Tender No: NRDC/Accounts/Internal Audit/ /001, Date:

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1 NATIONAL RESEARCH DEVELOPMENT CORPORATION [AN ENTERPRISE OF DSIR, MINISTRY OF SCEINCE & TECHNOLOGY, GOVT. OF INDIA] ANUSANDHAN VIKAS, 20-22, ZAMROODPUR COMMUNITY CENTRE, KAILASH COLONY EXT., NEW DELHI NOTICE INVITING TENDER FROM CHARTERED ACCOUNTANT FIRMS Tender No: NRDC/Accounts/Internal Audit/ /001, Date: NRDC NEW DELHI invites tender from New Delhi based Chartered Accountant Firms having branch at New Delhi/NCR, for conducting Internal Audit of the Institute for the financial year The last date of submission tender document is on or before at PM. Please visit our website for downloading the tender documents. Bidders should regularly visit this website to keep themselves updated.

2 NATIONAL RESEARCH DEVELOPMENT CORPORATION, NEW DELHI [AN ENTERPRISE OF DSIR, MINISTRY OF SCEINCE & TECHNOLOGY, GOVT. OF INDIA] ANUSANDHAN VIKAS, 20-22, ZAMROODPUR COMMUNITY CENTRE, KAILASH COLONY EXT., NEW DELHI Notice Inviting Tender (NIT) from CHARTERED ACCOUNTANT FIRMS Internal Audit of NRDC, NEW DELHI for the Financial Year

3 1) BID-DATA SHEET Tender Number: Date: Issue of Tender Forms Last Date of Submission of Tender Opening of Tender (Technical Bid) Contact Person Contact Address Contact Phone Number (s) Address Website NRDC/Accounts/Internal Audit/ Tender Documents / forms can be Downloaded from the Corporation website upto hrs at hrs. Mr Naresh Kumar MANAGER National Research Development Corporation, New Delhi, ANUSANDHAN VIKAS, 20-22, ZAMROODPUR COMMUNITY CENTRE, KAILASH COLONY EXT., NEW DELHI National Research Development Corporation, New Delhi, ANUSANDHAN VIKAS, 20-22, ZAMROODPUR COMMUNITY CENTRE, NEW DELHI Write2@nrdc.in

4 2) TERMS OF REFERENCE 2.1 Background National Research Development Corporation (NRDC) is a section 8 company, established in 1953 with the primary objective to promote, develop and commercialize the technologies / know-how / inventions / patents / processes emanating from various national R&D institutions / Universities and is presently working under the administrative control of the Dept. of Scientific & Industrial Research ( DSIR), Ministry of Science & Technology, Government of India. 2.2 SCOPE OF WORK The scope of work shall be as follows. 1. Check all the activities/work of the Corporation including Finance and Accounts /Publication/IT & other departments in respect of the following:- a) All revenue/receipts of the Corporation, etc., including royalty premia, consultancy and export income also. b) All payment/ expenditure of the Corporation including all the grants & the projects, etc. 2. Check the Internal Control/ System of the corporation and suggest ways of improvements. 3. Checking of Technology Assignment, License Agreements, Publication, Purchase, Store and IT Division. 4. Ensure compliance of all the statutory Rules, Regulations/Taxes including Accounting Standards. 5. Assist in all the requirements/ matters of the Statutory Audit. 6. While conducting internal audit, the Corporation be advised on the various matters of finance, accounts, royalty, projects, taxation, etc., in effective improvement in the overall operation of the Corporation as well as finalization of accounts including their presence during statutory audit. 7. Any other matter, which is not covered above but is necessary of the day-to-day functioning/work of the Corporation including finalization of accounts. 8. Submit Internal Audit report quarterly to the Management. 9. Advice regarding statutory compliance required to be followed. 10. Study of the files of Royalty Division and bring out the deficiencies if any in each file and method to improve the collections. 11. Checking of statements of Royalty dues. 12. Report and suggestion for procedure to be adopt by the Corporation in r/o licensees who are not submitting returns/ information or submitted only NIL returns for considerable period including DSIR PATSER Scheme. 13. Report on Licensee not paying /less paying Royalty as per agreement and action taken by Royalty division along with present status.

5 14. Checking of all Royalty Debtors as per books of Accounts and action taken by Royalty division. 15. Report on Royalty due as per agreement and accordingly whether provision has been made or not in the books of accounts. 16. Report on status of all Legal cases filed against the corporation (NRDC) and filed by NRDC. 2.3 TIME PERIOD The Chartered Accountant firm will be required to provide the desired services initially for a period of One year i.e. for the FY which can be renewed on the same terms & conditions for another two years on satisfactory performance. Notwithstanding anything contained herein above, the Corporation reserves the right to discontinue the services of Chartered Accountant firm in the event their services are evaluated as unsatisfactory at any time during the period. 2.4 PRE-QUALIFICATION CRITERIA The Chartered Accountant eligible for the bidding process must satisfy the following eligibility criteria: 1. The Chartered Accountant firm should be based at Delhi or having operational branches in Delhi/NCR. 2. The Chartered Accountant firm should have at least four partners out of which at least three partners should be FCA. 3. The Chartered Accountant firm should be registered with The Institute of Chartered Accountants of India. They must have Income Tax Permanent Account Number (PAN) and Service Tax Registration. 4. The firm should have been in operation for at least 5 years after its registration. 5. The firm should be empanelled with Comptroller and Auditor General of India (C&AG). 6. Average Annual Income (i.e. Average Gross Professional Fees earned during the 3 years) of the firm in the last 3 financial years ending on March 31 st 2016 must be equal to or more than {40 (forty) lakhs. 7. The firm should have experience in handling Internal Audit of at least 3 Public Sector Undertakings or Government Organization. 2.5 PAYMENT TERMS The payment shall be made against the services provided by firm as per the nature of work, subject to the following terms and conditions: 1. The payment during the entire contract period shall be made in accordance with the financial bid submitted by the selected bidder and accepted by the Corporation. No price variation w o u l d b e a l l o w e d during the contract period. 2. Any increase in service tax rates during the contract period will be borne by NRDC.

6 3. TDS under Income tax will be deducted at applicable rates. 4. The Corporation reserves the right to deduct any amount from the bill as may be considered reasonable for unsatisfactory services or delay in providing of services. The decision of the Corporation will be the final in this regard. 5. The Service Provider will submit the quarterly final audit report to the Corporation by 20 th of the quarter month ending. However, Internal Audit for the last quarter ending 31 st March should be completed by 31 st May and raise the bill half yearly/yearly. 2.6 As per the Guideline No 1-CA(7)/03/2016, dated 7th April 2016 issued by the Institute of Chartered Accountant of India, the minimum consolidated fees for the assignment mentioned on the Financial bid is Rs.2,50,000/- p.a. ( Two lac fifty thousand only) plus applicable service tax. Therefore the technically qualified firm quoted the audit fees lesser than the minimum amount mentioned in this para will be automatically disqualified. 3. SUBMISSION AND EVALUATION OF THE TENDER 3.1 SUBMISSION OF TENDER The interested firms meeting the pre-qualification criteria are required to submit their Tender in sealed envelopes. The Tender should contain the following documents: i) Prequalification-cum-technical bid in Annexure-A along with all supporting documents should be Kept in a separate envelope super scribing TECHNICAL BID ii) BID Financial Bid in Annexure- B should be kept in a separate sealed envelope super scribing FINANCIAL All the pages of the Tender document including the annexure and copy of certificates/document should be signed by the authorized person of the Firm along with seal of the firm. Both Technical bid and Financial Bid envelops should be kept in a separate envelop. The envelope should be superscribed: NOTE: THE TENDER DOCUMENT MUST BE SUBMIT AS PER PROFORMA Annexure A & B TENDER FOR SELECTION OF CHARTERED ACCOUNTANT FIRM FOR CONDUCTING INTERNAL AUDIT OF NRDC, NEW DELHI FOR THE FINANCIAL YEAR Submitted by: (Name, Address, and Telephone Number of the Firm) Submitted To: Manager (Purchase) National Research Development Corporation, ANUSANDHAN VIKAS, 20-22, ZAMROODPUR COMMUNITY CENTRE, NEW DELHI

7 The Applicant can submit the Tender by registered post /courier/speed post or submit the same in person, so as to reach the designated address by the time and date stipulated. No delay in the submission of the Tender for any reason will be entertained. Any Tender received by the corporation after the deadline shall not be accepted. 3.2 LAST DATE OF SUBMISSION OF TENDER Last date of submission of the Tender is up to hours. 3.3 DATE OF OPENING OF TENDER (Technical Bid) The Tender will be opened for technical evaluation on at 15:30 hours in the Meeting Room of the Corporation. The authorized representatives must carry authorization letter to attend the bid opening. The date of opening of financial bids will be communicated later. 3.4 EVALUATION OF TENDER The Tender will be evaluated by Tender evaluation committee constituted by the Corporation. The detailed evaluation method for Prequalification-cum-Technical and Financial bids is specified below. The technical and financial bid will be given weight age of 70% on Technical marks and 30% on Financial marks. In case of not fulfill the minimum criteria in each category of the technical bid, the bid of the respective bidder shall be rejected. The combined score of technical and financial bids will be taken into consideration for finalizing the firm for award of contract. The firm scoring maximum marks will be declared successful. However mere scoring of maximum marks does not entitle the firm for award of contract EVALUATION OF TECHNICAL PROPOSAL Only the bidders whose technical bids have been short listed shall be considered for further processing (Technical evaluation). NRDC s decision will be final and binding. The same cannot be challenged in any forum thereafter. Bidder whose technical bid is found to be acceptable and meeting the eligibility requirements and secure minimum technical score of 70% will be informed about the date and time of the opening of the financial bid OPENING OF FINANCIAL BIDS Financial bids of the short listed bidders will be opened in the presence of the authorized representative of the bidders, who choose to attend, at the time, place and date to be informed later. The authorized representative of bidders, present at the time of opening of the bids shall be required to sign an attendance register as a proof of having attended the price bid opening. In case of absence of the bidder or their representative the committee shall have the right to open the bid.

8 The bidder s name, bid prices and such other details considered as appropriate by NRDC, will be announced at the time of the opening of the bids. (ONLY the Technically accepted competitive bids will be considered for the opening of Financial Bids) SELECTION CRITERIA The selection of the bidder shall be based on a Quality cum Cost Based Selection (QCBS) system 70:30 (technical score: financial score) and procedures as described in this document. The financial bid of the bidder will be opened only of those bidders who secure minimum technical score of 70% of the obtainable score in the evaluation of the technical proposal. In final Evaluation, the weightage of the Technical Bid would be 70%. The weightage of the Financial Bid would be 30%. The Marks on the financial bid would be determined by the formula: Financial Marks (F) = 30 * [Financial Quote given by the Lowest bidder] [Financial Quote Given by the Bidder] The Bids would be finally evaluated on Total marks determined by following formula: Total Marks (M) = (0.7 x T) + F Where, T = Technical marks (out of 100) awarded to the bidder F = Financial Marks The Bidder obtaining highest Total Marks (M) would be selected The decision of NRDC in this regard will be final and binding. The same cannot be challenged in any forum thereafter.

9 Technical Bid Evaluation Criteria 1. Firm s Existence in years after its registration 5 Years 7 years 2 15 > 7 Years 10 years 5 > 10 Years-15years 10 >15 Years Average Annual Income of the Firm (in the last 3 financial years) ended on 31 st March {40 Lakhs {50 Lakhs 5 > {50 Lakhs {60 Lakhs 10 Above {60 Lakhs Experience of handling Internal Audit of at least 3 (three) PSU/Govt. Organization Organizations 10 > 5 8 Organizations 15 > 8-10 Organizations 20 > 10 Organizations Earlier audit /professional & other services provided to corporation i.e NRDC Key Experts and Manpower (35 Marks) Number of Partners in the Firm 4 Partners, at least 3 FCA 5 Additional 2 marks for each additional FCA Partner, 10 Maximum 10 marks Number of CA on the pay roll 2-4 Chartered Accountant 5 Additional 1 marks for each additional CA, Maximum marks Number of paid Staff/Article > 5 Staff/Articles 5 15 Total Technical Score (01-05) 100

10 ANNEXURE- A PRE-QUALIFICATION-CUM-TECHNICAL BID Sl. No. Criterion Name of The Firm Firm s Strength & Capacity 1. The firm should be based at Delhi or having operational branches in Delhi/NCR Address of the Firm (Submit supporting document regarding address) Address of Branch at Delhi or NCR if any Name and address of the authorized official 2. The Chartered Accountant firm should have at least four partners; Telephone No Mobile: Provide certificates from The Institute of Chartered Accountants of India. 3. The Chartered Accountant firm should be registered with The Institute of Chartered Accountants of India. They must have Income Tax Permanent Account Number (PAN) and Service Tax Registration; (Provide all registration certificates) If registered then mention Registration Number PAN of the Firm Service Tax Registration No. 4. The firm should be empanelled with Comptroller & Auditor General of India (C&AG) (Provide registration certificate) 5. The firm should be in operation for at least 5 years after its registration (Provide necessary evidence) Empanelled with C&AG Year of Registration/ Starting of operation Nos. of years in operation after registration (in years) Yes/ No 6. Average Annual Income of the firm for the last 3 (three) years ending on 31 st March, 2016 [Must be equal to or greater than {40 (Forty) Lakhs] [Provide copies of the Audited Financial Statements for all the 3 (Three) years upto 31 st March, 2016 along with a Certificate in A-1 proforma as per annexure] Average Annual Income (i.e. Average Gross Professional Fees received / earned) of the CA Firm in last 3 (three) years ending on 31 st March, 2016) {. (in figure) { (in words)......

11 7. The firm should have experience in Internal Audit, of at least 3 PSUs/ Govt. Organizations (Details to be provided in proforma A-2. Attach copies of works order/ works completion as evidence) Nos. of Govt. Organizations/ PSUs where similar Service was provided Nos. (in words). Nos. (in figure) 8. Earlier audit /professional & other services provided to NRDC (Details to be provided in proforma A-3. Attach copies of works order/ works completion as evidence) Yes/No If Yes time period/scope of work & no. of years service rendered 9. Firm should have minimum 4 (four) partners (Submit the proof of the Ownership pattern & registration certificates along with details of the Chief Functionary (s) of the CA firm provided in Performa A-4) Nos. of Partners Nos. (in words). Nos. (in figure) 10. Nos. of Payroll staff (Full Time)/ Article ship incumbent/ Apprentices (if any) i) No. of Payroll Staff (Full Time) : ii) Nos. of Article-ship Incumbent : iii) Nos. of Apprentice : Certified that the above particulars are correct. In the event of any information found to be incorrect the Institute is at liberty to reject the proposal of the CA Firm. SEAL: Signature : Date: Name & Designation :

12 Proforma to Annexure-A PROFORMA : A1 Details of Firm s Professional Income [Gross Professional Fees earned] Particular Financial Year Financial Year Financial Year Average Annual Income Annual Income* (`. in Lakhs) * Furnish the Audited Accounts of the Firm along with copy of the acknowledgement of Income Tax return for the all 3 (three) years SEAL: Signature : Date: Name & Designation :

13 PROFORMA : A2 Details of Firm s Experience of Internal Audit Sl. No Name of the Company Duration of the Audit [Start date / End date] Scope of Work Nature of the Supporting Documents provided * Furnish the copy of the documentary evidence in support of the information provided above. If require, add/append a page in this format SEAL: Signature : Date: Name & Designation :

14 PROFORMA: A3 Details of Firm s Experience of earlier audit/professional & Other services to NRDC Sl. No Name of the Company Duration of the Audit [Start date / End date] Nature of the Assignments ( Pl specify whether work involved Internal Audit) Nature of the Supporting Documents provided * Furnish the copy of the documentary evidence in support of the information provided above. If require, add/append a page in this format SEAL: Signature : Date: Name & Designation :

15 PROFORMA: A4 Details of Firm s Partners, Name and Registration Nos. Sl. No Name of the Member Designation Membership No. Status (FCA/ACA) Remarks * Furnish the copy of the documentary evidence in support of the information provided above. If require, add/append a page in this format SEAL: Signature : Date: Name & Designation :

16 ANNEXURE- B FINANCIAL BID Sl. Description of Fees Fees Payment No. Rupees in Rupees in words Schedule Figure A. Fees for the Financial Year ** B. Add: Service Tax as per applicable rate on the services provided The service Provider will raise the bill halfyearly/yearly. C. Total Fees to be paid (including Service Tax (A+B) ** The quoted fee should be included of Professional Fee, Travelling, Food and Other Expenses. N.B.: Statutory Changes in Service tax rate if any shall be borne by the Corporation. Deductions shall be made by the Institute as per statutory rates & norms wherever applicable We undertake that the rates quoted above by us will not change during the Contract period and accept the payment schedule as described in the appropriate column. SEAL: Signature : Date: Name & Designation :