accenture - all dms-pms input forms merged

8/13/2019 Accenture - All DMS-PMS Input Forms Merged

1/40

S.No. PAGE No.

1 CONDITIONS PRECEDENT OF AUTHORITY 1

2 LA1 2

3 LA2 3,4

4 FOREST CLEARANCE 55 ENVIRONMENT CLEARANCE 6

6 WILDLIFE CLEARANCE 7,8

7 ROB-RUB 9

8 RoW- Article 10 10

9 CONDITIONS PRECEDENT OF CONCESSIONAIRE 11

10 APPLICABLE PERMITS AS PER CONDITIONS PRECEDENT 12

11 REPRESENTATION AND WARRANTIES 13, 14

12 LEGAL OPINION BY CONCESSIONAIRE 1513 APPOINTMENT OF INDEPENDENT ENGINEER 16

14 MONITORING OF CONSTRUCTION 17, 18

15 APPOINT SAFETY CONSULTANT 19

16 PERFORMANCE SECURITY 20

17 FINANCIAL CLOSURE 21, 22

18 CHANGE IN OWNERSHIP 23

19 ESCROW ACCOUNT 24

20 PAY DAMAGES TO AUTHORITY 25

21 SUBSTITUTION AGREEMENTS 26

INDEX


2/40

21 SUBSTITUTION AGREEMENTS 26

Conditions Precedent of Authority1. Provided to the Concessionaire the Right of Way to the Site

a. Post completion of PPPAC Approval process for Land Acquisition

b. Land Acquisition

2. Issued the Fee Notification

3. Provided for the Concessionaire the Right of Way to ****

4. Procured approval of Railway Authorities to construct road over bridges / under bridges at level crossings

a. ROB/RUB Clearance, alongside approval for GADs for them5. Procured all Applicable Permits relating to environmental protection and conservation of the site

a. Applicable Permits

b. Forest clearance

c. Environment clearance

d. Wildlife clearance

Conditions Precedent of Concessionaire

1. Provided Performance Security to the Authority

2. Executed and procured execution of the Escrow Agreement;

3. Executed and procured execution of the Substitution Agreement;

4. Procured all the Applicable Permits specified in Schedule-E unconditionally or if subject to conditions, then all such conditions shall have been satisfied in full and such Applicable Permits are in full force

and effect;

a. Conditions Precedent Obligations of Concessionaire

5. Executed the Financing Agreements and delivered to the Authority 3 (three) true copies thereof, duly attested by a Director of the Concessionaire;

7. Delivered to the Authority 3 (three) true copies of the Financial Package and the Financial Model, duly attested by a Director of the Concessionaire, along with 3 (three) soft copies of the Financial Model

in MS Excel version or any substitute there

8. Delivered to the Authority from {the Consortium Members, their respective} confirmation, in original, of the correctness of their representations and warranties setforth in Sub clauses (k), (l) and (m) of

clause 7.1 of this Agreement; and

9. Delivered to the Authority a legal opinion from the legal counsel of the Concessionaire with respect to the authority of the Concessionaire to enter into this Agreement and the enforceability of the

provisions thereof


3/40

Sl. No. Clause of Concess ion Agreement Descr iption Before submiss ion of proposal to

PPPAC

Before issue of RF P Before issue of LOA Before gi ving A ppointed Date

1 4.1.2 (a) Availability of land Existing ROW + 3D of 60% land to

be acquired

+ 3A of 90% land to be acquired

Existing ROW + 3D of 80%

land to be acquired


land to be acquired

Existing ROW + 3D of 90% land to be acquired and at least

80% front of 30 Mtr for two lane paved shoulders, 45 Mtr

for four laning and 60Mtr for six laning projects should be

available

Requirement Status Date Action taken and Action by Remarks/Issues

Existing ROW + 3D of 60% land to be acquired+ 3A of

90% land to be acquired

Existing ROW + 3D of 80% land to be acquired

Existing ROW + 3D of 90% land to be acquired and at

least 80% front of 30 Mtr for two lane paved shoulders,

45 Mtr for four laning and 60Mtr for six laning projects

made available

PPPAC Approval: Compliance to Condition Precedent

Input Form LA 1


4/40

Sl. No. Clause of Concession

Agreement

Description Before submission of

proposal to PPPAC

Before issue of RFP Before issue of LOA Before giving Appointed Date

1 4.1.2 (a) Availability of land Existing ROW + 3D of 60%

land to be acquired

+ 3A of 90% land to be

acquired


land to be acquired

Existing ROW + 3D of 80% land to be

acquired

Existing ROW + 3D of 90% land to

be acquired and at least 80% front

of 30 Mtr for two lane paved

shoulders, 45 Mtr for four laning

and 60Mtr for six laning projects

should be available

From To

1 2 3 4 5 6 7 8

NHDP Phase Total Land required (in Hec) No. of villages in the ent ire

stretch of Land to be acquired

Land already in Possession Total additional land to be

acquired (Hec)

Length available for road

development up to

3A (Hec) 3D (Hec)

9 10 11 12 13 14 15 16

3G (Hec) Possession (Hec) 3A (Hec) 3D (Hec) 3G (Hec) Possession (Hec) Total length of critical stretches, if

any, as per clause of 4.1.2 of MCA

(km)

Length of critical stretch

available for construction

(km)

17 18 19 20 21 22 22A 22B

23 24 25 26 27 28 28A 28B

Pr iv at e L and (in Ha ct .) Go vt . L and (in Ha ct .) St re tc h c ov er ed (c ha in ag e) Da te of subm is sion of 3A

proposal by DPR consultant

Date of submission of 3A

proposal to Authority's HQ

Name(s) of villages covered in the 3A

proposal

3A Gazette Notification No. vide

which the land mentioned was

acquired

Date of 3A Gazette

Notification No.

29 30 31 32 33 34 35 36

Pr iv at e L and (in Ha ct .) Go vt . L and (in Ha ct .) St re tc h c ov er ed (c ha in ag e) Da te of subm is sion of re la te d

3D proposal at Authority's

HQ

3D Notification No. vide

which the land mentioned

was acquired

Date of publication of 3D

notification No.

Type of land Area of Land with Central

Govt. (3D Notified) but not

utilized (in ha)

37 38 39 40 41 42 43 44

PPPAC Approval: Compliance to Condition Precedent

Chainage (in Kms.)

% 3D completed (current 3D

notified/total additional land

to be acquired)

Length available for road

development upto end of previous

month, (year)

Length where entire width of ROW

is available for Construction(km)

Length where minimum

required width

(30m/45m/60m as applicable

for 2-laning/4-laning/6-

laning) of ROW is available

for construction (km)

Cumulative progress up to

Cumulative progress up to

Pending LA works (in Hec)

Sl. No. Project PIU No. NH No. Stretch Length (in km)

FORM FOR LAND ACQUISITION

% of total land vested with

NHAI (already in possession +

3D notified)/Total land

required

% of total Land in Possession

(Land already in possession +

current possession

made)/Total land required

% of additional land in

possession (current possession

made/total additional land to be

acquired)

% 3A completed (current 3A

notified/total additional land

to be acquired)

3D Particulars

3A Particulars


5/40

Reason why 3D notified land

has not been utilized (change

in alignment/excess land

acquired/ mistake in

acquisition, etc., (please

specify)

Date of actual possession of

land for area notified under

3D

45 46 47 48 49 50 51

From To Name of

Tehsil/Village/District

Stretch covered (chainage) Area of land acquired by NHAI (Ha) Area of land mutated in the name

of NHAI (Ha)

Area of land remaining to be

mutated in favour of NHAI

(Ha)

52 53 54 55 56 57 58 59

Designated State Authority

responsible for mutation

Reason for not mutating the

area of land and action taken

by NHAI

Remarks on mut ation St retch of Highway

(chainage) where

encumbrance

free land is not available

Area of unavailable land (in

ha.) in encumbrance

Area of land under encumbrance as a

% of total area (existing ROW +

additional land as per proposed

ROW)

Reasons in brief for unavailability

of encumbrance free land in the

stretch

Concerned officer who may

resolve the issue

60 61 62 63 64 65 66 67

Fronts available for work

(Total, in Km.)

% of total length available for

work (Length with available

Fronts for work / Total

project length)

No. of days by which handing

over is delayed w.r.t. appointed

date

TPC as per DPR Estimate for LA as per DPR

(in Rs.)

Value of Award approved by RO/HO Date of Approval by RO/HO Date of Deposition of Award

Amount with CALA

68 69 70 71 72 73 74 75

Amount disbursed by CALA (in

Rs.)

Date of disbursement of

compensation by CALA

Status of disbursement of

compensation by CALA

Amount of cheque in Rs. Date of encashment of

Cheque by Beneficiary

Actual Land acquisition cost per ha.

76 77 78 79 80 81

82 83 84

Pending with whom (Concerned

officer the State / Central Govt.)

Stretch affected (chainage) NH No. affected

Date of award under section 3G

for related 3D notification

Status of valuation of

structures

Summary of issues impeding

land acquisition for the

project

Date pending since (of issues)3D Particulars

Tehsil/Village/District Wise Mutation Details

Date of issue of LOA Appointed date Overall Remarks (if any)

Tehsil/Village/District Wise Mutation Details Encumbrance

Encumbrance Compensation Status for Land Acquisition

Compensation Status for Land Acquisition


6/40

Project name

/ ID

NH No. Length Stretch State PIU Scheduled Start

date

Scheduled End

date

Whether

requirement of

additional land is

more than 40m on

existing alignment

and 60m on new

alignments /

bypass ?

Whether

Environmental

Clearance required

? [Not required if

length is less than

100km, or answer

to column 9 is No]

If environmental

clearance required,

fill details in

relevant format

Whether Forest

Clearance required

? [If yes, fill details

in the relevant

format]

Whether Wildlife

clearance required

? [If yes, fill details

in the relevant

format]

1 2 3 4 5 6 7 8 9 10 11 12 13

Total length Total Forest area

to be diverted (in

ha )

Total Length

affected

Forest Division and

forest Circle

involved

Forest area to be

diverted (in ha )

in the Division

Length affected in

the Division

Date of finalization

of proposal by the

DPR Consultant

Date of registration

with the Nodal

Officer

Date of submission

of Diversion

proposal to DFO

Date of receipt of

observations from

DFO

Date of sending

replies / modified

proposal to DFO

Name of the Forest

Circle involved

14 15 16 17 18 19 20 21 22 23 24 25

Date of

forwarding

the proposal

to CF/CCF

(officer in

charge of the

circle)

Date of receipt of

observations from

the Circle office

Date of sending

replies / modified

proposal to Circle

office

Date of forwarding

the proposal to

PCCF

Date of receipt of

observations from

PCCF

Date of sending

replies / modified

proposal to PCCF

Date of forwarding

the proposal to

Nodal Officer

Date of receipt of

observations from

Nodal Officer

Date of sending

replies / modified

proposal to Nodal

Officer

Date of forwarding

the proposal to

State Government

Date of receipt of

observations from

State Government

Date of sending

replies / modified

proposal to State

government

26 27 28 29 30 31 32 33 34 35 36 37

NPV CA and other

amount

38 39 40 41 42 43 44 45 46 47 48 49 50

No. of trees

to be cut

Trees enumerated Length on which

enumeration done

Trees cut Length cleared in

relation to affected

length

No. of trees to be

cut


enumeration done


relation to affected

length

51 52 53 54 55 56 57 58 59 60 61 62

Status of Grant ofStage-II clearance

by MoEF

Date of Depositingthe amount in

CAMPA fund

Status of Enumeration

Expenditure on

tree cuttingStatus of tree cutting In Diverted Area

Status of tree cutting In Non-forest area

Forest Clearance - Clause 4.1.2 (e) of Model Concession Agreement (MCA)

Date of handingover of diverted

forest land

Fixed Fields

Order of StateGovt.

Remarks

Date offorwarding

the proposal

to MoEF

Compliance ofconditions laid

down in Stage- I

Status of inprinciple approval

Date ofconsideration of

proposal by MoEF

Date of sendingreplies / modified

proposal to MoEF

Date of receipt ofobservations from

MoEF

Amount to be deposited as perclearance conditions

Status of tree cutting In Diverted Area

Status of Enumeration Status of tree cutting In Diverted Area

Date of Forwardingof compliance by

the State Govt. to

MoEF


7/40

Fixed Fields

Project name / ID NH No. Length Stretch State PIU Scheduled Start date Scheduled End date

1 2 3 4 5 6 7 8

Whether requirement of

additional land is more

than 40m on existing

alignment and 60m on new

alignments / bypass

Whether Environmental

Clearance required ? [Not

required if length is less than

100km, or answer to column 9 is

No]

If environmental clearance

required, fill details in

relevant format

Whether Forest Clearance

required ? [If yes, fill

details in the relevant

format]

Whether Wildlife clearance

required ? [If yes, fill

details in the relevant

format]

9 10 11 12 13

Date of submission of draft

TOR by Consultant

If yes, Submission of TOR to MoEF Date of approval of TOR by

MoEF

Submission of draft EIA to

SPCB for conducting public

hearing

Date of pubic hearing Whether CRZ clearance

required ?

If yes, Date of submission

of proposal to CZMA

Date of approval of CZMA

14 15 16 17 18 19 20 21

Date of submission of all

documents required for

clearance by the consultant

Date of submission of EIA to

MoEF

Date of consideration of

Project by MoEF

Date and number of MoEF

approval latter

Date of submission of

application for NOC of PCB

by consultant

Date and number of NOC

by PCB

Remarks

22 23 24 25 26 27 28

Fixed Fields

Environment Clearance - Clause 4.1.2 (e) of Model Concession Agreement (MCA)


8/40

Project name / ID NH No. Length Stretch State PIU Scheduled Start

date

Scheduled End

date

Whether

requirement of

additional land is

more than 40m on

existing alignment

and 60m on new

alignments /

bypass

Whether

Environmental

Clearance

required ? [Not

required if length

is less than

100km, or answer

to column 9 is No]

If environmental

clearance

required, fill

details in relevant

format

Whether Forest

Clearance

required ? [If yes,

fill details in the

relevant format]

Whether Wildlife

clearance required

? [If yes, fill

details in the

relevant format]

1 2 3 4 5 6 7 8 9 10 11 12 13

State Govt. MOEF

14 15 16 17 18 19 20 21 22 23 24 25 26

Date of Order of

Honble Supreme

Court.

Date of

registration with

the Nodal Officer

Date of

submission of

Diversion proposal

to DFO

Date of receipt of

observations from

DFO

Date of sending

replies / modified

proposal to DFO

Name of the

Forest Circle

involved

Date of

forwarding the

proposal to

CF/CCF (officer in

charge of the

circle)

Date of receipt of

observations from

the Circle office

Date of sending

replies / modified

proposal to Circle

office

Date of

forwarding the

proposal to PCCF

Date of receipt of

observations from

PCCF

Date of sending

replies / modified

proposal to PCCF

Date of

forwarding the

proposal to Nodal

Officer

27 28 29 30 31 32 33 34 35 36 37 38 39

NPV CA and other

amount

40 41 42 43 44 45 46 47 48 49 50 51 52

No. of trees to be

cut


enumeration done


relation to

affected length

53 54 55 56 57 58 59 60 61 62

Date of filing

Application to

Honble Supreme

Court

Length Affected in

the Division /

wildlife area

Date of

submission of

proposal to DFO /

Wildlife Warden

Date of

consideration of

proposal by SBWL

Date of

consideration of

proposal by

NBWL

Date of

conveyance of

decision of MoEF

to State Govt

Total length Total Wi ld li fe area

to be diverted (in

ha)

Total Length

Affected

Name of Wild Life

Area and Division

Wildlife area to be

diverted (in ha) in

the Division /

wildlife area

Status of Enumeration Status of tree cutting In Diverted Area

Date of handing

over of diverted

forest land

Order of State

Govt.

Status of Grant of

Stage-II clearance

by MoEF

Date of

Forwarding of

compliance by the

State Govt. to

MoEF

Date of Depositing

the amount in

CAMPA fund

Date of receipt of

observations from

State Government

Date of sending

replies / modified

proposal to State

government

Wildlife Clearance - Clause 4.1.2 (e) of Model Concession Agreement (MCA)

Date of forwarding the proposal to

Status of tree cutting In Diverted Area

Fixed Fields

Date of sending

replies / modified

proposal to MoEF

Amount to be deposited as per

clearance conditions

Date of

consideration of

proposal by MoEF

Status of in

principle approval

Compliance of

conditions laid

down in Stage- I

Date of

forwarding the

proposal to MoEF

Date of receipt of

observations from

MoEF

Date of receipt of

observations from

Nodal Officer

Date of sending

replies / modified

proposal to Nodal

Officer

Date of

forwarding the

proposal to State

Government


9/40

No. of trees to be

cut


enumeration done


relation to

affected length

63 64 65 66 67 68 69

Status of tree cutting In Non-forest area

Status of Enumeration Status of tree cutting In Diverted Area RemarksExpenditure on

tree cutting


10/40

From To

1 2 3 4 5 6 7 8 9 10 11 12 13

Date of

application on

charges deposition

Observati ons Reply to Rai lway Approval for

Deposition

Date of Deposition

by NHAI

14 15 16 17 18 19 20 21 22 23

GAD prepared by

Consultant Yes/

No

Date of

Submission to

Railway

Observation raised

by Railway

Reply by NHAI Date of approval

by Railway

Date of approval

of GAD as per

Concessionaire

Agreement

Whether Railway

approved GAD

within 90 days

from submission

D&D prepared by

Concessionaire

Yes/ No

Date of

Submission to

Railway

Observation raised

by Railway

24 25 26 27 28 29 30 31 32 33 34

TAD prepared by

Concessionaire

Yes/ No

Date of

Submission to

Railway

Observation raised

by Railway


by Railway

Date of

application

Date of approval

by Railway

Traffic Plan

prepared by

Concessionaire

Observation raised

by Railway


by Railway

35 36 37 38 39 40 41 42 43 44 45

Level crossing

shifting plan

prepared by

Concessionaire

Yes No

Date of Submision

to Railway

Observation raised

by Railway


by Railway

Utility shifting

plan prepared by

Concessionaire

Date of Submision

to Railway

Observation raised

by Railway

Status of Utility

shifting

46 47 48 49 50 51 52 53 54 55 56 57

TAD CRS

Design and DrawingGAD

Traffic Block

Status of approval at Railways

Level Crossing Utility shifting

Progress % Likely date of

completion

Detailed RemarksStatus of approval at Railways

Chainge NH km ROB/RUB ID No.

RAILWAY OVER BRIDGE / RAILWAY UNDER BRIDGES. No. Name of Project PIU NH. No NH Section NHDP Phase State of Project Description of

ROB/RUB

Zonal Rai lway Year of Sanction

Status of approval at Railways At RFP, whether

GAD approved or

not (Yes/No)

Deposition of codal charges to Railway(P&E, D&G, Maintenance and other)Project Status

(Awarded/

Progress)

RLY Div. RLY KM LC NO. RLY Block


11/40

From To From To From To

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19

From To

20 21 22 23 24 25 26 27 Chainage

From To

28 29 30 31 32 33 34 35 36

From To From To From To

37 38 39 40 41 42 43 44 45 46 47 48 49 50 51 52 53 54 55 56 57

From To

58 59 60 61 62 63 64 65 66 67 68 69 70 71 72 73 74

Remarks

No. of bus

bays on

LHS

No. of

bus bays

on RHS

bus bays

not free

from

encumber

ance

cumulative

no. of bus

bays

handed

over after

AD

No. of

Truck lay-

byes on

LHS

No. of

Truck lay-

byes on

RHS

Whether

handed

over on AD

If not, date

of handing

over

75 76 77 78 79 80 81 82 83

Input Fields Format for Right of Way - Article 10 of MCA

Land handed over to concessionnaire after AD (cumulative) Any encumberance

reported by

concessionnaire on

handed over stretch

S. No. S. No. Chainage (in Km) Area Total ROW (in

m)

S. No. Chainage (in Km) Area Total ROW (in m)

Appointe

d Date

Date of

joint

inspectio

n

(chainage

wise)

Unencumbered Land at the time of Appointed Date

Additional Land Required for 6 laning

S. No. Type of

Structure

Width (in

m)

Whether

handed

over on AD

If not, date

of handing

over

Chainage (in Km)Grade Separators

S. No. Additional

ROW

required

Additional

area

required

S. No. Area

handed

over

Chainage Date of handing

over

No. of Box

Culverts

Type of

Structure

Width (in

m)

Whether

handed

over on AD

If not, date

of handing

over

No. of major

bridges

Bus Bays and Truck Lay Byes

No. of ROBs No. of Grade

Separators

No. of Minor

Bridges

No. of

Vehicular and

Non Vehicular

Underpasses

Whether

handed

over on AD

If not, date of

handing over

Total

ROW (in

m)

Extent of

critical

stretch

handed

over

Date of

reporting

Chainaage-

wise brief of

report

Major Bridges Railway Over BridgesIf not, date

of handing

over

S. No. Chainage (in Km) Type of

Structure

Width (in

m)

S. No. Chainage (in Km) Type of

Structure

Minor Bridges Total No. of Structures on the Site

S. No. Chain age ( in Km )

Details of required land

S. No. Chainage (in Km) Area

Width (in m) Whether

handed

over on

AD

No. of Pipe

Culverts

No. of Slab

Culverts

Structures

not free

from

encumbera

nce

Cumulative no. of

structures handed

over after AD

Scheduled Date of 6 laning:

Detalis of handing over

Land not free from encumberance at the time of Appointed DateTotal land required for the project

Chainage (in Km) Area Total ROW

(in m)

Reason for

encumbera

nce

Is the

encumbera

nce critical

?


12/40

Date of

submission

Date of

acceptance

by NHAI

Date of

submission

of draft

Escrow

Agreement

Date of

acceptance

by NHAI

Date of

submission

of Executed

Agreement

Date of signing

of Agreement

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15

Date of

submissio

n of draft

Substitutio

n

Agreemen

t

Date of

acceptance

Date of

submission of

Executed

Agreement

Date of signing

of Agreement

Date of

submissi

on of

draft

Financing

Agreeme

nt

Date of

acceptance by

NHAI

Date of issue

of sanction

letter by

lender/

Bank.

Date of approval

by NHAI

Date of

Submission of

executed

Financing

Agreement

Date of

submission of

draft Financial

Package &

model

Date of

acceptance

Date of

submission

of Financial

Package &

model

Date of

submission

Date of

acceptance

Date of

submission

Date of

acceptance

16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31

Date of

permission

granted by

the

concerned

authority

Date of

intimation to

NHAI by the

Concessionai

re

If waived

(yes/no)

Date of

permission

granted by the

concerned

authority

Date of

intimatio

n to

NHAI by

the

Concessi

If waived

(yes/no)

Date of

permission

granted by

the

concerned

authority

Date of

intimation to

NHAI by the

Concessionaire

If waived

(yes/no)

Date of

permission

granted by the

concerned

authority

Date of

intimation

to NHAI by

the

Concession

aire

If waived

(yes/no)

Date of

permission

granted by

the

concerned

authority

Date of

intimation

to NHAI by

the

Concessiona

ire

If waived

(yes/no)

32 33 34 35 36 37 38 39 40 41 42 43 44 45 46

Date of

permission

granted by

the

concerned

authority

Date of

intimation to

NHAI by the

Concessionai

re

If waived

(yes/no)

Date of

permission

granted by the

concerned

authority

Date of

intimatio

n to

NHAI by

the

Concessi

If waived

(yes/no)

Date of

permission

granted by

the

concerned

authority

Date of

intimation to

NHAI by the

Concessionaire

If waived

(yes/no)

Date of

permission

granted by the

concerned

authority

Date of

intimation

to NHAI by

the

Concession

aire

If waived

(yes/no)

Date of

permission

granted by

the

concerned

authority

Date of

intimation

to NHAI by

the

Concessiona

ire

If waived

(yes/no)

47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63

Remarks

Clearance of PCB for setting up Batching Clearance of Village Panchayats and PCB for Permission of Village Panchayat and State Permission of State Govt. for cutting of Any other permits or clearances required

Applicable Permits (clause 4.1.3 (d) and Schedule E Appointed

Date

Applicable Permits (clause 4.1.3 (d) and Schedule E

Permission for extraction of boulders; Permission of Village Panchayat & PCB for

installation of crushers;

License for use of explosives; Permission for drawing water from

river/reservoir;

License for setting up Batching Plant;

(c) Submission of executed Substitution Agreement (e) Submission of executed Financing Agreements (f) Submission of Financial Package &

Model

(g) Submission from

Consort. Members for

correctness of

representations and

(h) Submission of legal

opinion from the legal

counsel

Post Award Monitoring of PPP Projects

Condition Precedent of Concessionaire before Appointed DateS l. No . N am e of t he

Project

Project Stretch NH No. State Name of

Concessionaire

Date of

Award

Date of Signing

of CA

Due Date for

Fulfillment of

Condition

Precedent

(a) Performance Security

(Cl. 4.1.3 (a) & Cl 9.1)

(b) Submission of executed Escrow Agreement


13/40

Project name /

IDNH No. Length Stretch State PIU Scheduled Start date Scheduled End date Name of Concessionaire Date of agreement

1 2 3 4 5 6 7 8 9 10

Sl. No. Approval Required for Approval Type Date Status/ Remarks

A State Government Permits/ Quarrying Permits:

1Permits for extraction of boulder from quarry from Additional District

Magistrate (ADM) Mines

2Permit for installation of crusher from village Panchayat and

State/Central Pollution Control Board

3 License for explosives from the office of Explosive controller

4 E xp losi ve li cense f or st or ing d iese l

B Electricity:

1Permission required from State Electricity Board (SEB) for installation of

Diesel Generator (DG)

2 Permission for electrical connection, if power source is available

C Water:

1If water has to be taken from river/ reservoir, permission to be

obtained from State Irrigation Department

D Batching Plant:

1 L icense from inspecti on of fact or ies

2NOC consent/Clearance required from village panchayat &

State/Central Pollution Control Board/Dept.

E Asphalt Plant:

1Clearance required from village panchayat & State/Central Pollution

Control Board

F Borrow Earth:

1 Permission from irrigation department if land taken from irrigation land

2Permission required from village panchayat and ADM mines for

Government & private land

3 Permission from Local Municipalities and Development Authorities

G Cutting of trees and other environment clearances:

1 Permission from Forest Department and other applicable agencies

H S ewag e L ine s a nd Wa te r Ma in s:

1 Permission from Local Municipalities and Development Authorities

APPLICABLE PERMITS AS PER CONDITIONS PRECEDENT OF CONCESSIONAIRE - Clause 4.1.3 (e) and Schedule E of Model Concession Agreement (MCA)Fixed Fields

Applicable Permits


14/40

Project name / ID NH No. Length Stretch State PIU Scheduled Start date Scheduled End date Name of

Concessionaire

Date of agreement

1 2 3 4 5 6 7 8 9 10

Item type &

Description

Total No. to be

shifted

Position (LHS/RHS) Chainage from Chainage To Shifted so far Date shifted Balance to be shifted Expected s hifting

date

Cumulative Present Status

1 2 3 4 5 6 7 8 9 10 11

Item type &

Descri tion

Total No. to be

shifted


date


1 2 3 4 5 6 7 8 9 10 11

Item type &

Description

Total No. to be

shifted


date


1 2 3 4 5 6 7 8 9 10 11

Item type &

Description

Total No. to be

shifted


date


1 2 3 4 5 6 7 8 9 10 11

12 13 14 15 16 17 18 19 20 21 22

From (km) To (km)

23 24 25 26 27 28

UTILITY SHIFTING

Division Date of work order

from concerned

Dept.

Amount of Estimate

I/c S.C./ S. Tax

as received from

Dept. (lacs)

Approved Amount of

estimate by NHAI

I/c S.C./S. Tax

(lacs)

Supervision Charges

/ S.Tax (Rs.)

Approved vide letter

no. & date by HO/RO

Date of Deposition

of S.C./ S. Tax

Division Wise Particulars of Utility Shifting Estimates (Electrical / Water supply) (Within 3 months of signing Concessionaire Agreement)

Date of Handing over work order to

I) Status of shifting of Electric Lines (Nos.)

Fixed Fields

II) Status of shifting of Water Supply Pipelines (Kms.)

III) Status of shifting of Irrigation/ Structures (Nos.)

Date of Start of

Work

Status of Work Date of Completion Remarks

IV) Status of Shifting of Other Utilities (Kms. / Nos.)

S. No. Name of work Received from Letter no. & Date


15/40

1 2 3 4 5 6 7 8 9 10

Proprietary rights

required


application(s) for

rights

Date of acquiring

Proprietary rights

Concerned Govt. Dept.

/ official involved

Current Status Agreements required Date of submi ssion of

application(s) for

Agreements

Date of acquiring

Agreements


/ official involved

Current Status

11 12 13 14 15 16 17 18 19 20

Licenses required Date of submission of

application(s) for

licenses

Date of acquiring

Licenses


/ official involved

Current Status P ermi ssions requi red Date of submi ssion of

application(s) for

Permissions

Date of acquiring

Permits


/ official involved

Current Status

21 22 23 24 25 26 27 28 29 30

Agreements

Licenses Permissions

PIU Scheduled Start date Scheduled End date Name of

Concessionaire

Date of agreement

Proprietary rights

Proprietary Rights, Licenses, Agreements and P ermissions related transactional fields

Fixed Fields

Proprietary Rights, Licenses, Agreements and P ermissions related transactional fields

Obligations (Concessionaire) - Article 5.1.4 (b) of Model Concession Agreement

Form for Proprietary Rights, Licenses, Agreements and Permissions

Project name / ID NH No. Length Stretch State


16/40

Project name / ID NH No. Length Stretch State PIU Scheduled

Start date

Scheduled End

date

Name of

Concessionaire

Date of

agreement

1 2 3 4 5 6 7 8 9 10

Clause Sub clause Key Action Point Action Responsibility Date of Submission Date of

Acceptance by

NHAI7.1 1 The concessionaire represents and warrants to Authority that Concessionaire

a It is duly organized and validly existing under the laws of India and has full power

and authority to execute and perform its obligations

Concessionaire

b It has taken all necessary corporate and other actions under applicable laws to

authorize the execution and delivery of this agreement.

Concessionaire

c It has financial standing and the capacity to undertake the project in accordance

with the terms of this agreement

Concessionaire

d Its obl igation under this agreement wil l be legal ly val id and, binding and

enforceable obligations against it in accordance with terms thereof

Concessionaire

e It is subject to laws of India and irrevocably waives any immunity in any

jurisdiction in respect of this agreement.

Concessionaire

f The information furnished in the bid and as updated on or before date the date of

this agreement is true.

Concessionaire

g The execution, delivery and performance of this agreement will not conflict with,

result in breach of, constitute a default under or accelerate performance required

by any of the terms of its Memorandum and Articles of association or any other

a l icable laws

Concessionaire

h There are no actions, suits, proceeding, or investigations pending or to its

knowledge, threatened against it at law or equity before any court.

Concessionaire

i It has no knowledge of any violation or default w.r.t any order, writ, injunction or

decree of any court or any legally binding order of any Gov. instrumentality.

Concessionaire

j It has complied with applicable laws in all material respects and has not been

subject to any fines, penalties, or any other civil or criminal liabilities.

Concessionaire

k It shal l at no t ime undertake or permit any change in ownership except in

accordance with the provision of Clause 5.3

Concessionaire

l The selected bidder and its associates have financial standing and resource to

fund the required equity and raise the debt necessary for undertaking and

implementing the project.

Concessionaire

m The selected bidder is duly organized and validly existing under the laws of the

jurisdiction of its incorporation

Concessionaire

n All its rights and interests in project highway shall pass to and vest in the

Authority on the transfer date free and clear of all liens, claims and

encumbrances.

Concessionaire

o No representation or warranty by it contained herein or in any other document

furnished by it to the authority or to any government instrumentality in relation

to applicable permits contains or will any untrue or misleading statement of

material fact.

Concessionaire

p No sums in cash or kind have been paid or wil l be paid by it or on its behalf to any

person by way of fees, commissions or otherwise for securing the concession.

Concessionaire

q All information provided by selected bidder in response to the Request for

Qualification and Request for proposal true and accurate in all material respects.

Concessionaire

REPRESENTATION AND WARRANTIES AS PER MCA CLAUSE 4.1.3 (e)

Fixed Fields


17/40

Clause Sub clause Key Action Point Action Responsibility Date of Submission Date of

Acceptance by

Concessionaire

7.2 1 Represent and Warrant to Concessionaire NHAI

a It has full power and authority to execute, deliver and perform its obligation

under this agreement and carry out the transactions contemplated herein.

NHAI

b It has taken all necessary actions under the applicable laws to authorise the

execution, delivery and performance of this agreement.

NHAI

c It has financial standing and capacity to perform its obligations NHAI

d This agreement constitutes a legal, valid, and binding obligation enforceable

a ainst it in accordance with terms thereof.

NHAI

e It has no knowledge of any violation or default w.r.t any order, writ, injunction or

any decree of any court of any legally binding order of any governmentinstrumentalit .

NHAI

f It has complied with applicable laws in all material aspects. NHAI

g It has right, power, and authority to manage and operate the project highway

upto the appointed date

NHAI

h It has good and val id right to the site and has power and authority to grant a

license in respect there to the concessionaire.

NHAI

Clause Sub clause Key Action Point Action Responsibility Date of Disclosure Action by

Authority /

Concessionaire

7.3 1 Disclose to other party if any representations or warr anties are untrue or

incorrect

NHAI/Concessionaire


18/40

Project name /

ID

NH No. Length Stretch State PIU Scheduled Start

date

Scheduled End

date

1 2 3 4 5 6 7 8 9 10

Fixed Fields Date of receipt

of Legal Opinion

by Authority

Name of

Concessionaire's

Legal Counsel

Legal Opinion by Concessionaire - Conditions Precedent Clause 4.1.3 (h)


19/40


Concessionaire

Date of agreement

1 2 3 4 5 6 7 8 9 10

Date of Appointment Name of selected

IE/Firm

Address of IE / Firm Contact person / PM

of IE

Contract start date Contract end date IE Contract amount Remarks

11 12 13 14 15 16 17 18

Fixed Fields

Appointment of IE

Appointment of Independent Engineer by Authority - Article 23 of Model Concession Agreement


20/40

1 2 3 4 5 6 7 8

Target Achieved Up to previous FY During CFY Cumm. Expenditure

9 10 11 12 13 14 15 16


Monthly Progress

Report (MPR)

Brief description of

Delays, Slippages from

approved Work

Programme

17 18 19 20 21 22 23

27 28 29 30

31 32 33 34 35 36 37

38 39 40 41 42 43

44 45 46 47 48 49

Completed Length

during month (DBM:

Km / BC : Km)

Cummu. Completed

Length (DBM: Km /BC :

Km )

Monthly Progress ReportGrant/Premium/Annui

ty Payment


Work Programme by

Concessionaire

Date of approval Work

Programme by

Authority

Name of EPC

Contractor

Date of approval of EPC

Contractor

Physical Progress ExpenditureTPC - Grant/Premium

Fixed Fields

Construction Delay

LengthNH No.Project name / ID Scheduled End date (as

per Contract)

Scheduled Start date

(as per Contract)

PIUStateStretch (From and To)

Maintenance of Existing Road Force Majeure Event Accident Reporting

Casualties if anyFrequency of Events Delay caused to Force

Majeure event

Remarks on Milestones

(If "N" responded to

Milestones)

Date of Inspection by

Engineer


Inspection Report

Date of Test for Quality

Assurance

Frequecy of monitoring

of road

Numbers of boards &

barricades deployed

Number of Diversion

Roads

Inspection Tests for Quality Assurance

Milestone-I (Achieved) -

(Y/N)

Milestone-II (Achieved)

- (Y/N)

Milestone-III

(Achieved) - (Y/N)

Monitoring of Construction


report for delay by

Concessionaire

Action to be taken by Date of Corrective

Action

Date of Issue of Notice

for delay to

Concessionaire

Sample Size taken for

Test

Date of Test Report

submission

Cost incurred on Test

Construction Delay

Status (Y/N)

Reason for delay

Frequency of Accidents


21/40

50 51 52 53 54 55 56

From To

57 58 59 60 61 62 63 64

Cost incurred by

Concessionaire during

work suspension

Cost incurred by

Authority during work

suspension

Construction Works

Extension Status

Date of Issue of

Extension for

Construction Works

Term of Extension for

Construction Works

Work Suspension

Status (Y/N)

Work suspension due

to Authority (Y/N)

Work suspension due

to Concessionaire (Y/N)

Date of Issue of notice

for suspension of work

by Authority to

concessionaire

Date of Issue of notice

by Concessionaire for

remedial actions taken

Construction Works Extension Photo & Video Recording

Date of Submission of

Video Recording by

Concessionaire

Length covered in

Video Recording

S tr et ch cov er ed in Vid eo Re cor ding N um be r o f s it es

covered in photos

Work Suspension


22/40

Project name /

ID

State PIU NH No. Length Name of

Concessionaire

Date of

agreement

Total Project of

Cost in Crore

Scheduled

Commentement date

Scheduled

Completion date

Anticipate

Completion date

Name of I/E

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

Name of

selected Safety

Consultant

Address of

Safety

Consultant

Contact person

/ PM

Scheduled

Commencemen

t date

Scheduled

Completion

date

Safety

Consultant's

Contractamount in

Lakhs

Remarks

13 14 15 16 17 18 19

Fixed Fields

Appointment of Safety Consultant

Appointment of Safety Consultant by Authority - Article 18.1.2 of Model Concession Agreement


23/40


Concessionaire

Date of agreement

1 2 3 4 5 6 7 8 9 10

Name of Personnel Date of start of

Employment

Authority's Regulatory

approval

Citizenship country of

Personnel

Passport No. of

Personnel

Employment valid till

date

Work permit granted ? V ISA No. VISA valid till date Remarks

11 12 13 14 15 16 17 18 19 20

Fixed Fields

Employment of Foreign National

Employment of Foreign Nationals by Concessionaire - Article 5.4 of Model Concession Agreement


24/40

Project name / ID NH No. Length Stretch State PIU Scheduled Start date Scheduled End date Name of Concessionaire Date of agreement

1 2 3 4 5 6 7 8 9 10


Draft Project

Agreements

Name of Person

submitting Draft Project

Agreements

Status Date of submission of

True copy of Project

Agreements

Name of Person

submitting True copy of

Project Agreements

True copy of Project

Agreements attested by

Director of

Concessionaire

Status Right of substitution

allowed to Authority in

True copy of

Agreements

11 12 13 14 15 16 17 18

Fixed Fields

Project Agreements

Obligations (Concessionaire) related to Project Agreements - Article 5.2 of Model Concession AgreementInput Form for Project A greements Submission by Concessionnaire


25/40


1 2 3 4 5 6 7 8 9 10

Date of submission Change in scope

notice

Name of Person

submitting Change in

scope notice

Impact and effects of Change in

scope as per Concessionaire


impact and effects due

to Change in scope to

Authority

Change in Scope

cost as per

Concessionaire

Change in Scope cost as

per IE

Agreed to Change in

Scope cost

Date of issuance of Change in

scope Order by Authority

Party paying for Change

in scope cost

11 12 13 14 15 16 17 18 19

Failure to complete Construction

Works under Change of scope

Advance payment

amount received by

Concessionaire for

Change in scope

Damages amount paid to

Authority for failure to complete

Construction Works under

Change of scope

Remarks (if any) Status

20 21 22 23 24

Fixed Fields

Change in Scope (for Concessionaire)

Change in Scope (for Concessionaire)

Change in Scope Notice (to/by Concessionaire) - Article 16 of Model Concession Agreement


26/40

Project name / ID NH No. Length Stretch State PIU Scheduled

Start date

Scheduled End

date

TPC

1 2 3 4 5 6 7 8 9

Date of submission Date of Confirmation

by issuing Bank

PBG No. Date on PBG Date of reply by the

Compliance by

Concessionaire/ Bank

Date of

acceptance by

NHAI

10 11 12 13 14 15

Name of Concessionaire Date of Concession

Agreement

Amount of PBG Issuing Bank Branch and address of

Bank

Status Remarks (if

any)

16 17 18 19 20 21 22

Action Date Amount (where

applicable)

Status Remarks/Issues

Provided

Invoked

Encashed

Terminated

Released

Appropriated (partial)

Replenished

Returned

Performance Security

(a) Performance Security (Cl. 4.1.3 (a) & Cl 9.1)

Fixed Fields


27/40

Project name / ID NH No. Length Stretch State PIU Scheduled Start date Scheduled End date

1 2 3 4 5 6 7 8

Original Lenders In case of Substiution

9 10 11 12 13 14 15 16 17 18 19

20 21 22 23 24

Action Date Amount (if applicable) Action by Status Remarks/Issues

Procure execution of Escrow

Agreement

Retention of reserves

Deposits & Receipts

Payments from account

Appropriation after termination

Escrow

Account

creation due

date

Actual Escrow

Account

creation date

Extended Escrow Account creation date

Form for EscrowFixed Fields

Date of Escrow AgreementName of Concessionaire Escrow Bank Account

No.

Escrow Bank Name Branch and address of

Bank

List of signatories to

the Escrow Account

Names of Lenders

Escrow Account Operation

Monthly Escrow

Account

Statement

Report

submitted to

Authority by

Financial

Consultant ?

Monthly Escrow

Account Statement

Report in order ?

Status Remarks


28/40

Project Name/ID NH NO. Length Stretch State PIU Name of the

Selected Bidder

Name of the

Concessionaire

Scheduled End date Name of

Concessionaire

Date of

agreement1 2 3 4 5 6 7 8 8 9 10

Shareholders'

names

% of Shares held Face value of the

shares held

Proposed

Shareholders'


shares held

Approved

Shareholders'


shares held

Obligations (Concessionaire) Notify Change in Ownership - Article 5.3 of Model Concession Agreement

Status /

Remarks (if

any)

Fixed Fields

Name of the

Shareholders in SPV

(I)

Original Shareholding Pattern Date of Submission

of Request letter of

Change in

Revised Shareholding Pattern Proposed Revised Shareholding Pattern Approved Date of

Approval of

revised

names names

11 12 13 14 15 16 17 18 19 20 21 22 23

Ownership Shareholding

pattern by

NHAI

(Drop down) List of


29/40


Concessionaire

Date of agreement

1 2 3 4 5 6 7 8 9 10

Reasons for failure to

achieve milestone

(works)

A mount pa id to A ut hori ty D at e of payment Pending am ount to be

paid to Authority

Date of demand sent

for debit to Escrow

Account

11 12 13 14 15

Reasons for delay in COD Amount paid to Authority Date of payment Pending amount to be

paid to Authority

Date of demand sent

for debit to Escrow

Account

D at e of C OD E xpected D at e of

Project Completion

16 17 18 19 20 21 22


achieve Financial Close

A mount pa id to A ut hori ty D at e of payment Pending am ount to be

paid to Authority

23 24 25 26

P un ch L is t i te ms V al ue o f P un ch L is t i te ms A ft er 1 20 d ay s

extension, Punch List

items not completed

Reasons for not

completing Punch List

items

Value of Punch List

items not completed

after 120 days

Penalty applied

for not

completing PunchList items

Amount paid to

Authority

Date of demand sent

for debit to Escrow

Account

Date of payment

27 28 29 30 31 32 33 34 35

Pending amount to be

paid to Authority

Date of COD Project Completion

Date

36 37 38


rectify any defect or

deficiency

Recti fica tion dema nd da te C ure Per iod A mount paid t o A ut hori ty D at e of dem and s ent

for debit to Escrow

Account

Date of payment Pending amount to be

paid to Authority

39 40 41 42 43 44 45

Reasons for failure

material default

Amount paid to Authority Date of demand sent

for debit to Escrow

Account

D ate of p ay me nt P en di ng amo un t to be

paid to Authority

46 47 48 49 50

Payment of Damages to Authority - Various Articles of Model Concession AgreementFixed Fields

Delay in COD

Failure to Rectify Defect

Material Default

Non-Completion of Punch List

Non-Completion of Punch List

Failure to Achieve Milestone

Failure to Achieve Financial Close


30/40

Project name / ID NH No. Length Stretch State PIU Scheduled Start

date

Scheduled End date Name of

Concessionaire

Date of Concession

agreement

1 2 3 4 5 6 7 8 9 10

Date of Execution Names of Sr.

Lenders

Name of Lenders'

Representative

Branch and address

of Lenders

Signatories to the

Substitution

Agreement

Status Remarks

11 12 13 14 15 16 17

Fixed Fields

Conditions Precedent of Substitution Agreement (Concessionaire) - Article 4.1.3 (c) of Model Concession Agreement

Input Form for Substitution Agreement

Substitution Agreement Related Fields


31/40

Project Name/ID NH No. Length Stretch State PIU Name of the Selected Bidder Name of the

Concessionaire

Date of Formation of

Company (SPV) by

Concessionaire

Date of signing

of the CA

Date of opening

of Escrow

Account

1 2 3 4 5 6 7 8 9 10 11

Date of Submission

of Draft Financing

Agreements

(received by NHAI)


Banks' Sanction letter

Scheduled date of

Financial Close

(Normal)

Date of Financial Close

with Extension

Date of Financial Close with

Cost

S che dul ed A ppo int ed D at e Sc he du le d C OD S che dul ed da te

prior to which

Performance

Security to be

Format for Financial CloseFixed Fields

submitted

12 13 14 15 16 17 18 19

List of Documents

submitted, along

with Declaration

that these

constitute the

complete set of

Project Documents

Date of execution of

Substitution Agreements

Date of

declaration of

Financial Close

C urrent Status) RemarksDate of final Legal

scrutiny of draft

documents and

comments by

Authority

Date of

acceptance of

comments by

Concessionaire

Signing of the Loan /

Project documents by

the Concessionaire

Date of submission by the

Concessionaire of three

sets of Financing

Documents duly executed,

along with soft copy of

Financial Model (if

applicable)

Either an item by item

verification by NHAI of

satisfaction of all Pre-Sanction

Conditions and Pre-

Disbursement Conditions of

Lenders,

OR

Certification from Lenders to be

obtained by Concessionaire

confirming that only Post-

Disbursement conditions are

required to be completed, and

all Pre-Sanction and Pre-

Disbursement conditions stand

20 21 23 24 25 26 27 28 29 30

S. No. Name of the

Agreement

Date of

submission

Date of forwarding to

Financial Consultant

(FC)

Date of Review given by FC Date of forwarding FC's

Comments to Concessionaire

Remarks / Current Status

1 Senior Common Loan

Agreement

2 Subordinate Common

Loan Agreement

3 Security Trustee

Agreement

List of Documents

completely satisfied (list of Post-

Disbursement conditions

pending completion, to be part

4 Lenders' Agent

Agreement5 Deed of

Hypothecation6 Indenture of Mortgage

7 Mortgage Deed


32/40

8 Supplementary Escrow

Agreement

9 Inter Creditor

Agreement

10 Share Pledge

Agreement

11 Sponsors' Support

Agreement

12 Accession Deed

13 Financial Package

14 EPC Agreement

15 Any other document

Refinancing

Debt Equity Grant

31 32 33 34 35 36 37 38 39 40

Date of

execution /

submission of

revised

Substitution

Agreements

Date of execution of

revised Escrow Account

Date of submission

of refinancing

documents (if any)

Date of final Legal

scrutiny of draft

documents and

comments by

Authority

Date of

acceptance of

comments by

Concessionaire

Signing of the Loan /

Project documents by

the Concessionaire

Date of submission by the

Concessionaire of three

sets of Re-Financing

Documents duly executed,

along with soft copy of

Financial Model (if

applicable)

Revised Financing Plan


33/40


Concessionaire

Date of agreement

1 2 3 4 5 6 7 8 9 10

Appoi nted Date Condi ti ons P recedent

achieved ?

Total completed length

of the Project

Date of issuance of

Provisional Certificate

Date of issuance of

Completion Certificate

COD extended to Date

(if applicable)

Date of achievement of

COD

Amount of Damages

paid to Authority (if

any)

Status

11 12 13 14 15 16 17 18 19

Project Name/ID NH NO. Length Stretch State PIU Name of the Selected

Bidder

Name of the

Concessionaire

Date of signing of the

CA

Scheduled Appointed

Date1 2 3 4 5 6 7 8 9 10


PS


Executed of Executed &

Substitution

Agreement

Date of procurement of

Applicable permits


Financial Package

Scheduled Date of

Submission of Financial

Close

Actual Date of

Submission of Financial

Close

Current Status /

Remarks

11 12 13 14 15 16 17

Project Name/ID NH NO. Length Stretch State PIU Name of the Selected

Bidder

Name of the

Concessionaire

Date of signing of the

CA

Scheduled date of FC

1 2 3 4 5 6 7 8 9 10

Equity Debt Grant

11 12 13 14 15 16 17

Equity Debt Grant Equity Debt

18 19 20 21 22

TPC at the time of Project Completion

Form for Commercial Opening Date Article 15.1 of Model Concession Agreement

Fixed Fields

Fixed Fields

COD (Concessionaire)

Appointed DateFixed Fields

Concessionaire's Obligation

Appointed Date

Total Project Cost (TPC) Details [As per MCA]

Lenders' TPC at the time of Novation

Authority's TPC at the

time of RFP/Bid (in

Crores)

Lenders' TPC at the time of Financial CloseNHAI' Grant (if there is

any)

Debt portion in TPC as

per CA

Equity portion in TPC as

per CA


34/40


1 2 3 4 5 6 7 8 9 10

Date & Time of issue

recording/reporting

Date & Time of repair /

rectification

Status Date of issue

recording/reporting

Date of repair /

rectification

Status Date & Time of issue

recording/reporting


rectification

Status

11 12 13 14 15 16 17 18 19

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

20 21 22 23 24 25 26 27 28

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

29 30 31 32 33 34 35 36 37

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

38 39 40 41 42 43 44 45 46

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

47 48 49 50 51 52 53 54 55


recording/reporting


rectification


recording/reporting


rectification

Status

56 57 58 59 60 61 62 63 64


recording/reporting


rectification


recording/reporting


rectification


recording/reporting

Date of repair /

rectification

Status

65 66 67 68 69 70 71 72 73

Date of issue

recording/reporting

Date of replacement Status Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting


rectification

Status

74 75 76 77 78 79 80 81 82


recording/reporting


rectification


recording/reporting


rectification


recording/reporting

Date of repair /

rectification

Status

83 84 85 86 87 88 89 90 91

Operations & Maintenance (O&M) - Articles 17, 19 of Model Concession Agreement (MCA)Fixed Fields

Breach / Blockade Roughness Pot Holes

Cracking in more than 5% of road surface in a stretch of 1 km Rutting exceeding 10 mm in more than 2% of road surface in a stretch of 1 Rutting exceeding 10 mm in more than 2% of road surface in a stretch of 1

Bleeding/skidding Ravelling/Stripping of bitumen surface exceeding 10 sq m Damage to pavement edges exceeding 10 cm

R em ova l o f d eb ri s V ari at io n b y m or e t ha n 2% in th e p re sc ri be d s lo pe of ca mb er /c ro ss fa ll H ar d/ ea rt h s ho ul de rs , s id e s lo pe s, dr ai ns an d c ul ve rt s


recording/reporting


rectification

Status Edge drop at shoulders exceeding 40 mm


recording/reporting


rectification

St at us D am ag e t o s ha pe or po si ti on ; p oo r vi sib il it y o r l os s o f r et ro -r ef le ct iv it y A ny ma jo r f ail ur e o f t he sy st em

Street lighting and telecom (ATMS) Trees and plantation

Hard/earth shoulders, side slopes, drains and culverts

V ar ia ti on by mo re th an 15 % i n t he pr es cr ib ed si de (e mb an km en t) sl op es R ai n c ut s/ gu ll ie s i n s lo pe D am ag e t o o r s il tin g o f c ul ve rt s a nd si de dr ain s d ur in g a nd im me di at el y

preceding the rainy season

D es il ti ng of dr ai ns in ur ba n/ se mi -u rb an ar ea s R oa d s id e f ur ni tu re in clu di ng ro ad si gn s a nd pa ve me nt ma rk in g St re et li gh ti ng an d t el ec om (A TM S)

Rest areas Toll plaza[s]

Defects in electrical, water and sanitary installations Failure of toll collection equipment or lighting Damage to toll plaza

F au lt s a nd m in or f ai lu re s O bs tr uc ti on i n a m in im um h ea d- ro om o f 5 m a bo ve c ar ri ag ew ay o r D et er io ra ti on i n h ea lt h o f t re es a nd b us he s

Trees and plantation Rest areas

Replacement of trees and bushes Removal of vegetation affecting sight line and road structures Cleaning of toilets


35/40

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting


rectification


recording/reporting

Date of repair /

rectification

Status

92 93 94 95 96 97 98 99 100

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

101 102 103 104 105 106 107 108 109

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

110 111 112 113 114 115 116 117 118

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

119 120 121 122 123 124 125 126 127

Date of issue

recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification


recording/reporting

Date of repair /

rectification

Status

128 129 130 131 132 133 134 135 136

Date of submission of 5

copies of Maintenance

Manual to Authority

Consulted with IE Date of submission of 2

copies of Maintenance

Manual to IE

Compliance with

Specifications and

Standards, MaintenanceRequirements, Safety

Requirements and Good

Industry Practices

Status Notification by

Concessionaire

Review By IE Suggestion Date of submission of

Maintenance

Programme toAuthority

Consulted with IE Status Date of Revision after 3

Years

137 138 139 140 141 142 143 144 145 146 147 148

Includes preventive

maintenance schedule?

Includes arrangements

and procedures for

carrying out urgent

repairs?

Includes criteria to be

adopted for deciding

maintenance needs?

Includes intervals and

procedures for carrying

out inspection of all

elements of the Project

Hi h wa ?

Includes intervals at

which the

Concessionaire shall

carry out periodic

maintenance?

Includes arrangements

and procedures for

carrying out safety

related measures?

Includes intervals for

major maintenance

works and the scope

thereof?

149 150 151 152 153 154 155

Date of Notification to

Authority

Date of response of

Authority to the

Notification

Modifictations

suggested/approved

Deviation from

Specifications and

Standards ?


recording/reporting

Date & Time of

remedial action

Date & Time of

restoration

Does it follow the

relevant operating

procedures including

the setting up of

temporary traffic cones

and lights, and removal

of obstruction and

debris without delay?

Is maintaining and

operating a round-the-

clock vehicle rescue

post with one mobile

crane having the

capacity to lift a truck

with a Gross Vehicle

Weight of 20,000 KG

Is maintaining and

operating two such

vehicle rescue posts,

with one crane each,

and this posts is located

at each of the Toll

Plaza(s)

156 157 158 159 160 161 162 163 164 165 166

Other Project Facilities and Approach roads Superstructure of bridges

Spalling/scaling Scouring and/or cavitation Cracks and damages including settlement and tilting

Bearings (metallic) of bridges Joints in bridges Other items relating to bridges

D am ag e o r d et er io ra ti on i n A pp ro ac h R oa ds , -[ pe de st ri an f ac il it ie s, tr uc k C ra ck s - T em po ra ry m ea su re s C ra cks - P er ma ne nt m ea su re s

Superstructure of bridges Foundations of bridges Piers, abutments, return walls and wing walls of bridges

Other items relating to bridges

Damage to wearing coat Damage or deterioration in approach slabs, pitching, apron, toes, floor or Growth of vegetation affecting the structure or obstructing the waterway

Maintenance Manual Maintenance Programme

Deformation Loosening and malfunctioning of joints Deforming of pads in elastomeric bearings

Other items relating to bridges

Gathering of dirt in bearings and joints; or clogging of spouts, weep holes Damage or deterioration in parapets and handrails Rain-cuts or erosion of banks of the side slopes of approaches

Maintenance Programme shall include

Modifications to Project Highway Safety, vehicle breakdowns and accidents


36/40

Date of reporting a

decommissioning


recording/reporting

Date & Time of

remedial action

Date & Time of

restoration

From To

167 168 169 170 171 172 173 174 175 176 177

Reason for Lane Closure

From To

178 179 180 181 182 183 184 185

Remarks (if any)

Amount Paid Unpaid Amount Paid Unpaid Concessionaire Authority

186 187 188 189 190 191 192 193 194 195

Fee Collection and its

Rules

Date of approval of Fee

Notification by

Authority

Collection of Fee as per

MCA ?


O&M Inspection Report

to Authority

Consulted with IE Status Items identified for Risk &

Cost

Cost of Such Items Status Date of Issue of Fee

Notification

196 197 198 199 200 201 202 203 204

205 206 207 208 209 210 211 212 213 214


Monthly Status Report

by Concessionaire

f or (M on th ) D at e o f I ns pe ct io n b y I E D at e o f S ub mi ss io n o f

Inspection report by IE

Conducted tests as per

IE and MCA ?

Carried out remedial

measures as per

Maintenance

Requirements/Manual /

Programme ?

M on th R ep or te d D at e of f ur ni sh in g

Monthly Fee Statement

Date of not submission

of Reports of unusual

occurrences (Dates on

which not Reported)

Brief description of

unusual occurrences

reported

215 216 217 218 219 220 221 222 223 224 225 226

F in an ci al Im pa ct P ar ty Im pa ct ed

227 228 229 230 231 232 233 234 235 236

Defect identified in


Date Date of Rectification If not Completed within

15 Days

Status of Rectification Whether further tests

proposed by IE

If yes, Then Status

237 238 239 240 241 242 243

Div ersion or interruption of t raffic S tretch being decommissioned Reason for

decommissioning

Date of Approval of

Authority for

decommissioning

Date of request for

recommissioning by

Concessionaire

Date of Approval of

Authority for

recommissioning

Agreed date of

recommissioning

Clausewise Damages

Head/Clause of

Damages

Damages to be paid by Concessionaire Damages to be paid by Authority Final Status


Actual date of

recommissioning

Date Lane closure

Request sent to

Authority

Date of approval from

Authority / IE on Lane

Closure

Stretch of Lane closure Agreed date of re-

opening lane

Acutal date of re-

opening lane

Name of fee collector

and user fee list should

be displayed at the

collection point ?

Sufficient change / coins

should be available with

the toll collector ?

Addition fee for

overloaded vehicles ?

Overloading allowed to

pass through the toll

after paying the over

charged fee ?


Traffic Census

Bi-annual or annual

traffic survey

conducted by the Field

Authority ?

Monitoring O&M

Appropriation of Fee as

per MCA ?

Date of revision of fee New revised fee Fee exemption for local

traffic ?

Free use of service lane

?

Re-appropriation of

excess fee as per MCA ?

Status

Remedial measures

Advertising on the Site Force Majeure

No. of advertisements

Non compliant to normsLocations

Date of Notice to

Concessionaire forNature of advertisement Date of Removal Date of occurrence Type of Force Majeure

Nature of hindrance

due to Force Majeure


37/40

AuthorityTermination for failure to complete four-

laning within the specified period (Cl.

12.4.3

Setting up of Safety Fund (Cl. 18.2) Safety Fund set up as per

Concessionaire A reement ?

Date of Safety Fund set up ?

1 2

Disbursing Grant (Cls. 25.2 and 25.3) Date of Grant request fromConcessionaire

Recommended by IE ? Equity met ? Financing plan approved byAuthority ?

Date of Financingplan approval by

Authority

As per ConcessionaireAgreement

1 2 3 4 5 6

Issuing notice for a Force Majeure Event

(Cls. 34.5.1 and 34.5.2)

Need to issue notice for a Force

Majeure Event

Date of issuing notice for a Force

Majeure Event1 2

Taking action for Force Majeure after

Appointed Date (Cl. 34.6.2)

Allocation of costs arising out of Force

Majeure (Cl. 34.7)

Date of issue notice for a Force

Majeure Event

Allocation of Cost done as per

Concessionaire Agreement?

Costs arising out of Force

Majeure (INR)

1 2 3

Informing Concessionaire regarding

intention to terminate (Cl. 34.8)

Has termination been approved

by Authority ?

Informed Concessionaire regarding

intention to terminate ?

Date of informing

Concessionaire regarding

intention to terminate

Approved / Expected date of

termination

1 2 3 4

Termination Payment for Force

Majeure(Cl. 34.9)

Compensating for Additional Tollway/

Competing Road (Cl. 35.4)

Compensation as per

Concessionaire Agreement ?

Compensation recommended by IE

?

Compensation paid (INR) Escrow A/C utilized for payments

?

Status (if any)

1 2 3 4 5

Informing Concessionaire of intent to

terminate (Cl. 34.8)

Informing Lenders of the intent to

Terminate (Cl. 37.1.3)

Has termination been approved

by Authority ?

Informed Lenders regarding

intention to terminate ?

Date of informing Lenders

regarding intention to terminate

Approved / Expected date of

termination

1 2 3 4

Termination Payment for Authority

Default (Cls. 37.3.2 and 37.3.3)

Miscellaneous


38/40

Exercising rights and obligations upon

Termination (Cl. 37.4)

Issuing a Divestment Certificate (Cl.

38.3)

Divestment Certificate approved

by IE

Divestment Certificate approved by

Authority

Date of issue of Divestment

Certificate1 2 3

Adjusting the costs arising out of

Change in Law (Cl. 41.1)

Change in Law as per


Demand for costs arising out of

Change in Law raised by

Concessionaire ?

Date of demand from

Concessionaire

Cost adjustment recommended

by IE ?

Costs to be

adjusted (INR)

Escrow A/C utilized for

payments ?

Status (if any)

1 2 3 4 5 6 7

Complying with General Indemnityrequirements (Cl. 42.1)

Indemnification as perConcessionaire Agreement ?

1

Amicably resolving disputes (Cl. 44.1

and 44.2)

Any pending disputes not

amicably resolved ?

List of such disputes Cont act Person in Authority for

dispute

Status of each dispute

1 2 3 4

Any other observation, complaint or

suggestion

Observation, complaint or

suggestion received

Date of observation, complaint or

suggestion

Action / Response on the

observation, complaint or

suggestion

Status / Remarks (if any)

1 2 3 4

Suspension upon occurrence of

Concessionaire Default (Cl. 36.1)

Termination Payment for aConcessionaire Default (Cl. 37.3.1)

Termination Payment for Authority

Default (Cls. 37.3.2 and 37.3.3)

Exercising rights and obligations upon

Termination (Cl. 37.4)

Have rights and obligations been

exercised by Authority upon

Termination ?

Remarks (if any)

1 2

Is the complaint redressal mechanism

working satisfactorily (Cl. 46.2)

Is complaint redressal mechanism

working ?

Remarks (if any)

1 2

ConcessionaireCrediting the balance to the Safety Fund

(Cl. 16.3.2)

Credit due to excess of Traffic

related revenue collections or

differential from change in Scope

of work a ments

Credited the balance to the Safety

Fund ?

Amount credited (INR) Date of credit Status / Remarks

(if any)

1 2 3 4 5

Effecting and maintaining insurance

cover (Cls. 32.1 and 32.2)


39/40

Depositing and using the proceeds from

insurance claims Cl. 32.7

Maintaining books of accounts (Cl. 33.1) Have book of Accounts been

maintained as per Auditor's

Re ort ?

Date of receipt by NHAI of Auditor's

Report ?

1 2

Appointing Statutory Auditors (Cl.

33.2.1)

Date of Appointment of Statutory

Auditors

Name of Firm/Persons as Statutory

Auditors

Tenure for Statutory Auditors

1 2 3

Issuing notice for Force Majeure Event

(Cls. 34.5.1and 34.5.2)

Informing the Authority regarding

intent to Terminate Cl. 34.8

Complying with the Divestment

Requirements (Cl. 38.1)

Do Divestment requirements

comply as per Concessionaire

A reement ?1

Paying all costs incidental to divestment

(Cl. 38.5)

Costs incidental to

divestmentapproved by IE ?

Date of payment for all costs

incidental to divestment

Amount paid to Authority for

costs incidental to divestment

1 2 3

Paying to the Authority the benefits

arising out of Change in Law (Cl. 41.2)

Change in Law as per


Cost adjustment recommended by

IE ?

Costs to be adjusted (INR) Escrow A/C utilized for payments

?

Status (if any)

1 2 3 4 5

Complying with General Indemnity

requirements (Cls. 42.1 and 42.2)

Do Indemnity requirements

comply as per Concessionaire

A reement ?1

Allowing free access to the Site at all

times to the Authority (Cl. 43.2)

Is free access allowed to the Site

at all times to the Authority ?

1

Amicably resolving disputes (Cl. 44.1and

44.2)

Any pending disputes not

amicably resolved ?

List of such disputes Cont act Person in Authority for

dispute

Status of each dispute

1 2 3 4

Availability of Specified Documents and

documents for inspection (Cls. 45.1 and

45.2

Is there availability of Specified

Documents and documents for

ins ection ?

List of unavailable Specified

Documents and documents for

ins ection

Remarks (if any)

1 2 3


40/40

Maintaining public relations office and

Complaints Register (Cl. 46.1)

Have public relations office and

Complaints Register been

maintained as per Concessionaire

A reement1

Inspecting Complaints Register every

day and taking prompt and reasonable

action (Cl. 46.2)

Has Complaints Register been

inspected every day ?

Have prompt and reasonable action

been taken ?

Resolution status of Complaints

1 2 3

Any other observation, complaint or

suggestion

Observation, complaint or

suggestion received

Date of observation, complaint or

suggestion

Action / Response on the

observation, complaint or

suggestion

Status / Remarks (if any)

1 2 3 4