How to Prepare an Internal Approval Note for an RECD Purchase

The engineering team knows the generator needs a Retrofit Emission Control Device. The vendor has been shortlisted, the quotation is on the table, and the regulatory deadline is getting closer. Then the file reaches the finance controller, or the managing committee, or the purchase committee, and it stops.

Usually the problem is not the decision. It is the note.

An internal approval note is the document that converts a technical need into an organisational decision. For an RECD purchase, the note has an unusual job. It must explain a piece of equipment most approvers have never heard of, justify spending money on a generator that already works, show that the chosen vendor is the right one, and make the cost of delay visible. This guide shows you how to prepare an internal approval note for an RECD purchase that approvers can sign the first time, with a section-by-section structure, a sample note you can adapt, and the most common reasons such notes get sent back.

Who Actually Reads an RECD Approval Note?

Before you write a word, picture the reader. In most organisations, the people approving an RECD are not engineers.

• In a factory: plant head, finance controller, sometimes a director.
• In a hospital: administrator, medical superintendent, finance, and occasionally a purchase committee.
• In a housing society: the RWA managing committee, and for larger spends, the general body.
• In a commercial building or mall: the facility head, asset owner and sometimes tenant representatives.
• In a government or public sector body: a purchase committee working within delegated financial powers.

These readers will ask four questions, often in this order:

1. Do we have to do this?
2. What happens if we don’t, or if we delay?
3. Is this the sensible way to do it, at a fair price?
4. Is the money available, and under which head?

A note that answers those four questions clearly, on the first page, is usually approved. A note that opens with exhaust flow rates and filter substrates is usually returned with a request to “explain in simple terms.”

The Anatomy of a Strong RECD Approval Note

Most organisations have a standard note format. If yours does, follow it. The sections below map onto almost any format; rename them to match your template.

1. Subject Line

Make it specific and searchable. Approvers deal with dozens of notes each week.

Weak: “Purchase of pollution device”

Strong: “Approval for purchase and installation of CPCB-compliant Retrofit Emission Control Device (RECD) for 500 kVA DG Set No. 2, Plant B”

2. Purpose in One Paragraph

State what you are seeking approval for, the amount, and the reason, in three or four sentences. An approver who reads only this paragraph should understand the decision.

3. Background and Compliance Trigger

This is where you answer “Do we have to?” Explain the regulatory requirement in plain language and cite the source. For most readers, two or three sentences are enough:

• Diesel generator sets in many regions, especially Delhi NCR, are regulated through directions of the Commission for Air Quality Management (CAQM) and guidelines of the Central Pollution Control Board (CPCB).
• For in-use DG sets up to 800 kW, these directions refer to RECDs that are type approved and that capture at least 70 percent of particulate matter, as an approved route for continued, regulated operation.
• State pollution control boards may also link consent conditions to emission control.

For the full picture, link to an internal summary or to a reliable explainer such as why RECD is mandatory in India or the overview on DG set emission regulations. Keep regulatory detail in an annexure, not in the body.

4. Current Situation

Describe the generator in question, briefly:

• DG set identification, rating, make, year of installation
• Application (standby for which loads, prime power, etc.)
• Average running hours, and peak running hours in winter or during outages
• Current emission control status (none, older device, partial compliance)
• Any notices, inspection observations or customer complaints received

Approvers respond to specifics. “The set ran 410 hours last year, of which 260 were between October and February” is more persuasive than “the set is used frequently.”

5. Risk of Not Acting

This section answers “What happens if we don’t?” Be factual, not alarmist. Typical risks include:

• Operational restriction: During GRAP stages in NCR, DG sets without approved emission control may face severe restrictions or be barred from running. Our article on how GRAP restrictions affect businesses using DG sets explains the practical impact.
• Enforcement: Sealing of DG sets and penalties have been applied to non-compliant sets. See what happens when a DG set is sealed for non-compliance.
• Business continuity: If the set cannot run during an outage, what stops? Production, cold chain, lifts, water pumps, patient services?
• Consent and renewal: Pollution consent or renewal may be affected where emission control is a condition.

Where you can, put a rough value on the disruption. “A four-hour outage without backup stops Line 3 and costs approximately one shift’s output” gives finance something to weigh against the purchase price.

6. Options Considered

Approvers trust a note more when it shows alternatives were weighed. For RECD decisions, the realistic options usually are:

Option	What it involves	Typical considerations
A. Install a type-approved RECD on the existing set	Retrofit device on current exhaust	Lowest disruption; depends on engine condition
B. Convert to dual fuel, with or without RECD	Gas-diesel conversion kit	Needs piped gas availability; different compliance pathway
C. Replace with a new CPCB IV+ generator	New set meeting current norms	Highest capital cost; longest lead time
D. Do nothing / defer	Continue as is	Exposure to restriction, sealing and disruption

Link the reader to deeper comparisons rather than reproducing them: RECD vs dual fuel kit and RECD vs new CPCB IV+ genset cost comparison. If the set is old, address the question directly using reasoning such as that in is retrofitting an old DG set with an RECD worth it.

Close the section with one sentence stating which option is recommended and why.

7. Technical Justification

Keep this short and written for non-engineers. Cover:

• Why the recommended device suits this specific generator (engine family, rating, load pattern)
• Confirmation that the model holds valid type approval from a recognised agency
• Confirmation that the engine’s backpressure limit has been considered
• Whether a site survey has been completed and what it found
• Any effect on the OEM warranty and how it is managed; see will an RECD affect the OEM warranty

Attach the detailed technical evaluation as an annexure.

8. Vendor Selection

Explain how the vendor was chosen. Approvers want to see a fair process. Include:

• Number of vendors approached and quotations received
• Evaluation criteria and how each vendor scored
• Reference checks performed, with a one-line summary of findings

A short comparison table works well here. If you visited reference sites, mention it; it is strong evidence of diligence. The method for doing so is set out in our guide on how to evaluate a vendor’s RECD reference installation.

9. Commercial Summary

Lay out the total cost, not just the device price. A common reason for a second approval round is that the first note covered only the device and the project later needed money for exhaust modifications, civil work or crane hire.

Cost element	Amount	Notes
RECD device		Per quotation
Installation and commissioning		Included or separate
Exhaust modifications / fabrication		From site survey
Structural support, civil or lifting		If rooftop or basement
Operator training		Specify scope
Testing and documentation		Including stack sampling if required
Taxes		GST as applicable
Contingency		Typically a small percentage
Total approval sought

For guidance on what each element usually costs, refer to RECD cost in India. If any state scheme or incentive might apply, note it, but never make the decision depend on an unconfirmed subsidy; our article on government subsidy for RECD installation explains the current position and its limits.

10. Payment Terms and Contract Safeguards

Approvers, especially finance, want to know that payment is linked to delivery. Summarise:

• Advance percentage, if any
• Payment on delivery, on installation, on commissioning
• Retention amount held until final handover or a defined period
• Warranty period and what it covers
• Service response commitments
• Operator training included in scope

Each of these has its own companion guide in this series: specifying operator training in an RECD purchase order, agreeing service response commitments upfront, and closing the punch list before final handover.

11. Budget Availability

State the budget head and whether the amount is within the approved budget, needs reallocation, or needs fresh sanction. Many notes stall here simply because this line is missing.

12. Timeline

Give a realistic schedule from approval to commissioning, including lead time and any shutdown window needed. Note any regulatory date that drives urgency, such as the start of the winter season in NCR. Our article on RECD installation timeline gives typical durations.

13. Recommendation and Approval Sought

End with a clear, numbered request. Approvers should know exactly what they are signing.

“It is recommended that approval be accorded for:

1. Purchase of [model] RECD from [vendor] at a total cost of Rs [amount] inclusive of taxes, as per the commercial summary above;
2. Release of advance of [x] percent against bank guarantee;
3. Utilisation of Rs [amount] from budget head [head].”

14. Annexures

Keep the body to two or three pages. Move detail to annexures:

• Vendor quotations and comparison sheet
• Type approval certificate of the selected model
• Site survey report and layout drawing
• Reference evaluation record
• Regulatory extracts
• Draft purchase order terms

A Sample RECD Approval Note You Can Adapt

The example below is written for a mid-sized manufacturing unit. Replace bracketed text with your details. Keep the tone and order, and shorten wherever your organisation prefers briefer notes.

Subject: Approval for purchase and installation of a type-approved Retrofit Emission Control Device (RECD) for 500 kVA DG Set No. 2, Plant B.

Purpose: Approval is sought for purchase, installation and commissioning of an RECD on DG Set No. 2 at a total cost of Rs [amount] including taxes, to maintain permitted operation of the set under applicable emission directions and avoid production disruption during the coming winter season.

Background: DG sets operating in our region are regulated under CAQM directions and CPCB guidelines. For in-use sets up to 800 kW, operation during restricted periods is linked to fitment of a type-approved RECD with particulate capture efficiency of at least 70 percent. DG Set No. 2 does not currently have such a device.

Current situation: DG Set No. 2 (500 kVA, installed [year]) provides standby power to Lines 3 and 4. It operated [x] hours last year, of which [y] hours fell between October and February. No notices have been received so far; however, the set may not be permitted to operate during GRAP restrictions in its present condition.

Risk of not acting: Inability to run the set during grid outages in restricted periods would stop Lines 3 and 4. Based on last winter’s outages, this would affect approximately [x] production hours. Non-compliant sets are also exposed to sealing and penalties.

Options considered: (A) RECD retrofit; (B) dual fuel conversion, not feasible as piped gas is not available at Plant B; (C) replacement with a new CPCB IV+ set, estimated at several times the cost of option A with a longer lead time; (D) deferral, not recommended due to the risks above. Option A is recommended.

Vendor selection: Three vendors were approached and three quotations received. Evaluation covered certification, technical fit, references, service presence and price. [Vendor] scored highest overall. Two reference sites were contacted and one was visited; findings were satisfactory, with one observation on cleaning frequency that has been reflected in the AMC estimate.

Commercial summary and terms: Total cost Rs [amount], comprising device, installation, exhaust modification, training, documentation and contingency, as per Annexure 2. Payment: [x] percent advance against BG, [y] percent on installation, [z] percent on commissioning, and 10 percent retention released after punch list closure and 90 days of satisfactory operation.

Budget: Available under capital budget head [head], FY [year].

Timeline: Installation in [month] during the planned maintenance shutdown; commissioning before [date].

Recommendation: Approval is requested for (1) purchase from [vendor] at Rs [amount]; (2) advance of [x] percent against BG; (3) utilisation of funds from [head].

How the Approval Route Differs by Organisation Type

The content of the note stays broadly similar. What changes is emphasis and routing.

Organisation	What approvers focus on	Tips
Manufacturing unit	Production continuity, total cost, payback against disruption	Quantify lost production hours
Hospital	Patient safety, uninterrupted backup, installation window	Show how critical loads stay covered during installation
Housing society / RWA	Cost per flat, fairness of vendor choice, resident disruption	Share comparison transparently; plan for general body if required
Commercial building or mall	Tenant impact, cost recovery, compliance liability	Clarify who bears the cost and when
Pharmaceutical plant	Change control, validation, documentation	Route through the change control system before approval
Government / PSU	Compliance with procurement rules and delegation of powers	Follow General Financial Rules and use GeM where mandated

Sector-specific guides can help you anticipate questions: RECDs for housing societies, RECDs for hospitals, RECDs for pharmaceutical plants and change control, and RECDs for shopping malls.

Eight Reasons RECD Approval Notes Get Sent Back

Learn from the files that come back with comments.

1. The cost covered only the device. Exhaust modifications or lifting surfaced later. Fix: complete the site survey first and include every cost element.
2. No alternatives were shown. The approver asks, “Why not just buy a new generator?” Fix: include the options table.
3. Regulatory basis was vague. “Government has made it mandatory” invites questions. Fix: name the authority and attach the extract.
4. Only one quotation. Fix: obtain comparative quotes or justify a single source in writing.
5. No evidence the model is certified. Fix: attach the type approval certificate and confirm engine coverage.
6. Budget head missing. Fix: confirm with finance before submission.
7. Payment terms favour the vendor. Large advances without guarantees worry finance. Fix: link payments to milestones and hold a retention.
8. Timeline ignores the season. A note approved in November for an NCR site may be too late for that winter. Fix: show the deadline that matters and work backwards.

Writing Tips That Speed Up Approval

• Lead with the decision. Put purpose and recommendation where they can be found in ten seconds.
• Use the reader’s vocabulary. Say “the backup generator for the operation theatres,” not “DG-3.”
• Keep jargon in annexures. If you must use a technical term, explain it once in brackets.
• Use numbers, not adjectives. “Ran 410 hours” beats “used extensively.”
• Pre-brief the key approver. A five-minute conversation before the note is circulated prevents most returns.
• Number every request. Approvers often approve some items and not others; numbering makes that easy.

Preparing for the Questions Approvers Will Ask

Even a well-written note invites questions. Anticipating them, and keeping short answers ready, is often the difference between approval in one meeting and approval after three. The questions below come up repeatedly in RECD discussions.

“Can we wait until next year?” Answer with the season and the date. If your set runs most during winter and your region applies restrictions from October onwards, a delayed order may mean an entire season without compliant backup. Show the lead time for supply and installation against that date.

“Will this device reduce our generator’s power?” A properly sized RECD should not materially affect usable output, provided backpressure stays within the engine maker’s limit. Our article on whether an RECD changes a generator’s usable power output is a useful reference to attach.

“What will it cost us every year after this?” Approvers often forget recurring costs until someone asks. Give a realistic estimate of cleaning, inspection and AMC costs, drawn from the vendor’s proposal and from reference sites.

“Why not choose the cheapest quotation?” Be ready to explain, briefly and in writing, why technical fit, service presence or reference performance justified a higher price. If the cheapest bid was technically acceptable, consider whether it should win.

“Who is responsible if something goes wrong?” Point to the warranty, service response terms and retention clause, and name the internal owner who will manage the vendor.

A Pre-Submission Checklist

Before the note leaves your desk, run through this list:

• Subject line names the device, the DG set and the location
• Purpose paragraph states amount and reason
• Regulatory basis names the authority and is supported by an annexure
• Options table includes “do nothing”
• Site survey completed and total project cost shown
• At least the required number of quotations attached, or single-source justification given
• Type approval certificate attached
• Reference evaluation summarised
• Payment milestones and retention defined
• Budget head confirmed with finance
• Timeline shows the deadline that matters
• Recommendation written as numbered items
• Technical portion signed by the responsible engineer

After Approval: Turning the Note Into a Purchase Order

The approval note should flow straight into the purchase order. Everything promised in the note, including scope, payment milestones, warranty, training, service commitments and retention, must appear in the PO in enforceable words. If the note says “training included” but the PO is silent, training will be whatever the vendor decides on the last day.

Use the approved note as a checklist while drafting the PO, and keep both in the same file. When the RECD is commissioned and the punch list closed, add the final handover record to that file. Together, they become the evidence trail your environmental compliance checklist expects.

Frequently Asked Questions

How long should an RECD approval note be?

The body should usually fit in two to three pages. Annexures carry the supporting detail. Short notes with complete annexures are approved faster than long notes with everything mixed together.

Should the note recommend a specific vendor?

Yes, if your process allows it. Approvers prefer a clear recommendation backed by a fair comparison over a list of options with no conclusion.

Can several DG sets be covered in one note?

Yes. Use one note with a table listing each set, its device, and its cost. This is common in campuses, hospitals and multi-plant organisations, and it often improves pricing.

What if the regulatory requirement changes after approval?

Mention in the note that the recommendation is based on directions in force on the date of writing, and that the team will re-check before placing the order. Our timeline of CPCB emission norms for generators shows how requirements have evolved.

Is a site survey really needed before approval?

For anything beyond a simple, small standby set, yes. The survey is what converts a device price into a reliable project cost. Without it, a second approval for extra scope is likely.

Who should sign the technical portion?

The engineer or facility manager responsible for the generator should sign the technical justification. This places accountability with the person who understands the equipment and gives approvers confidence in the recommendation.

Final Thoughts

An RECD approval note succeeds when a non-technical approver can understand the need, the risk, the options, the cost and the safeguards in a few minutes, and can find the evidence when they want to dig deeper. Put the decision first, show your alternatives, cost the whole project, and connect every promise to a contract term.

If you need a site survey, a complete commercial breakup or type approval documents to support your note, the Aceget team can help. Explore our RECD range or reach out to us with your generator details.