Download - Ppp Conditions Precedent
S.No. PAGE No.1 CONDITIONS PRECEDENT OF AUTHORITY 12 LA1 23 LA2 3,44 FOREST CLEARANCE 55 ENVIRONMENT CLEARANCE 66 WILDLIFE CLEARANCE 7,87 ROB-RUB 98 RoW- Article 10 109 CONDITIONS PRECEDENT OF CONCESSIONAIRE 11
10 APPLICABLE PERMITS AS PER CONDITIONS PRECEDENT 1211 REPRESENTATION AND WARRANTIES 13, 1412 LEGAL OPINION BY CONCESSIONAIRE 1513 APPOINTMENT OF INDEPENDENT ENGINEER 1614 MONITORING OF CONSTRUCTION 17, 1815 APPOINT SAFETY CONSULTANT 1916 PERFORMANCE SECURITY 2017 FINANCIAL CLOSURE 21, 2218 CHANGE IN OWNERSHIP 2319 ESCROW ACCOUNT 2420 PAY DAMAGES TO AUTHORITY 2521 SUBSTITUTION AGREEMENTS 2622 COD 2723 O & M 28, 29, 30
INDEX
Conditions Precedent of Authority1. Provided to the Concessionaire the Right of Way to the Sitea. 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 them
5. 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 Concessionaire1. 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; and9. 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
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
Existing ROW + 3D of 80% 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
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
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
Existing ROW + 3D of 80% 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 entire stretch of Land to be acquired
Land already in Possession Total additional land to be acquired (Hec)
Length available for road development up to <Date>
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
Private Land (in Hact.) Govt. Land (in Hact.) Stretch covered (chainage) Date of submission 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
Private Land (in Hact.) Govt. Land (in Hact.) Stretch covered (chainage) Date of submission of related 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 <Date>
Cumulative progress up to <Date>
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
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 mutation Stretch 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
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
Trees enumerated Length on which enumeration done
Trees cut Length cleared in relation to affected length
51 52 53 54 55 56 57 58 59 60 61 62
Status of Grant of Stage-II clearance by MoEF
Date of Depositing the amount in CAMPA fund
Status of Enumeration
Expenditure on tree cutting
Status 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 handing over of diverted forest land
Fixed Fields
Order of State Govt.
Remarks
Date of forwarding the proposal to MoEF
Compliance of conditions laid down in Stage- I
Status of in principle approval
Date of consideration of proposal by MoEF
Date of sending replies / modified proposal to MoEF
Date of receipt of observations from MoEF
Amount to be deposited as per clearance conditions
Status of tree cutting In Diverted Area
Status of Enumeration Status of tree cutting In Diverted Area
Date of Forwarding of compliance by the State Govt. to MoEF
Fixed FieldsProject name / ID NH No. Length Stretch State PIU Scheduled Start date Scheduled End date1 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)
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. MOEF14 15 16 17 18 19 20 21 22 23 24 25 26
Date of Order of Hon’ble 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
Trees enumerated Length on which enumeration done
Trees cut Length cleared in relation to affected length
53 54 55 56 57 58 59 60 61 62
Date of filing Application to Hon’ble 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 Wildlife 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
No. of trees to be cut
Trees enumerated Length on which enumeration done
Trees cut Length cleared in relation to affected length
63 64 65 66 67 68 69
Status of tree cutting In Non-forest areaStatus of Enumeration Status of tree cutting In Diverted Area RemarksExpenditure on
tree cutting
From To
1 2 3 4 5 6 7 8 9 10 11 12 13
Date of application on charges deposition
Observations Reply to Railway 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
Reply by NHAI Date of approval by Railway
Date of application
Date of approval by Railway
Traffic Plan prepared by Concessionaire
Observation raised by Railway
Reply by NHAI Date of approval 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
Reply by NHAI Date of approval 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 BlockStatus of approval at Railways
Level Crossing Utility shiftingProgress % Likely date of
completionDetailed RemarksStatus of approval at Railways
Chainge NH km ROB/RUB ID No.RAILWAY OVER BRIDGE / RAILWAY UNDER BRIDGE
S. No. Name of Project PIU NH. No NH Section NHDP Phase State of Project Description of ROB/RUB
Zonal Railway 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
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
RemarksNo. of bus bays on LHS
No. of bus bays on RHS
bus bays not free from encumberance
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)
Appointed Date
Date of joint inspection (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 SiteS. No. Chainage (in Km)
Details of required landS. 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 encumberance
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 encumberance
Is the encumberance critical ?
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 submission of draft Substitution Agreement
Date of acceptance
Date of submission of Executed Agreement
Date of signing of Agreement
Date of submission of draft Financing Agreement
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 Concessionaire
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 Concessionaire
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 Concessionaire
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 Concessionaire
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 Concessionaire
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 Concessionaire
If waived(yes/no)
47 48 49 50 51 52 53 54 55 56 57 58 59 60 61 62 63
RemarksClearance 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 EPermission 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 ProjectsCondition Precedent of Concessionaire before Appointed Date
Sl. No. Name of the 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
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
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 Explosive license for storing diesel
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 License from inspection of factories
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 Sewage Lines and Water Mains:
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
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 shifting date
Cumulative Present Status
1 2 3 4 5 6 7 8 9 10 11
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 shifting date
Cumulative Present Status
1 2 3 4 5 6 7 8 9 10 11
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 shifting date
Cumulative Present Status
1 2 3 4 5 6 7 8 9 10 11
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 shifting date
Cumulative Present Status
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 concessionaire
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
1 2 3 4 5 6 7 8 9 10
Proprietary rights required
Date of submission of application(s) for rights
Date of acquiring Proprietary rights
Concerned Govt. Dept. / official involved
Current Status Agreements required Date of submission of application(s) for Agreements
Date of acquiring Agreements
Concerned Govt. Dept. / 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
Concerned Govt. Dept. / official involved
Current Status Permissions required Date of submission of application(s) for Permissions
Date of acquiring Permits
Concerned Govt. Dept. / 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 Permissions related transactional fields
Fixed Fields
Proprietary Rights, Licenses, Agreements and Permissions related transactional fields
Obligations (Concessionaire) - Article 5.1.4 (b) of Model Concession AgreementForm for Proprietary Rights, Licenses, Agreements and Permissions
Project name / ID NH No. Length Stretch State
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 NHAI
7.1 1 The concessionaire represents and warrants to Authority that Concessionairea It is duly organized and validly existing under the laws of India and has full power
and authority to execute and perform its obligationsConcessionaire
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 obligation under this agreement will be legally valid 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 applicable 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 shall at no time 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 will 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
Clause Sub clause Key Action Point Action Responsibility Date of Submission Date of Acceptance by Concessionaire
7.2 1 Represent and Warrant to Concessionaire NHAIa 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 NHAId This agreement constitutes a legal, valid, and binding obligation enforceable
against 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 government instrumentality.
NHAI
f It has complied with applicable laws in all material aspects. NHAIg It has right, power, and authority to manage and operate the project highway
upto the appointed dateNHAI
h It has good and valid 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 warranties are untrue or incorrect
NHAI/Concessionaire
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)
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
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
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
Date of submission of 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/Annuity Payment
Date of submission of 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 ReportingCasualties if anyFrequency of Events Delay caused to Force
Majeure event
Remarks on Milestones (If "N" responded to Milestones)
Date of Inspection by Engineer
Date of submission of 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
Date of submission of 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
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 RecordingDate of Submission of Video Recording by Concessionaire
Length covered in Video Recording
Stretch covered in Video Recording Number of sites covered in photos
Work Suspension
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 Commencement date
Scheduled Completion date
Safety Consultant's Contract amount 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
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
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 ? VISA 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
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
Date of submission of 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 Agreements Submission by Concessionnaire
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
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
Date of submission of 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
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
ProvidedInvokedEncashedTerminatedReleasedAppropriated (partial)ReplenishedReturned
Performance Security
(a) Performance Security (Cl. 4.1.3 (a) & Cl 9.1)
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
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 AgreementRetention of reservesDeposits & ReceiptsPayments from accountAppropriation 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
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 agreement
1 2 3 4 5 6 7 8 8 9 10
Shareholders' names
% of Shares held Face value of the shares held
Proposed Shareholders' names
% of Shares held Face value of the shares held
Approved Shareholders' names
% of Shares held Face value of the 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 Ownership
Revised Shareholding Pattern Proposed Revised Shareholding Pattern Approved Date of Approval of revised Shareholding names names
11 12 13 14 15 16 17 18 19 20 21 22 23
Ownership Shareholding pattern by NHAI
(Drop down) List of
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
Reasons for failure to achieve milestone (works)
Amount paid to Authority Date of payment Pending amount 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
Date of COD Expected Date of Project Completion
16 17 18 19 20 21 22
Reasons for failure to achieve Financial Close
Amount paid to Authority Date of payment Pending amount to be paid to Authority
23 24 25 26
Punch List items Value of Punch List items After 120 days 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 Punch List 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
Reasons for failure to rectify any defect or deficiency
Rectification demand date Cure Period Amount paid to Authority Date of demand sent 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
Date of payment Pending amount 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
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 AgreementInput Form for Substitution Agreement
Substitution Agreement Related Fields
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)
Date of submission of Banks' Sanction letter
Scheduled date of Financial Close (Normal)
Date of Financial Close with Extension
Date of Financial Close with Cost
Scheduled Appointed Date Scheduled COD Scheduled date prior to which Performance Security to be submitted
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
Current 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,ORCertification 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
4 Lenders' Agent
List of Documents
Disbursement conditions stand completely satisfied (list of Post-Disbursement conditions pending completion, to be part of this Certification)
4 Lenders' Agent Agreement
5 Deed of Hypothecation
6 Indenture of Mortgage
7 Mortgage Deed
8 Supplementary Escrow Agreement
9 Inter Creditor Agreement
10 Share Pledge Agreement
11 Sponsors' Support Agreement
12 Accession Deed13 Financial Package14 EPC Agreement15 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 PlanRefinancing
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
Appointed Date Conditions Precedent 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 Date
1 2 3 4 5 6 7 8 9 10
Date of Submission of PS
Date of Submission of Executed of Executed & Substitution Agreement
Date of procurement of Applicable permits
Date of submission of 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 Debt18 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 ObligationAppointed 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
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
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
Date & Time of repair / rectification
Status
11 12 13 14 15 16 17 18 19
Date of issue recording/reporting
Date of repair / rectification
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue recording/reporting
Date of repair / rectification
Status
47 48 49 50 51 52 53 54 55
Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status
56 57 58 59 60 61 62 63 64
Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date of issue 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
Status Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status
74 75 76 77 78 79 80 81 82
Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date of issue 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
Removal of debris Variation by more than 2% in the prescribed slope of camber/cross fall Hard/earth shoulders, side slopes, drains and culvertsDate & Time of issue recording/reporting
Date & Time of repair / rectification
Status Edge drop at shoulders exceeding 40 mm
Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Damage to shape or position; poor visibility or loss of retro-reflectivity Any major failure of the system
Street lighting and telecom (ATMS) Trees and plantation
Hard/earth shoulders, side slopes, drains and culvertsVariation by more than 15% in the prescribed side (embankment) slopes Rain cuts/gullies in slope Damage to or silting of culverts and side drains during and immediately
preceding the rainy season
Desilting of drains in urban/semi-urban areas Road side furniture including road signs and pavement marking Street lighting and telecom (ATMS)
Rest areas Toll plaza[s]Defects in electrical, water and sanitary installations Failure of toll collection equipment or lighting Damage to toll plaza
Faults and minor failures Obstruction in a minimum head-room of 5 m above carriageway or Deterioration in health of trees and bushes
Trees and plantation Rest areasReplacement of trees and bushes Removal of vegetation affecting sight line and road structures Cleaning of toilets
Date of issue recording/reporting
Date of repair / rectification
Status Date & Time of issue recording/reporting
Date & Time of repair / rectification
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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
Status Date of issue recording/reporting
Date of repair / rectification
Status Date of issue 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, Maintenance Requirements, Safety Requirements and Good Industry Practices
Status Notification by Concessionaire
Review By IE Suggestion Date of submission of Maintenance Programme to Authority
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 Highway?
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 ?
Status Date & Time of issue 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
Damage or deterioration in Approach Roads, -[pedestrian facilities, truck lay-bays, bus-bays, bus- shelters, cattle crossings, Traffic Aid Posts, Medical
Cracks - Temporary measures Cracks - Permanent measures
Superstructure of bridges Foundations of bridges Piers, abutments, return walls and wing walls of bridges
Other items relating to bridgesDamage 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 bridgesGathering 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
Date of reporting a decommissioning
Date & Time of issue 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 To178 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 ?
Date of submission of 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
Date of submission of Monthly Status Report by Concessionaire
for (Month) Date of Inspection by IE Date of Submission of Inspection report by IE
Conducted tests as per IE and MCA ?
Carried out remedial measures as per Maintenance Requirements/Manual / Programme ?
Month Reported Date of furnishing 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
Financial Impact Party Impacted227 228 229 230 231 232 233 234 235 236
Defect identified in O&M Inspection Report
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
Diversion or interruption of traffic Stretch 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
O&M Inspection Report
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 ?
Date of submission of 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 norms
Locations Date of Notice to Concessionaire for
Nature of advertisement Date of Removal Date of occurrence Type of Force Majeure Nature of hindrance due to Force Majeure
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 Agreement ?
Date of Safety Fund set up ?
1 2
Disbursing Grant (Cls. 25.2 and 25.3) Date of Grant request from Concessionaire
Recommended by IE ? Equity met ? Financing plan approved by Authority ?
Date of Financing plan approval by Authority
As per Concessionaire Agreement
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 Event
1 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
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 Certificate
1 2 3
Adjusting the costs arising out of Change in Law (Cl. 41.1)
Change in Law as per Concessionaire Agreement ?
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 Indemnity requirements (Cl. 42.1)
Indemnification as per Concessionaire Agreement ?1
Amicably resolving disputes (Cl. 44.1 and 44.2)
Any pending disputes not amicably resolved ?
List of such disputes Contact 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 a Concessionaire 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 payments
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)
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 Report ?
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 Agreement ?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 Concessionaire Agreement ?
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 Agreement ?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 Contact 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 inspection ?
List of unavailable Specified Documents and documents for inspection
Remarks (if any)
1 2 3
Maintaining public relations office and Complaints Register (Cl. 46.1)
Have public relations office and Complaints Register been maintained as per Concessionaire Agreement 1
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