TARIFF FILING FORMS (THERMAL)

FOR DETERMINATION OF TARIFF

PART-I
Annexure-I

PART-I
Checklist of Forms and other information/ documents for tariff filing for
Thermal Stations
Form No.

Title of Tariff Filing Forms (Thermal)

FORM- 1

Summary Sheet

Form-1(I)

Statement showing claimed capital cost

Form-1(II)

Statement showing Return on Equity

FORM-2

Plant Characteristics

FORM-3

Normative parameters considered for tariff computations

FORM- 4

Details of Foreign loans

FORM- 4A

Details of Foreign Equity

FORM-5

Abstract of Admitted Capital Cost for the existing Projects

FORM-5A

Abstract of Capital Cost Estimates and Schedule of Commissioning for the

New projects

FORM-5B

Break-up of Capital Cost for Coal/Lignite based projects

FORM-5C

Break-up of Capital Cost for Gas/Liquid fuel based Projects

FORM-5D

Break-up of Construction/Supply/Service packages

FORM-5E

Details of variables , parameters , optional package etc. for New Project

FORM-5Ei

In case there is cost over run

FORM-5Eii

In case there is time over run

FORM-5F

In case there is claim of additional RoE

FORM- 6

Financial Package upto COD

FORM- 7

Details of Project Specific Loans

FORM- 8

Details of Allocation of corporate loans to various projects

FORM-9A

Statement of Additional Capitalisation after COD

FORM 9B
FORM 9Bi
FORM 9C
FORM 9D

Statement of Additional Capitalisation during fag end of the useful life of

Project
Details of Assets De-capitalised during the period
Statement showing reconciliation of ACE claimed with the capital additions as
per books
Statement showing items/assets/works claimed under Exclusions

Tick

Form No.

Title of Tariff Filing Forms (Thermal)

FORM- 9E

Statement of Capital cost

FORM- 9F

Statement of Capital Woks in Progress

FORM- 10

Financing of Additional Capitalisation

FORM- 11

Calculation of Depreciation

FORM- 12

Statement of Depreciation

FORM- 13

Calculation of Weighted Average Rate of Interest on Actual Loans

FORM- 13A

Calculation of Interest on Normative Loan

FORM- 13 B

Calculation of Interest on Working Capital

FORM- 13 C

Other Income as on COD

FORM- 13 D
FORM- 13 E

Incidental Expenditure during Construction up to Scheduled COD and up to

Actual COD
Expenditure under different packages up to Scheduled COD and up to Actual
COD

FORM- 14

Draw Down Schedule for Calculation of IDC & Financing Charges

FORM- 14A

Actual cash expenditure

FORM-15
FORM- 16

Tick

Details/Information to be Submitted in respect of Fuel for Computation of

Energy Charges1
Details/Information to be Submitted in respect of Limestone for Computation
of Energy Charge Rate

FORM-17

Details/Information to be Submitted in respect of Capital Spares

FORM-18

Liability Flow Statement

FORM-19

Station wise Cost Audit Report

Other Information/ Documents

Sl. No.

Information/Document
Certificate of incorporation, Certificate for Commencement of Business,

Memorandum of Association, & Articles of Association ( For New Station

setup by a company making tariff application for the first time to CERC)
A. Station wise and Corporate audited Balance Sheet and Profit & Loss

Accounts with all the Schedules & annexures on COD of the Station for the
new station & for the relevant years.
B. Station wise and Corporate audited Balance Sheet and Profit & Loss

Tick

Form No.

Title of Tariff Filing Forms (Thermal)

Tick

Accounts with all the Schedules & annexures for the existing station for
relevant years.
3
4
5
6

Copies of relevant loan Agreements

Copies of the approval of Competent Authority for the Capital Cost and
Financial package.
Copies of the Equity participation agreements and necessary approval for the
foreign equity.
Copies of the BPSA/PPA with the beneficiaries, if any
Detailed note giving reasons of cost and time over run, if applicable.

List of supporting documents to be submitted:

a. Detailed Project Report
b. CPM Analysis
c. PERT Chart and Bar Chart
d. Justification for cost and time Overrun
Generating Company shall submit copy of Cost Audit Report along with cost
accounting records, cost details, statements, schedules etc. for the Generating
Unit wise /stage wise/Station wise/ and subsequently consolidated at

Company level as submitted to the Govt. of India for first two years i.e. 2014-15
and 2015-16 at the time of mid-term true-up in 2016-17 and for balance period
of tariff period 2014-19 at the time of final true-up in 2019-20. In case of initial
tariff filing the latest available Cost Audit Report should be furnished.

9
10.

Any other relevant information, (Please specify)

Reconciliation with Balance sheet of any actual additional capitalization and
amongst stages of a generating station

Note1: Electronic copy of the petition (in words format) and detailed calculation as per these formats (in
excel format) and any other information submitted shall also be furnished in the form of CD/Floppy
disc.

PART-I
FORM- 1
Summary Sheet
Name of the Petitioner
Name of the Generating Station :
Place (Region/District/State):
Sr.No. Particulars
1
1.1
1.2
1.3
1.4
1.5
1.7
1.8
2.1

2.2
2.3

____________________________________
_____________________________________
Unit

2
Depreciation
Interest on Loan
Return on Equity1
Interest on Working Capital
O & M Expenses
Compensation Allowance (If applicable)
Special allowance (If applicable)
Total
Landed Fuel Cost ( Domestic : coal/gas
/RLNG/liquid)

Rs Lakh
Rs Lakh
Rs Lakh
Rs Lakh
Rs Lakh
Rs Lakh
Rs Lakh
Rs Lakh
Rs/Tone

(%) of Fuel Quantity

Landed Fuel Cost ( Imported Coal)
(%) of Fuel Quantity
Secondary fuel oil cost
Energy Charge Rate ex-bus(
Paise/kWh)2A, 2B, 2C, 2D

(%)
Rs/Tone
(%)
Rs/Unit
Rs/Unit

Existing
2014-15
2013-14
3
4

2015-16 2016-17
5

2017-18
7

2018-19
8

Note
1: Details of calculations, considering equity as per regulation, to be furnished.
2A: If multifuel is used simultaneously, give 2 in respect of every fuel individually.
2B: The rate of energy charge shall be computed for open cycle operation and combined cycle operation separately in case
of gas/liquid fuel fired plants.
2C: The total energy charge shall be worked out based on ex-bus energy scheduled to be sent out.
2D: The Energy Charge rate for the month shall be based on fuel cost(s) and GCV(s) for the month as per Regulation 30
(6).

Form-1(I) Statement showing claimed capital cost:

Sl. No.
(1)

Particulars
(2)
Opening Capital Cost
Add: Addition during the year / period
Less: Decapitalisation during the year /
period
Less: Reversal during the year / period
Add: Discharges during the year /
period
Closing Capital Cost
Average Capital Cost

2014-15
(3)

2015-16
(4)

2016-17
(5)

2017-18
(6)

2018-19
(7)

2015-16
(4)

2016-17
(5)

2017-18
(6)

2018-19
(7)

Form-1(II) Statement showing Return on Equity:

Sl. No.
(1)

Particulars
(2)
Opening Equity
Add: Increase due to addition during
the year / period
Less: Decrease due to de-capitalisation
during the year / period
Less: Decrease due to reversal during
the year / period
Add: Increase due to discharges during
the year / period
Closing Equity
Average Equity
Rate of ROE
Return on Equity

2014-15
(3)

(Petitioner)

PART-I
FORM-2
Plant Characteristics
Name of the Petitioner
Name of the Generating Station
Unit(s)/Block(s)/Parameters
Unit-I Unit-II Unit-III .
Installed Capacity ( MW)
Schedule COD as per Investment Approval
Actual COD /Date of Taken Over (as
applicable)
Pit Head or Non Pit Head
Name of the Boiler Manufacture
Name of Turbine Generator Manufacture
Main Steams Pressure at Turbine inlet
(kg/Cm2) abs1.
Main Steam Temperature at Turbine inlet (oC) 1
Reheat Steam Pressure at Turbine inlet
(kg/Cm2) 1
Reheat Steam Temperature at Turbine inlet
(oC) 1
Main Steam flow at Turbine inlet under MCR
condition (tons /hr)2
Main Steam flow at Turbine inlet under VWO
condition (tons /hr)2
Unit Gross electrical output under MCR /Rated
condition (MW)2
Unit Gross electrical output under VWO
condition (MW)2
Guaranteed Design Gross Turbine Cycle Heat
Rate (kCal/kWh)3
Conditions on which design turbine cycle heat
rate guaranteed
% MCR
% Makeup Water Consumption
Design Capacity of Make up Water System
Design Capacity of Inlet Cooling System
Design Cooling Water Temperature (0C)
Back Pressure
Steam flow at super heater outlet under BMCR
condition (tons/hr)
Steam Pressure at super heater outlet under
BMCR condition) (kg/Cm2)
Steam Temperature at super heater outlet under
BMCR condition (0C)
Steam Temperature at Reheater outlet at BMCR
condition (0C)
Design / Guaranteed Boiler Efficiency (%)4
Design Fuel with and without Blending of

domestic/imported coal
.
Type of Cooling Tower
Type of cooling system5
Type of Boiler Feed Pump6
Fuel Details7
-Primary Fuel
-Secondary Fuel
-Alternate Fuels
Special Features/Site Specific Features8
Special Technological Features9
Environmental Regulation related features10
Any other special features
1: At Turbine MCR condition.
2: with 0% (Nil) make up and design Cooling water temperature
3: at TMCR output based on gross generation, 0% (Nil) makeup and design Cooling water
temperature.
4: With Performance coal based on Higher Heating Value (HHV) of fuel and at BMCR) out put
5: Closed circuit cooling, once through cooling, sea cooling, natural draft cooling, induced draft
cooling etc.
6: Motor driven, Steam turbine driven etc.
7: Coal or natural gas or Naptha or lignite etc.
8: Any site specific feature such as Merry-Go-Round, Vicinity to sea, Intake /makeup water
systems etc. scrubbers etc. Specify all such features
9: Any Special Technological feature like Advanced class FA technology in Gas Turbines, etc.
10: Environmental Regulation related features like FGD, ESP etc.,
Note 1: In case of deviation from specified conditions in Regulation, correction curve of
manufacturer may also be submitted.
Note 2: Heat Balance Diagram has to be submitted along with above information in case of new
stations.
Note 3: The Terms MCR, BMCR, HHV, Performance coal, are as defined in CEA Technical
Standards for Construction of Electric Plants and Electric Lines Regulations 2010 notified by the
Central Electricity Authority
Note 4: The copy of Certificate shall be submitted in terms of Regulation 4 as per Appendix-VI

(Petitioner)

PART-I
FORM-3
Name of the Petitioner
Name of the Generating Station

Normative parameters considered for tariff computations

______________________________________
______________________________________
Year Ending March

Particulars
(1)
Base Rate of Return on Equity
Effective Tax Rate 4
Target Availability
Auxiliary Energy Consumption
Gross Station Heat Rate
Specific Fuel Oil Consumption
Cost of Coal/Lignite for WC1
Cost of Main Secondary Fuel Oil for WC1
Fuel Cost for WC2
Liquid Fuel Stock for WC2
O & M expenses
Maintenance Spares for WC
Receivables for WC
Storage capacity of Primary fuel
SBI Base Rate + 350 basis points as on
__________________3
Blending ratio of domestic coal/imported coal

Unit
(2)
%
%
%
%
kCal/kWh
ml/kWh
in Months
in Months
in Months
in Months
Rs lakh / MW
% of O&M
in Months
MT
%

Existing
2013-14
(3)

2014-15

2015-16

(4)

(5)

2016-17
(6)

2017-18
(7)

2018-19
(8)

1. For Coal based/lignite based generating stations

2. For Gas Turbine/Combined Cycle generating stations duly taking into account the mode of operation on gas fuel and liquid fuel
3. Mention relevant date
4. Effective tax rate is to be computed in accordance with Regulation 25 i.e. actual tax (or advance tax)/gross income, where gross income
refers the profit before tax.
(Petitioner)

PART-I
FORM- 4
Details of Foreign loans
(Details only in respect of loans applicable to the project under petition)
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
Exchange Rate at COD or 31.03.2004, whichever is later
______________________________________
Exchange Rate as on 31.3.2014
______________________________________
Sl. Financial Year (Starting from COD)
Year 1
Year 2
Year 3 and so on
1
2 3
4
5
6
7
8
9
10
11
12
Releva
Amount Releva
Amount
Amount Releva
Amou
nt
Amou
(Foreign nt
(Foreign
(Foreign nt
Date
nt (Rs. Date
Excha nt (Rs. Date
Currency Exchan
Currency
Currency Exchan
Lakh)
nge
Lakh)
)
ge Rate
)
)
ge Rate
Rate
Currency11
At the date of Drawl or at the
A.1
beginning to the year of the period2
Scheduled repayment date of
2
principal
3 Scheduled payment date of interest
4 At the end of Financial year
B
In case of Hedging3
1 At the date of hedging
2 Period of hedging
3 Cost of hedging
Currency21
A.1 At the date of Drawl2
Scheduled repayment date of
2
principal
3 Scheduled payment date of interest
4 At the end of Financial year

13
Amou
nt(Rs.
Lakh)

Sl. Financial Year (Starting from COD)

1

Year 1
4

Year 2
6
7

8
Releva
Amount Releva
Amount
Amou
nt
(Foreign nt
(Foreign
Date
nt (Rs. Date
Excha
Currency Exchan
Currency
Lakh)
nge
)
ge Rate
)
Rate

Year 3 and so on
10
11
12

Amount
Amou
(Foreign
nt (Rs. Date
Currency
Lakh)
)

13

Releva
Amou
nt
nt(Rs.
Exchan
Lakh)
ge Rate

In case of Hedging3
1 At the date of hedging
2 Period of hedging
3 Cost of hedging

Currency31& so on
A.1 At the date of Drawl2
Scheduled repayment date of
2
principal
3 Scheduled payment date of interest
4 At the end of Financial year
B
In case of Hedging3
1 At the date of hedging
2 Period of hedging
3 Cost of hedging
1. Name of the currency to be mentioned e.g. US$, DM, etc.
2. In case of more than one drawl during the year, Exchange rate at the date of each drawl to be given
3. Furnish details of hedging, in case of more than one hedging during the year or part hedging, details of each hedging are to be given
4. Tax (such as withholding tax) details as applicable including change in rates, date from which change effective etc. must be clearly
indicated.
(Petitioner)

PART-I
FORM- 4A
Details of Foreign Equity
(Details only in respect of Equity infusion if any applicable to the project under petition)
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
Exchange Rate on date/s of infusion
______________________________________
Sl. Financial Year
Year 1
Year 2
Year 3 and so on
1
2
3
4
5
6
7
8
9
10
11
12
13
Amount
Amount
Amount Excha Amount
Amount
Amou
Exchang
Exchan
Date (Foreign
(Rs.
Date (Foreign nge
(Rs.
Date (Foreign
nt (Rs.
e Rate
ge Rate
Currency)
Lakh)
Currency) Rate Lakh)
Currency)
Lakh)
1
Currency1
A.1 At the date of infusion2
2
3
Currency21
A.1 At the date of infusion2
2
3
Currency31
A.1 At the date of infusion2
2
3
Currency1 and so on
A.1 At the date of infusion2
2
3
1. Name of the currency to be mentioned e.g. US$, DM, etc.
2. In case of equity infusion more than once during the year, Exchange rate at the date of each infusion to be given
(Petitioner)

PART-I
FORM- 5
Abstract of Admitted Capital Cost for the existing Projects
Name of the Company
Name of the Power Station

______________________________________
______________________________________

Last date of order of Commission for the project

Date (DD-MM-YYYY)
Reference of petition no. in which the above order
Petition no.
was passed
Following details (whether admitted and /or considered) as on the last date of the period for which tariff is
approved, in the above order by the Commission:
Capital cost
Amount of un-discharged liabilities included in
above (& forming part of admitted capital cost)
Amount of un-discharged liabilities corresponding
to above admitted capital cost (but not forming part
of admitted capital cost being allowed on cash
basis)
(Rs. in lakh)*
Gross Normative Debt
Cumulative Repayment
Net Normative Debt
Normative Equity
Cumulative Depreciation
Freehold land

(Petitioner)

PART-I
FORM- 5A
Abstract of Capital Cost Estimates and Schedule of Commissioning for the New Projects
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________

New Projects
Capital Cost Estimates
Board of Director/ Agency approving the Capital cost estimates:
Date of approval of the Capital cost estimates:
Price level of approved estimates

Present Day Cost

Completed Cost
As on End of ______Qtr. Of the As on Scheduled COD of the
year _________
Station

Foreign Exchange rate considered for the Capital cost estimates

Capital Cost excluding IDC,IEDC& FC
Foreign Component, if any (In Million US $ or the relevant Currency)
Domestic Component (Rs. Lakh)
Capital cost excluding IDC, IEDC, FC, FERV & Hedging Cost (Rs. Cr)
IDC, IEDC,FC, FERV & Hedging Cost
Foreign Component, if any (In Million US $ or the relevant Currency)
Domestic Component (Rs. Lakh)
Total IDC, IEDC, FC, FERV & Hedging Cost (Rs. Lakh)
Rate of taxes & duties considered
Capital cost Including IDC, IEDC, FC, FERV & Hedging Cost
Foreign Component, if any (In Million US $ or the relevant Currency)
Domestic Component (Rs. Lakh)

Capital cost Including IDC, IEDC& FC (Rs. Lakh)

Schedule of Commissioning
Scheduled COD of Unit-I/Block-I as per Investment Approval
Scheduled COD of Unit-II/Block-II as per Investment Approval
--------------------------------------------------Scheduled COD of last Unit/Block
Note:
1. Copy of Investment approval letter should be enclosed
2. Details of Capital Cost are to be furnished as per FORM-5B or 5C as applicable
3. Details of IDC & Financing Charges are to be furnished as per FORM-14.
(Petitioner)

PART-I
FORM- 5B
Break-up of Capital Cost for New Coal/Lignite based projects
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________
(Amount in Rs. Lakh)

Sl.
No.
(1)

1
1.1
1.2

1.3

2
2.1
2.2
2.3
2.3.1

Break Down (2)

Cost of Land &

Site
Development
Land*
Rehabilitation &
Resettlement
(R&R)
Preliminary
Investigation &
Site Development
Total Land & Site
Development
Plant &
Equipment
Steam Generator
Island
Turbine
Generator Island
BOP Mechanical
External water

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Investment
COD/anticipated COD Liabilities/ Variation (3-4- Specific Reasons expenditure upto
Provisions (5)
5) (6)
for Variation (7) Cut-off date (8)
Approval(3)
(4)
Actual Amount

Sl.
No.
(1)

2.3.2
2.3.3
2.3.4
2.3.5
2.3.6
2.3.7
2.3.8
2.3.9
2.3.10
2.3.11

2.3.12
2.3.13
2.3.14
2.3.15
2.3.16

Break Down (2)

supply system
CW system
DM water Plant
Clarification plant
Chlorination
Plant
Fuel Handling &
Storage system
Ash Handling
System
Coal Handling
Plant
Rolling Stock and
Locomotives
MGR
Air Compressor
System
Air Condition &
Ventilation
System
Fire fighting
System
HP/LP Piping
FGD system, if
any
De-salination
plant for seawater intake

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Liabilities/
Variation
(3-4Specific
Reasons
Investment
COD/anticipated COD
expenditure upto
Provisions
(5)
5)
(6)
for
Variation
(7)
Approval(3)
(4)
Cut-off date (8)
Actual Amount

Sl.
No.
(1)

Break Down (2)

2.3.17 External coal

handling in Jetty,
if any
Total BOP
Mechanical
2.4 BOP Electrical
Switch Yard
2.4.1 Package
Transformers
2.4.2 Package
Switch gear
2.4.3 Package
Cables, Cable
facilities &
2.4.4 grounding
2.4.5 Lighting
Emergency D.G.
2.4.6 set
Total BOP
Electrical
Control &
Instrumentation
2.5 (C & I) Package
Total Plant &
Equipment
excluding taxes &
Duties
2.6 Taxes & Duties

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Liabilities/
Variation
(3-4Specific
Reasons
Investment
COD/anticipated COD
expenditure upto
Provisions
(5)
5)
(6)
for
Variation
(7)
Approval(3)
(4)
Cut-off date (8)
Actual Amount

Sl.
No.
(1)

Break Down (2)

Initial Spares

Civil Works
Main plant/Adm.
Building
CW system
Cooling Towers
DM water Plant
Clarification plant
Chlorination
plant
Fuel handling &
Storage system
Coal Handling
Plant
MGR
&Marshalling
Yard
Ash Handling
System
Ash disposal area
development
Fire fighting
System
Township &
Colony

4.1
4.2
4.3
4.4
4.5
4.6
4.7
4.8

4.9
4.10
4.11
4.12
4.13

4.14 Temp.

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Liabilities/
Variation
(3-4Specific
Reasons
Investment
COD/anticipated COD
expenditure upto
Provisions
(5)
5)
(6)
for
Variation
(7)
Approval(3)
(4)
Cut-off date (8)
Actual Amount

Sl.
No.
(1)

Break Down (2)

construction &
enabling works
4.15 Road & Drainage
Total Civil works
5

5.1
5.2
5.3
5.4
5.5
5.6

Construction &
PreCommissioning
Expenses
Erection Testing
and
commissioning
Site supervision
Operator's
Training
Construction
Insurance
Tools & Plant
Start up fuel
Total
Construction &
PreCommissioning
Expenses

6 Overheads
6.1 Establishment
Design &
6.2 Engineering

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Liabilities/
Variation
(3-4Specific
Reasons
Investment
COD/anticipated COD
expenditure upto
Provisions
(5)
5)
(6)
for
Variation
(7)
Approval(3)
(4)
Cut-off date (8)
Actual Amount

Sl.
No.
(1)

Break Down (2)

As per Original
Actual Capital
Estimated
Estimates as per
Expenditure as on
Capital
Liabilities/
Variation
(3-4Specific
Reasons
Investment
COD/anticipated COD
expenditure upto
Provisions
(5)
5)
(6)
for
Variation
(7)
Approval(3)
(4)
Cut-off date (8)
Actual Amount

6.3 Audit & Accounts

6.4 Contingency
Total Overheads

8.1
8.2

8.3
8.4

Total Capital
cost excluding
IDC & FC
IDC, FC, FERV
&Hedging Cost
Interest During
Construction
(IDC)
Financing
Charges (FC)
Foreign Exchange
Rate Variation
(FERV)
Hedging Coat
Total of IDC,
FC,FERV &
Hedging Cost

Capital cost
including IDC,
FC, FERV &
9 Hedging Cost
*Provide details of Freehold land and Lease hold land separately
Note:

1. In case of cost variation, a detailed note giving reasons of such variation should be submitted clearly indicating whether such cost
over-run was beyond the control of the generating company.
2. In case of both time & cost overrun, a detailed note giving reasons of such time and cost over-run should be submitted clearly
bringing out the agency responsible and whether such time and cost overrun was beyond the control of the generating company.
3. The implication on cost due to time over run, if any shall be submitted separately giving details of increase in prices in different
packages from scheduled COD to Actual COD/anticipated COD, increase in IEDC from scheduled COD to actual
COD/anticipated COD and increase of IDC from scheduled COD to actual anticipated COD.
4. Impact on account of each reason for Time over run on Cost of project should be quantified and substantiated with necessary
documents and supporting workings.
5. A list of balance work assets/work wise including initial spare on original scope of works along with estimate shall be furnished
positively.
(Petitioner)

PART-I
FORM- 5C
Break-up of Capital Cost for Gas/Liquid fuel based projects
Name of the Petitioner
Name of the Generating Station

Sl.
No.
(1)

______________________________________
______________________________________

Break Down (2)

1 Cost of Land & Site Development

1.1 Land*
1.2 Rehabilitation & Resettlement (R&R)
Preliminary Investigation & Site
1.3
Development
Total Land & Site Development
2 Plant & Equipment
2.1 Steam Generator Island
2.2 Turbine Generator Island
2.3 WHRB Island
2.4 BOP Mechanical
2.4.1 Fuel Handling & Storage system
2.4.2 External water supply system
2.4.3 CW system
2.4.4 Cooling Towers
2.4.5 DM water Plant
2.4.6 Clarification plant

As per
Original
Actual
Estimates
Liabilities/
Capital
as per
Provisions
Expenditur
Investment
(5)
e (4)
Approval
(3)

Amount in Rs. Lakh)

Actual/Estimated
Capital
Specific
Expenditure upto
Variation Reasons for
Cut-off date (8)
(3-4-5) (6) Variation*
(7)

Sl.
No.
(1)

Break Down (2)

2.4.7
2.4.8
2.4.9
2.4.10

Chlorination Plant
Air Condition & Ventilation System
Fire fighting System
HP/LP Piping
Total BOP Mechanical

2.5
2.5.1
2.5.2
2.5.3
2.5.4
2.5.5
2.5.6

BOP Electrical
Switch Yard Package
Transformers Package
Switch gear Package
Cables, Cable facilities & grounding
Lighting
Emergency D.G. set
Total BOP Electrical

Control & Instrumentation (C & I)

2.6 Package
Total Plant & Equipment excluding
taxes & Duties
2.7 Taxes & Duties
3

Initial Spares

4 Civil Works
4.1 Main plant/Adm. Building

As per
Original
Actual
Estimates
Liabilities/
Capital
as per
Provisions
Expenditur
Investment
(5)
e (4)
Approval
(3)

Actual/Estimated
Capital
Specific
Expenditure upto
Variation Reasons for
Cut-off date (8)
(3-4-5) (6) Variation*
(7)

Sl.
No.
(1)

Break Down (2)

4.2
4.3
4.4
4.5
4.6
4.7
4.8

External Water Supply System

CW system
Cooling Towers
DM water Plant
Clarification plant
Fuel handling & Storage system
Township & Colony
Temp. construction & enabling
4.9 works
4.10 Road & Drainage
4.11 Fire fighting System
Total Civil works
5
5.1
5.2
5.3
5.4
5.5
5.6

Construction
&
PreCommissioning Expenses
Erection Testing and commissioning
Site supervision
Operator's Training
Construction Insurance
Tools & Plant
Start up fuel
Total Construction & PreCommissioning Expenses
Overheads

As per
Original
Actual
Estimates
Liabilities/
Capital
as per
Provisions
Expenditur
Investment
(5)
e (4)
Approval
(3)

Actual/Estimated
Capital
Specific
Expenditure upto
Variation Reasons for
Cut-off date (8)
(3-4-5) (6) Variation*
(7)

Sl.
No.
(1)

6.1
6.2
6.3
6.4

Break Down (2)

As per
Original
Actual
Estimates
Liabilities/
Capital
as per
Provisions
Expenditur
Investment
(5)
e (4)
Approval
(3)

Actual/Estimated
Capital
Specific
Expenditure upto
Variation Reasons for
Cut-off date (8)
(3-4-5) (6) Variation*
(7)

Establishment
Design & Engineering
Audit & Accounts
Contingency
Total Overheads

Capital cost excluding IDC & FC

IDC, FC, FERV &Hedging Cost

8.1 Interest During Construction (IDC)

8.2 Financing Charges (FC)
Foreign Exchange Rate Variation
8.3 (FERV)
8.4 Hedging Coat
Total of IDC, FC,FERV & Hedging
Cost
Capital cost including IDC, FC,
9 FERV & Hedging Cost
*Provide details of Freehold land and Lease hold land separately
Note:
1. In case of cost variation , a detailed note giving reasons of such variation should be submitted clearly indicating whether such cost
over-run was beyond the control of the generating company.

2. In case of time & cost overrun, a detailed note giving reasons of such time and cost over-run should be submitted clearly bringing
out the agency responsible and whether such time and cost overrun was beyond the control of the generating company.
3. The implication on cost due to time over run, if any shall be submitted separately giving details of increase in prices in different
packages from scheduled COD to Actual COD/anticipated COD, increase in IEDC from scheduled COD to actual
COD/anticipated COD and increase of IDC from scheduled COD to actual anticipated COD.
4. Impact on account of each reason for Time over run on Cost of project should be quantified and substantiated with necessary
documents and supporting workings.
A list of balance work assets/work wise including initial spare on original scope of works along with estimate shall be furnished
positively
(Petitioner)

PART-I
FORM- 5D
Break-up of Construction/Supply/Service packages
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________

1 Name/No. of Construction / Supply / Service Package

2
3
4
5
6
7
8
9
10
11
12
13

Package A

Package B

Package C

Total Cost of all

packages

Scope of works1 (in line with head of cost break-ups as

applicable)
Whether awarded through ICB/DCB/ Departmentally/
Deposit Work
No. of bids received
Date of Award
Date of Start of work
Date of Completion of Work/Expected date of completion of
work
Value of Award2 in (Rs. Lakh)
Firm or With Escalation in prices
Actual capital expenditure till the completion or up to COD
whichever is earlier(Rs.Lakh)
Taxes & Duties and IEDC (Rs. Lakh)
IDC, FC, FERV & Hedging cost (Rs. Lakh)
Sub -total (10+11+12) (Rs. Lakh)

Note:
1. The scope of work in any package should be indicated in conformity of Capital cost break-up for the coal/lignite based plants in the
FORM-5B to the extent possible. In case of Gas/Liquid fuel based projects, break down in the similar manner in the relevant heads as per
FORM-5C.
2. If there is any package, which need to be shown in Indian Rupee and foreign currency(ies), the same should be shown separately along
with the currency, the exchange rate and the date e.g. Rs.80 Cr. +US$50m=Rs.390Cr. at US$=Rs62 as on say 01.04.14.
(Petitioner)

PART-I
FORM- 5E
Details of variables, parameters, optional package etc. for New Project
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
Unit Size
Number of Units
Greenfield/Extension
S. No.
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24

Variables
Coal Quality Calorific Value
Ash Content
Moisture Content
Boiler Efficiency
Suspended Particulate Matter
Ash Utilization
Boiler Configuration
Turbine Heat Rate
CW Temperature
Water Source
Distance of Water Source
Clarifier
Mode of Unloading Oil
Coal Unholding Mechanism
Type of Fly Ash Disposal and Distance
Type of Bottom Ash Disposal and Distance
Type of Soil
Foundation Type (Chimney)
Water Table
Seismic and Wind Zone
Condensate Cooling Method
Desalination/RO Plant
Evacuation Voltage Level
Type of Coal (Domestic/Imported)
Parameter/Variables
Completion Schedule
Terms of Payment
Performance Guarantee Liability
Basis of Price (Firm/Escalation-Linked)
Equipment Supplier (Country of Origin)
Optional Packages
Desalination Plant/RO Plant
MGR
Railway Siding
Unloading Equipment at Jetty
Rolling Stock/Locomotive
FGD Plant
Length of Transmission Line till Tie Point (in km)

(Design Operating Range) Values

Values

Yes/No

(Petitioner)

PART-I
FORM- 5Ei
Name of the Petitioner
Name of the GeneratingStation

Sl.
No.
1
1.1

1.2

1.3

Break Down
Cost of Land &
Site
Development

Land*
Rehabilitation
& Resettlement
(R&R)
Preliminary
Investigation
& Site
Development

2.2

Plant &
Equipment
Steam Generator
Island
Turbine
Generator Island

2.3

BOP Mechanical

2
2.1

2.3.1
2.3.2

Fuel Handling
& Storage
system
External water

In case there is cost over run

______________________________________
______________________________________

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Sl.
No.

2.3.3
2.3.4
2.3.5

2.3.6
2.3.7
2.3.8

2.3.9
2.3.10

2.3.11

2.3.12
2.3.13
2.3.14

Break Down

supply system
DM water
Plant
Clarification
plant
Chlorination
Plant
Fuel Handling
& Storage
system
Ash Handling
System
Coal Handling
Plant
Rolling Stock
and
Locomotives
MGR
Air
Compressor
System
Air Condition
& Ventilation
System
Fire fighting
System
HP/LP Piping
Total BOP
Mechanical

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Sl.
No.

Break Down

2.4

BOP Electrical

2.4.1
2.4.2
2.4.3

2.4.4
2.4.5
2.4.6

Switch Yard
Package
Transformers
Package
Switch gear
Package
Cables, Cable
facilities &
grounding
Lighting
Emergency
D.G. set
Total BOP
Electrical

2.5

Control &
Instrumentation
(C & I)
Package
Total Plant &
Equipment
excluding taxes
& Duties

Initial Spares

Civil Works

4.1

Main
plant/Adm.
Building

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Sl.
No.
4.2
4.3

4.4
4.5
4.6

4.7
4.8

4.9
4.10

4.11
4.12
4.13

4.14

Break Down

CW system
Cooling
Towers
DM water
Plant
Clarification
plant
Chlorination
plant
Fuel handling
& Storage
system
Coal Handling
Plant
MGR
&Marshalling
Yard
Ash Handling
System
Ash disposal
area
development
Fire fighting
System
Township &
Colony
Temp.
construction &
enabling
works

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Sl.
No.

4.15

Break Down

Road &
Drainage
Total Civil
works

5.1
5.2
5.3

5.4
5.5
5.6

Construction &
PreCommissioning
Expenses

Erection
Testing and
commissioning
Site
supervision
Operator's
Training
Construction
Insurance
Tools & Plant
Start up fuel
Total
Construction &
PreCommissioning
Expenses

6
6.1
6.2
6.3

Overheads

Establishment
Design &
Engineering
Audit &

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Sl.
No.

Break Down

Original Cost
(Rs.Lakh) as
approved by the
Board of
Members

Actual/Estimat
ed Cost as
incurred/to be
incurred(Rs.
Lakh)

Difference

Total Cost

Total Cost

Total Cost

Reasons for
Variation(Please submit
supporting computations
and documents wherever
applicable)

Increase in soft cost due to

increase in hard cost

Accounts
6.4

7
8

8.1
8.2

8.3
8.4

Contingency
Total
Overheads
Capital cost
excluding IDC
& FC
IDC, FC, FERV
&Hedging Cost
Interest During
Construction
(IDC)
Financing
Charges (FC)
Foreign
Exchange Rate
Variation
(FERV)
Hedging Coat
Total of IDC,
FC,FERV &
Hedging Cost
Capital cost
including IDC,
FC, FERV &
Hedging Cost

*Submit details of Freehold and Lease hold land

Note:Impact on account of each reason for Cost overrun should be quantified and substantiated with necessary documents and
supporting workings.
(Petitioner)

PART-I
FORM- 5Eii
Name of the Petitioner
Name of the Generating Station
Sr.
No

In case there is time over run

______________________________________
______________________________________

Description
Original Schedule
Actual Schedule
of Activity
(As per Planning)
(As per Actual)
/Works
Start
Completion Actual
Actual
/Service
Date
Date
Start Date Completion Date

Time
Over-Run
Days

Reasons for
delay

Other
Activity
affected
(Mention Sr
No of activity
affected)

1
2
3
4
5
6
7
8
9
.

..

1. Delay on account of each reason in case of time overrun should be quantified and substantiated with necessary documents
and supporting workings.
2. Indicate the activities on critical path
(Petitioner)

PART-I
FORM- 5F
In case there is claim of additional RoE
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________

Completion Time as per Investment approval

(Months)
Project

Start
Date

Scheduled
COD
(Date)

Completion
time in
Months

Installed
Capacity

Actual Completion time

Start
Date

Actual
Actual
COD Completion
(Date)
time in
Months

Qualifying time
schedule(as per
regulation)
Tested
Capacity

Months

Unit 1
Unit 2
Unit 3
Unit 4
.
..

(Petitioner)

PART-I
FORM- 6
Financial Package upto COD
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
1
Project Cost as on COD
______________________________________
2
Date of Commercial Operation of the Station ______________________________________
Financial Package as Approved
Currency and Amount3

Financial Package as on COD

Currency and Amount3

Loan-I
Loan-II
Loan-III

US $

200m

As Admitted on COD
Currency and Amount3
6

and so on
EquityForeign
Domestic
Total Equity
Debt : Equity Ratio
Note:
1. Say Rs. 80 Cr. + US$ 200 m or Rs. 1320 Cr. including US$ 200 m at an exchange rate of US$=Rs62
2. Provide details on commercial operation as on COD of each Unit
3. For example : US $ 200m, etc.
(Petitioner)

PART-I
FORM- 7
Name of the Petitioner
Name of the Generating Station
Particulars
Package1
1
2
Source of Loan1
Currency2
Amount of Loan sanctioned
Amount of Gross Loan drawn
upto31.03.2014/COD 3,4,5,13,15
Interest Type6
Fixed Interest Rate, if
applicable
Base Rate, if Floating Interest7
Margin, if Floating Interest8
Are there any Caps/Floor9
Yes/No
If above is yes, specify
caps/floor
Moratorium Period10
Moratorium effective from
Repayment Period11
Repayment effective from
Repayment Frequency12
Repayment Instalment13,14
Base Exchange Rate16
Are foreign currency loan
hedged?
If above is yes, specify details17
Note:

Details of project specific loans

______________________________________
______________________________________
Package2
3

Yes/No

Package3
4

Yes/No

Package4
5

Yes/No

Package5
6

Yes/No

Package6
7

Yes/No

1. Source of loan means the agency from whom the loan has been taken such as WB, ADB, WMB, PNB, SBI, ICICI, IFC, PFC etc.
2. Currency refers to currency of loan such as US$, DM, Yen, Indian Rupee etc.
3. Details are to be submitted as on 31.03.2014 for existing assets and as on COD for the remaining assets.
4. Where the loan has been refinanced, details in the Form is to be given for the loan refinanced. However, the details of the original loan
is to be given separately in the same form.
5. If the Tariff in the petition is claimed separately for various units, details in the Form is to be given separately for all the units in the
same form.
6. Interest type means whether the interest is fixed or floating.
7. Base rate means the base as PLR, LIBOR etc. over which the margin is to be added. Applicable base rate on different dates from the
date of drawl may also be enclosed.
8. Margin means the points over and above the floating rate.
9. At times caps/floor are put at which the floating rates are frozen. If such a condition exists, specify the limits.
10. Moratorium period refers to the period during which loan servicing liability is not required.
11. Repayment period means the repayment of loan such as 7 years, 10 years, 25 years etc.
12. Repayment frequency means the interval at which the debt servicing is to be done such as monthly, quarterly, half yearly, annual, etc.
13. Where there is more than one drawal/repayment for a loan, the date & amount of each drawal/repayment may also be given
separately
14. If the repayment installment amount and repayment date cannot be worked out from the data furnished above, the repayment
schedule to be furnished separately.
15. In case of Foreign loan, date of each drawal& repayment along with exchange rate at that date may be given.
16. Base exchange rate means the exchange rate prevailing as on 31.03.2004 or COD, whichever is later
17. In case of hedging, specify details like type of hedging, period of hedging, cost of hedging, etc.
18.
In case of foreign loans, provide details of exchange rate considered on date of each repayment of principal and date of interest
payment.
19. At the time of truing up rate of interest with relevant reset date (if any) to be furnished separately
20. At the time of truing up provide details of refinancing of loans considered earlier. Details such as date on which refinancing done,
amount of refinanced loan, terms and conditions of refinanced loan, financing and other charges incurred for refinancing, etc.
(Petitioner)

PART-I
FORM- 8
Details of Allocation of corporate loans to various projects
Name of the Petitioner
Name of the Generating Station
Particulars
1
Source of Loan1
Currency2
Amount of Loan sanctioned
Amount of Gross Loan drawn
upto31.03.2014/COD 3,4,5,13,15
Interest Type6
Fixed Interest Rate, if applicable
Base Rate, if Floating Interest7
Margin, if Floating Interest8
Are there any Caps/Floor9
If above is yes, specify caps/floor
Moratorium Period10
Moratorium effective from
Repayment Period11
Repayment effective from
Repayment Frequency12
Repayment Instalment13,14
Base Exchange Rate16
Are foreign currency loan hedged?
If above is yes, specify details17

______________________________________
______________________________________
Package1
2

Yes/No

Package2
3

Yes/No

Package3
4

Yes/No

Package4
5

Yes/No

Package5
6

Remarks
7

Yes/No

Distribution of loan packages to various projects

Name of the Projects

Total

Project 1
Project 2
Project 3 and so on
Note:
1. Source of loan means the agency from whom the loan has been taken such as WB, ADB, WMB, PNB, SBI, ICICI, IFC, PFC etc.
2. Currency refers to currency of loan such as US$, DM, Yen, Indian Rupee etc.
3. Details are to be submitted as on 31.03.2014 for existing assets and as on COD for the remaining assets.
4. Where the loan has been refinanced, details in the Form is to be given for the loan refinanced. However, the details of the original loan
is to be given separately in the same form.
5. If the Tariff in the petition is claimed separately for various units, details in the Form is to be given separately for all the units in the
same form.
6. Interest type means whether the interest is fixed or floating.
7. Base rate means the base as PLR, LIBOR etc. over which the margin is to be added. Applicable base rate on different dates from the
date of drawl may also be enclosed.
8. Margin means the points over and above the floating rate.
9. At times caps/floor are put at which the floating rates are frozen. If such a condition exists, specify the limits.
10. Moratorium period refers to the period during which loan servicing liability is not required.
11. Repayment period means the repayment of loan such as 7 years, 10 years, 25 years etc.
12. Repayment frequency means the interval at which the debt servicing is to be done such as monthly, quarterly, half yearly, annual, etc.
13. Where there is more than one drawal/repayment for a loan, the date & amount of each drawal/repayment may also be given
separately
14. If the repayment installment amount and repayment date cannot be worked out from the data furnished above, the repayment
schedule to be furnished separately.
15. In case of Foreign loan, date of each drawal& repayment along with exchange rate at that date may be given.
16. Base exchange rate means the exchange rate prevailing as on 31.03.2004 or COD, whichever is later
17. In case of hedging, specify details like type of hedging, period of hedging, cost of hedging, etc.
18.
In case of foreign loans, provide details of exchange rate considered on date of each repayment of principal and date of interest
payment.

19. At the time of truing up rate of interest with relevant reset date (if any) to be furnished separately
20. At the time of truing up provide details of refinancing of loans considered earlier. Details such as date on which refinancing done,
amount of refinanced loan, terms and conditions of refinanced loan, financing and other charges incurred for refinancing etc.

(Petitioner)

PART-I
FORM- 9A
Year wise Statement of Additional Capitalisation after COD
Name of the Petitioner
Name of the Generating Station
COD
For Financial Year
Sl. No.

(1)

______________________________________
______________________________________
______________________________________
______________________________________

Head of
ACE Claimed (Actual / Projected)
Work / Accrual Un-discharged Liability Cash IDC included
Equipment basis included in col. 3
basis in col. 3
(2)

(3)

(4)

(5=34)

(6)

Regulations
under which
claimed

(7)

Justificati Admitted
on
Cost by the
Commissio
n, if any
(8)

(9)

1. In case the project has been completed and cost has already been admitted under any tariff notification(s) in the past, fill column
10 giving the cost as admitted for the purpose of tariff notification already issued by (Name of the authority) (Enclose copy of the
tariff Order)
2. The above information needs to be furnished separately for each year / period of tariff period 2014-19.
3. In case of de-capitalisation of assets separate details to be furnished at column 1, 2, 3 and 4. Further, the original book value and
year of capitalisation of such asset to be furnished at column 8. Where de-caps are on estimated basis the same to be shown
separately.
4. Where any asset is rendered unserviceable the same shall be treated as de-capitalised during that year and original value of such
asset to be shown at col. 3. And impaired value if any, year of its capitalisation to be mentioned at column 8.
5. Justification against each asset of capitalization should be specific to regulations under which claim has been made and the
necessity of capitalization of that particular asset.
Note:
1. Fill the form in chronological order year wise along with detailed justification clearly bringing out the necessity and the benefits
accruing to the beneficiaries.

2. In case initial spares are purchased along with any equipment, then the cost of such spares should be indicated separately. e.g. Rotor 50 Crs. Initial spares- 5 Crs.
(Petitioner)

PART-I
FORM- 9B
Statement of Additional Capitalisation during fag end of useful life of the Project
Name of the Petitioner
Name of the Generating Station
COD

Sl. No.

Year

(1)

(2)

______________________________________
______________________________________
______________________________________

Work /
ACE Claimed (Actual / Projected)
Equipment
added
Accrual
UnCash
IDC
during last basis
discharged basis
included
five years of
Liability
in col. 4
useful life
included in
of each
col. 4
Unit/Station
(3)

(4)

(5)

(6=4-5)

(7)

Regulations
under
which
claimed

Justification

Impact on life
extension

(8)

(9)

(10)

Note:
1. Cost Benefit analysis for capital additions done should be submitted along with petition for approval of such schemes
2. Justification for additional capital expenditure claim for each asset should be relevant to regulations under which claim has been
made and the necessity of capitalization of the asset.
(Petitioner)

PART-II
FORM- 9Bi
Details of Assets De-capitalized during the period
Name of the Petitioner
Name of the Generating Station
Region

Sr. No.

Name of the Asset

1
1
2
3
4
5

______________________________________
______________________________________
State
District
Nature of de-capitlization
(whether claimed under
exclusion or as additional
capital expenditure)
3

Note: Year wise detail need to be submitted.

Original Value
of the Asset
Capitalised
4

Year Put to use

Depreciation
recovered till
date of decapitalization
6

PART-I
FORM- 9C
Statement showing reconciliation of ACE claimed with the capital additions as per books
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
COD
______________________________________
Sl.
Particulars
2014-15
2015-16
2016-17
2017-18
2018-19
No.
(6)
(7)
(1)
(2)
(3)
(4)
(5)
Closing Gross Block
Less: Opening Gross Block
Total Additions as per books
Less: Additions pertaining to other
Stages (give Stage wise breakup)
Net Additions pertaining to instant
project/Unit/Stage
Less: Exclusions (items not allowable /
not claimed)
Net Additional Capital Expenditure
Claimed
Note: Reason for exclusion of any expenditure shall be given in Clear terms
(Petitioner)

PART-I
FORM- 9D
Statement showing items/assets/works claimed under Exclusions:
Name of the Petitioner
Name of the Generating Station
COD
Sl.
No.

(1)

Head of
Work /
Equipmen
t

(2)

______________________________________
______________________________________
______________________________________
ACE Claimed under Exclusion

Accrual basis

(3)

Undischarged
Liability
included in
col. 3
(4)

Cash basis

(5=3-4)

Justificatio
n
IDC included
in col. 3

(6)

(7)

Note: 1. Exclusions claimed on assets not allowed in Tariff should be supported by the specific reference of Commission Order
date, Petition No., amount disallowed, etc..
2. For inter unit transfer, nature of transfer i.e. temporary or permanent should be mentioned. It is to be certified that exclusion
sought in receiving station only and not in sending station or in both the station.
(Petitioner)

PART-I
FORM- 9E
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________
Statement of Capital cost
(To be given for relevant dates and year wise)

Sl. No.
Particulars
A a) Opening Gross Block Amount as per books
b) Amount of capital liabilities in A(a) above
c) Amount of IDC in A(a) above
d) Amount of FC in A(a) above
e) Amount of FERV in A(a) above
f) Amount of Hedging Cost in A(a) above
g) Amount of IEDC in A(a) above
a) Addition in Gross Block Amount during the period
B (Direct purchases)
b) Amount of capital liabilities in B(a) above
c) Amount of IDC in B(a) above
d) Amount of FC in B(a) above
e) Amount of FERV in B(a) above
f) Amount of Hedging Cost in B(a) above
g) Amount of IEDC in B(a) above

a) Addition in Gross Block Amount during the period

C (Transferred from CWIP)
b) Amount of capital liabilities in C(a) above
c) Amount of IDC in C(a) above

(Amount in Rs. Lakh)

As on relevant date.

Sl. No.

Particulars
d) Amount of FC in C(a) above
e) Amount of FERV in C(a) above
f) Amount of Hedging Cost in C(a) above
g) Amount of IEDC in C(a) above

As on relevant date.

D a) Deletion in Gross Block Amount during the period

b) Amount of capital liabilities in D(a) above
c) Amount of IDC in D(a) above
d) Amount of FC in D(a) above
e) Amount of FERV in D(a) above
f) Amount of Hedging Cost in D(a) above
g) Amount of IEDC in D(a) above
E a) Closing Gross Block Amount as per books
b) Amount of capital liabilities in E(a) above
c) Amount of IDC in E(a) above
d) Amount of FC in E(a) above
e) Amount of FERV in E(a) above
f) Amount of Hedging Cost in E(a) above
g) Amount of IEDC in E(a) above

Note:
1.Relevant date/s means date of COD of unit/s/station and financial year start date and end date

(Petitioner)

PART-I
FORM- 9F
Name of the Petitioner
Name of the Generating Station

______________________________________
______________________________________
Statement of Capital Woks in Progress
(To be given for relevant dates and year wise)

Sl. No.
Particulars
A a) Opening CWIP as per books
b) Amount of capital liabilities in A(a) above
c) Amount of IDC in A(a) above
d) Amount of FC in A(a) above
e) Amount of FERV in A(a) above
f) Amount of Hedging Cost in A(a) above
g) Amount of IEDC in A(a) above
B a) Addition in CWIP during the period
b) Amount of capital liabilities in B(a) above
c) Amount of IDC in B(a) above
d) Amount of FC in B(a) above
e) Amount of FERV in B(a) above
f) Amount of Hedging Cost in B(a) above
g) Amount of IEDC in B(a) above
C a) Transferred to Gross Block Amount during the period
b) Amount of capital liabilities in C(a) above
c) Amount of IDC in C(a) above
d) Amount of FC in C(a) above
e) Amount of FERV in C(a) above
f) Amount of Hedging Cost in C(a) above
g) Amount of IEDC in C(a) above

(Amount in Rs. Lakh)

As on relevant date.

Sl. No.

Particulars

As on relevant date.

D a) Deletion in CWIP during the period

b) Amount of capital liabilities in D(a) above
c) Amount of IDC in D(a) above
d) Amount of FC in D(a) above
e) Amount of FERV in D(a) above
f) Amount of Hedging Cost in D(a) above
g) Amount of IEDC in D(a) above
E a) Closing CWIP as per books
b) Amount of capital liabilities in E(a) above
c) Amount of IDC in E(a) above
d) Amount of FC in E(a) above
e) Amount of FERV in E(a) above
f) Amount of Hedging Cost in E(a) above
g) Amount of IEDC in E(a) above

Note:
1.Relevant date/s means date of COD of unit/s/station and financial year start date and end date

(Petitioner)

PART-I
FORM- 10
Name of the Petitioner
Name of the Generating Station
Date of Commercial Operation

Financial Year (Starting from COD)1

1

Financing of Additional Capitalisation

______________________________________
______________________________________
______________________________________

Year
1
2

Year
2
3

Actual
Year3 Year4
4

Year 5 &
So on
6

Year 1
7

Year
2
8

(Amount in Rs Lakh)
Admitted
Year3 Year4
Year 5 &
So on
9
10
11

Amount capitalised in Work/Equipment

Financing Details
Loan-1
Loan-2
Loan-3 and so on
Total Loan2
Equity
Internal Resources
Others (Pl. specify)
Total
Note:
1 Year 1 refers to Financial Year of COD and Year 2, Year 3 etc. are the subsequent financial years respectively.
2 Loan details for meeting the additional capitalisation requirement should be given as per FORM-7 or 8 whichever is relevant.
(Petitioner)

PART-I
FORM- 11
Name of the Petitioner
Name of the Generating Station

Calculation of Depreciation
______________________________________
______________________________________
(Amount in Rs Lakh)

Sl.
no.

Name of the Assets1

Gross Block as on
31.03.2014 or as on COD,
whichever is later and
subsequently for each year
thereafter upto 31.3.19
2

Depreciation
Rates as per
CERC's
Depreciation
Rate Schedule
3

Depreciation
Amount for
each year up to
31.03.19
4= Col.2 X Col.3

1 Land*
2 Building
3 and so on
4
5
6
7
8
9
10
18
19
20
21
22
23
24
25
26
27
28
29
30
31
32
TOTAL
Weighted Average
Rate of
Depreciation (%)
*Provide details of Freehold land and Lease hold land separately
Note:
1.Name of the Assets should conform to the description of the assets mentioned in Depreciation
Schedule appended to the Notification.
(Petitioner)

PART-I
FORM- 12
Name of the Petitioner
Name of the Generating Station

Statement of Depreciation
______________________________________
______________________________________
(Amount in Rs Lakh)

Sl. No.
(1)

Particulars
(2)
Opening Capital Cost
Closing Capital Cost
Average Capital Cost
Freehold land
Rate of depreciation
Depreciable value
Balance useful life at the beginning of the
period
Remaining depreciable value
Depreciation (for the period)
Depreciation (annualised)
Cumulative depreciation at the end of the
period
Less: Cumulative depreciation
adjustment on account of un-discharged
liabilities deducted as on
01.04.2009/Station COD
Less: Cumulative depreciation
adjustment on account of decapitalisation
Net Cumulative depreciation at the end
of the period

2013-14
(3)

2014-15
(4)

2015-16
(5)

2016-17
(6)

2017-18
(7)

2018-19
(8)

1. In case of details of FERV and AAD, give information for the applicable period.
(Petitioner)

PART-I
FORM- 13
Calculation of Weighted Average Rate of Interest on Actual Loans1
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
(Amount in Rs. Lakh)
Particulars
Loan-1
Gross loan - Opening
Cumulative repayments of Loans upto
previous year
Net loan - Opening
Add: Drawal(s) during the Year
Less: Repayment (s) of Loans during the year
Net loan - Closing
Average Net Loan
Rate of Interest on Loan on annual basis
Interest on loan
Loan-2
Gross loan - Opening
Cumulative repayments of Loans upto
previous year
Net loan - Opening
Add: Drawal(s) during the Year
Less: Repayment (s) of Loans during the year
Net loan - Closing
Average Net Loan
Rate of Interest on Loan on annual basis
Interest on loan
Loan-3 and so on
Gross loan - Opening
Cumulative repayments of Loans upto
previous year
Net loan - Opening
Add: Drawal(s) during the Year
Less: Repayment (s) of Loans during the year
Net loan - Closing
Average Net Loan
Rate of Interest on Loan on annual basis
Interest on loan
Total Loan

Existing
2014-15 2015-16 2016-17 2017-18 2018-19
2013-14

Particulars

Existing
2014-15 2015-16 2016-17 2017-18 2018-19
2013-14

Gross loan - Opening

Cumulative repayments of Loans upto
previous year
Net loan - Opening
Add: Drawal(s) during the Year
Less: Repayment (s) of Loans during the year
Net loan - Closing
Average Net Loan
Interest on loan
Weighted average Rate of Interest on Loans
Note:
1.In case of Foreign Loans, the calculations in Indian Rupees is to be furnished. However, the
calculations in Original currency is also to be furnished separately in the same form.
(Petitioner)

PART-I
FORM- 13A
Name of the Petitioner
Name of the Generating Station

Calculation of Interest on Normative Loan

______________________________________
______________________________________
(Amount in Rs Lakh)

Sl. No.
(1)

Particulars
(2)
Gross Normative loan Opening
Cumulative repayment of Normative
loan upto previous year
Net Normative loan Opening
Add: Increase due to addition during
the year / period
Less: Decrease due to de-capitalisation
during the year / period
Less: Decrease due to reversal during
the year / period
Add: Increase due to discharges during
the year / period
Net Normative loan - Closing
Average Normative loan
Weighted average rate of interest

2013-14
(3)

2014-15
(4)

2015-16
(5)

2016-17
(6)

2017-18
(7)

2018-19
(8)

Interest on Loan

(Petitioner)

PART-I
FORM- 13B
Calculation of Interest on Working Capital
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
(Amount in Rs Lakh)
Sl.
Particulars
No.
1 2

Existing
2013-14

2014-15

2015-16

2016-17

2017-18

2018-19

1 Cost of Coal/Lignite1
Cost of Main Secondary Fuel
2
Oil1
3 Fuel Cost2
4 Liquid Fuel Stock2
5 O & M Expenses
6 Maintenance Spares
7 Receivables
8 Total Working Capital
9 Rate of Interest
10 Interest on Working Capital
Note:
1. For Coal based/Lignite based generating stations
2. For Gas Turbine/Combined Cycle generating stations duly taking into account the annual
mode of operation (last available) on gas fuel and liquid fuel

(Petitioner)

PART-I
FORM- 13C
Name of the Petitioner
Name of the Generating Station

Other Income as on COD

______________________________________
______________________________________
(Amount in Rs. Lakh)
Existing 2014201720182015-16 2016-17
2013-14
15
18
19

Sl.
No.

Parameters

Interest on Loans and advance

Interest received on deposits

Income from Investment

Income from sale of scrap

Rebate for timely payment

Surcharge on late payment from

beneficiaries

Rent from residential building

Misc. receipts (Please Specify

Details)

(add)

(Petitioner)

PART-I
FORM- 13D
Incidental Expenditure during Construction up to Scheduled COD and up to
Actual/anticipated COD
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
(Amount in Rs. Lakh)
As on
Sl.
As on actual
Parameters
Scheduled
COD/anticipated COD
No.
COD
A

Head of Expenses:
1 Employees' Benefits Expenses
2
3

Finance Costs
Water Charges

4 Communication Expenses
5 Power Charges
6

Other Office and

Administrative Expenses

7 Others (Please Specify Details)

8 Other Pre-Operating Expenses


B

Total Expenses
Less: Income from sale of
tenders
Less: Income from guest house
Less: Income recovered from
Contractors
Less: Interest on Deposits
..

(Petitioner)

PART-I
FORM- 13E
Expenditure under different packages up to Scheduled COD and up to Actual/anticipated
COD
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
(Amount in Rs. Lakh)
As on
Sl.
Parameters
Scheduled As on actual/anticipated COD
No.
COD
1 Package 1
2
3

Package 2
Package 3

4 ------------------------------5 ----------------------------------6

(Petitioner)

PART-I
FORM- 14
Draw Down Schedule for Calculation of IDC & Financing Charges
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
Draw Down
Sl.
No. Particulars

1
1.1
1.1.1

Loans
Foreign Loans
Foreign Loan
1

Draw down
Amount
IDC
Financing
charges
Foreign
Exchange
Rate Variation
Hedging Cost
1.1.2

Foreign Loan
2

Draw down
Amount
IDC
Financing
charges
Foreign
Exchange
Rate Variation
Hedging Cost
1.1.3

Foreign Loan
3

Draw down
Amount
IDC
Financing

Quarter 1

Quarter 2

Quarter n (COD)
Quant
Amoun
Amoun
Amoun
Exchang
Quantu Exchang
Quantu Exchang
um in
t in
t in
t in
e Rate
m in
e Rate on
m in
e Rate
Foreig
Indian
Indian
Indian
on draw
Foreign draw
Foreign on draw
n
Rupee
Rupee
Rupee
down
currenc down
currenc down
currenc
(Rs
(Rs
(Rs
date
y
date
y
date
y
Lakh)
Lakh)
Lakh)

Draw Down
Sl.
No. Particulars

Quarter 1

Quarter 2

Quarter n (COD)
Quant
Amoun
Amoun
Amoun
Exchang
Quantu Exchang
Quantu Exchang
um in
t in
t in
t in
e Rate
m in
e Rate on
m in
e Rate
Foreig
Indian
Indian
Indian
on draw
Foreign draw
Foreign on draw
n
Rupee
Rupee
Rupee
down
currenc down
currenc down
currenc
(Rs
(Rs
(Rs
date
y
date
y
date
y
Lakh)
Lakh)
Lakh)

charges
Foreign
Exchange
Rate Variation
Hedging Cost
1.1.4 - ---

1.1

1.2

Total Foreign
Loans
Draw down
Amount
IDC
Financing
charges
Foreign
Exchange
Rate Variation
Hedging Cost
Indian Loans

1.2.1 Indian Loan 1

Draw down
-Amount
IDC
-Financing
-charges
1.2.2 Indian Loan 2
Draw down
-Amount
IDC
-Financing
-charges

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

Draw Down
Sl.
No. Particulars

Quarter 1

Quarter n (COD)
Quant
Amoun
Amoun
Amoun
Exchang
Quantu Exchang
Quantu Exchang
um in
t in
t in
t in
e Rate
m in
e Rate on
m in
e Rate
Foreig
Indian
Indian
Indian
on draw
Foreign draw
Foreign on draw
n
Rupee
Rupee
Rupee
down
currenc down
currenc down
currenc
(Rs
(Rs
(Rs
date
y
date
y
date
y
Lakh)
Lakh)
Lakh)

1.2.3 Indian Loan 3

Draw down
-Amount
IDC
-Financing
-charges
1.2.4 - --1.2

Total Indian
Loans
Draw down
Amount
IDC
Financing
charges

Quarter 2

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

----

----

----

----

----

----

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

--

Total of
Loans drawn
IDC
Financing
charges
Foreign
Exchange
Rate
Variation
Hedging Cost

Equity

2.1

Foreign
equity drawn

2.2

Indian equity
-drawn
Total equity

Draw Down
Sl.
No. Particulars

Quarter 1

Quarter 2

Quarter n (COD)
Quant
Amoun
Amoun
Amoun
Exchang
Quantu Exchang
Quantu Exchang
um in
t in
t in
t in
e Rate
m in
e Rate on
m in
e Rate
Foreig
Indian
Indian
Indian
on draw
Foreign draw
Foreign on draw
n
Rupee
Rupee
Rupee
down
currenc down
currenc down
currenc
(Rs
(Rs
(Rs
date
y
date
y
date
y
Lakh)
Lakh)
Lakh)

deployed
Note:
1.Drawal of debt and equity shall be on paripassu basis quarter wise to meet the commissioning
schedule. Drawal of higher equity in the beginning is permissible
2. Applicable interest rates including reset dates used for above computation may be furnished
separately
3. In case of multi unit project details of capitalization ratio used to be furnished.

(Petitioner)

PART-I
FORM- 14A
Name of the Petitioner
Name of the Generating Station

Actual cash expenditure

______________________________________
______________________________________
(Amount in Rs. Lakh)

Particulars

Quarter-I

Quarter-II

Quarter-III

Quarter-n
(COD)

Expenditure towards Gross

Block
Add: Expenditure towards
CWIP
Add: Capital Advances, if
any
Less: Un-discharged
liabilities (included above)
Add/Less: Others
Payment to contractors /
suppliers towards capital
assets
Cumulative payments
Note: If there is variation between payment and fund deployment justification need to be
furnished

(Petitioner)

PART-I
FORM- 15
Details/Information to be Submitted in respect of Fuel for Computation of
Energy Charges1
Name of the Petitioner
______________________________________
Name of the Generating Station
______________________________________
Unit
S.
No
.

5
6

Month

Quantity of
Coal/Lignite
supplied by
Coal/Lignite
Company
Adjustment (+/-) in
quantity supplied
made by
Coal/Lignite
Company
Coal supplied by
Coal/Lignite
Company (1+2)
Normative Transit
& Handling Losses
(For coal/Lignite
based Projects)
Net coal / Lignite
Supplied (3-4)
Amount charged by
the Coal /Lignite
Company
Adjustment (+/-) in
amount charged
made by
Coal/Lignite
Company
Total amount

(MMT)

(MMT)

(MMT)

(MMT)

(MMT)
(Rs.)

(Rs.)

(Rs.)

For preceding
For preceding
3rd Month
(from COD
2nd Month
or from
(from COD or
1.4.2014 as
from 1.4.2014 as
the case may the case may be )
be )
Dome Impo Domes Importe
stic
rted
tic
d

For preceding
1st Month
(from COD or from
1.4.2014 as the case
may be )
Domestic

Imported

Unit
S.
No
.

10

11

12

13

14

15
16

17

18

Month

Charged (6+7)
Transportation
charges by
rail/ship/road
transport
Adjustment (+/-) in
amount charged
made by
Railways/Transport
Company
Demurrage
Charges, if any
Cost of diesel in
transporting coal
through MGR
system, if applicable
Total
Transportation
Charges (9+/-1011+12)
Total amount
Charged for
coal/lignite
supplied
including
Transportation
(8+13)
Landed cost of
coal/ Lignite
Blending Ratio
(Domestic/Importe
d)
Weighted average
cost of coal/
Lignite for
preceding three
months
GCV of Domestic
Coal as per bill of

( Rs.)

( Rs.)

( Rs.)

( Rs.)

( Rs.)

( Rs.)

Rs./MT

Rs./MT

For preceding
For preceding
3rd Month
(from COD
2nd Month
or from
(from COD or
1.4.2014 as
from 1.4.2014 as
the case may the case may be )
be )

For preceding
1st Month
(from COD or from
1.4.2014 as the case
may be )

Unit
S.
No
.

19

20

21

22

23

Month

Coal Company
GCV of Imported
Coal as per bill Coal
Company
Weighted average
GCV of coal/
Lignite as Billed
GCV of Domestic
Coal as received at
Station
GCV of Imported
Coal as received at
Station
Weighted average
GCV of coal/
Lignite as Received

For preceding
For preceding
3rd Month
(from COD
2nd Month
or from
(from COD or
1.4.2014 as
from 1.4.2014 as
the case may the case may be )
be )

For preceding
1st Month
(from COD or from
1.4.2014 as the case
may be )

(kCal/
Kg)

Note:
1. Similar details to be furnished for natural gas/liquid fuel for CCGT station and secondary
fuel oil for coal/lignite based thermal plants with appropriate units.
2. As billed and as received GCV, quantity of coal, and price should be submitted as certified
by statutory auditor.
(Petitioner)

PART-I
FORM- 16
Details/Information to be Submitted in respect of Limestone for
Computation of Energy Charge Rate
Name of the Petitioner
Name of the Generating Station

Sl.
Month
No.

1
2
3
4
5
6
7
8
9
10
11
12

Quantity of Limestone supplied by

Limestone supply Company
Adjustment (+/-) in quantity supplied
made by Limestone supply Company
Limestone supplied by Limestone
supply Company(1+2)
Net Limestone Supplied (3-4)
Amount charged by the Limestone
supply Company
Adjustment (+/-) in amount charged
made by Limestone supply Company
Total amount Charged (6+7)
Transportation charges by
rail/ship/road transport
Adjustment (+/-) in amount charged
made by Railways/Transport
Company
Demurrage Charges, if any
Total Transportation Charges (8+/-910)
Total amount Charged for Limestone
supplied including Transportation
(7+11)

______________________________________
______________________________________

Unit

For
preceding
3rd Month
(from COD
or from
1.4.2014 as
the case
may be )

For
preceding
2nd Month
(from COD
or from
1.4.2014 as
the case
may be )

For
preceding
1st Month
(from COD
or from
1.4.2014 as
the case
may be )

(MMT)
(MMT)
(MMT)
(MMT)
(Rs.)
(Rs.)
(Rs.)
( Rs.)
( Rs.)
( Rs.)
( Rs.)
( Rs.)

(Petitioner)

PART-I
FORM- 17
Details/Information to be Submitted in respect of Capital Spares
Name of the Petitioner
Name of the Generating Station
Sl. Details of Capital
No. Spares and Expenses
Name of
spare
1
2
3
4
5
6
7
8
9
10
11
12

Amount

______________________________________
______________________________________
Funded
Funded
Claimed as a part of
through
Claimed as a
through
additional
Special
part of stores
compensatory
Capitalisation
allowance (If
and spares
allowance
Applicable

PART-I
FORM- 18
Liability Flow Statement
Name of the Petitioner
Name of the Generating Station

Asset /
Work
Party

Year of
actual
capitalisati
on

______________________________________
______________________________________

Original
Liability

Liability
as on
31.03.2014

Discharges
(Yearwise)

Reversal
(Yearwise)

(Petitioner)