose of joint participation in Tender no. ….. dt.

…. of E.C. Railway, and in the event, the contract is awarded, to jointly execute the

contract. The broad interfaces and scope of work of each party is set forth below:

___________________________________________________________________________

________________________________________________________________________

2. The name of the Joint Venture firm shall be ____________________________

3. The constituent members, hereto, represent that: they are in possession of all

approvals and valid authorization for the purpose of execution of this MOU.

4. That each of the members of the JV, agrees and undertake to place at the disposal

of the JV, benefits of its individual experience, technical knowledge and skill and shall

in all respects bear its share of the responsibility, including the provision of



Date

information advice and other assistance required in connection with the works. The

share and the participation of the partners in the JV shall broadly be as follows:

M/s _____________________________________%

M/s _____________________________________%

M/s _____________________________________%

5. Lead Member:

In respect of Tender no. …….. dt. …………………. of E.C. Railway M/s

______________ shall be a lead member who has a majority (at least 51%) share of

interest in the JV firm.

6. The constituent members to this MOU undertake:

(a) That after submission of the tender, the MOU shall not be modified/altered/

terminated during the validity of the tender except when modification becomes

inevitable due to succession laws etc., but in no case the minimum eligibility criteria

would be vitiated. The members to this MOU further agree that the Lead Member

will continue to be the Lead Member of JV Firm.

(b) That after the contract is awarded the constitution of the JV Firm shall not be

altered during the currency of contract except when modification becomes inevitable

due to Succession Law etc., but in no case the minimum eligibility criteria would be

vitiated.

(c) No any member of JV firm shall participate in this tender either in individual

capacity or as a member of another JV firm

7. Joint and several liabilities:

In respect of Tender no. ……………. Dt. …………… of E.C. Railway, all terms shall

be complied by constituent members on back-to-back basis as per specifications of the

Tender no. …………. Dt. ………….. of E.C. Railway or any other mutually agreed

terms with the E.C. Railway. The members hereto shall, if awarded the contract for

the project for which the Joint Venture is formed, be jointly and severally liable to the

Indian Railways for execution of the project in accordance with the contract. The

members hereto also undertake to be liable jointly and severally for the loss, damages

caused to the Indian Railways in course of execution or due to non-execution of the

contract or part thereof or arising out of the contract.

8. Authorised member:

Shri ___________________________ shall be authorized member on behalf of the Joint

Venture to deal with tender, to sign the agreement or enter into contract in respect of

the said tender, to receive payment, to witness joint measurement of work done, to

sign measurement books, and similar such action in respect of tender no. …….. dt. ….

of E.C. Railway. All notices/correspondence with respect to this contract shall be sent

only to this authorized member of the JV Firm on the address stated herein below:

M/s ___________________________________________________________________.

Such communications or notices shall be deemed to have been duly served/given to

all constituent members/JV firm when so delivered/received.



Date

9. The constituent members agree that with respect of tender no. …….. dt. …….. of

E.C. Railway neither members, nor any subsidiary company of either member, nor

any joint venture company or any other entity, in which the member/members, or

are in anyway interested, shall compete together with or through any third party, nor

shall the members advise, consult, for engage in or otherwise assist in any way any

person or entity or any affiliate thereof in respect of any order or contracts related to

tender no …………….. dt. ………. of E.C. Railway.

10. Responsibility:

Each member shall assume and accept full responsibility for its Scope of Work and the

obligatios imposed in the Contract and in this MOU as if it was, with regard to its

Scope of Work, an independent partner contracting individually with the E.C.

Railway. In the event of any defect and damage or any claim arising from the E.C.

Railway under the Contract or any third party in relation to or as a consequence of

any failure to meet the performance specification the Party, within whose Scope of

Work the claim arises, shall be entirely responsible for the claim and shall indemnify

and hold harmless the other Party from any liability, demand, claim burden cost,

expense attorney’s fees and costs arising from thereof.

11. Assignability:

No member to the Joint Venture has right to assign or transfer the interest, right or

liability in the contract without the written consent of the other members and that of

the E.C. Railway.

12. Machinery, Instruments, Labour Force etc.

The members hereto undertake that whatever the machinery, instruments, Labour

force (including unskilled, skilled, inspectors, Engineers etc.) they possess at the time of

entering into Joint Venture Agreement or which subsequently shall come in their

possession, the member/members having the control over the said machinery,

instrument, labour force etc will have no objection when these are utilized by the JV

firm for the purpose of execution of the contract without any hindrance and obstacle.

13. Duration of MOU:

It shall be valid during entire currency of contract including the period of extension, if

any and also till the maintenance period is over or till all the contractual liabilities

including warranty/guarantee obligations are discharged completely.

14. Applicable Law:

This MOU and any arrangement/agreements regarding the performance shall be

construed and interpreted in accordance with and governed by the Laws of India and

shall be subject to the exclusive jurisdiction of the courts at PATNA.

15. Settlement of Disputes:

In the event of disputes arising from this MOU, the constituent members to the MOU

undertakes to endeavor to settle the said disputes amongst them amicably. However,

if the members fail to resolve the disputes amongst them amicably, the said disputes



Date

arising out of or in connection with the present MOU shall be resolved through

Arbitration as per the provisions enshrined under the Arbitration and Conciliation Act,

1996 or/and amendments thereof.

16. Each member shall have full and sole responsibility to bear the expense of and

effect the payment of any taxes, duties, special insurance, fees or assessments of any

nature whatsoever (including personal income taxes level or imposed on any of its

employees or personnel or any of its sub-contractor’s employees or personnel).

17. The members to this MOU declares and certifies that they have not been black

listed or debarred by Railways or any other Ministry/Department of Government of

India/State Government from participation in tenders/contract in the past either in

their individual capacity or the JV firm or partnership firm in which they were

member/partners.

In witness whereof, the constituent members have caused this MOU to be executed

by their respective authorized representatives on the date and year mentioned

hereinabove.

Signature: Signature: Signature:

Shri _____________ of M/s

_____________________

Shri _____________ of M/s

_____________________

Shri _____________ of M/s

_____________________

Witnesses:

1. Signature: 1. Signature: 1. Signature:

Name: Name: Name:

Address: Address: Address:

2. Signature:

2. Signature:

2. Signature:

Name: Name: Name:

Address: Address: Address:

(Note: This Performa is not exhaustive and can be changed/amended at the discretion

of the Railway)

*****DOCUMENT ENDS*****