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 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 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 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




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 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





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





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




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


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




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



24 25 26 27 28 29 30 31 32 33 34

TAD prepared by Concessionaire Yes/ No




Date of application

Date of approval by Railway

Traffic Plan prepared by Concessionaire



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



Utility shifting plan prepared by Concessionaire

Date of Submision to 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)



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



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 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 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)



If waived(yes/no)



If waived(yes/no)



If waived(yes/no)



If waived(yes/no)

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



If waived(yes/no)



If waived(yes/no)



If waived(yes/no)



If waived(yes/no)



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





1 2 3 4 5 6 7 8 9 10 11





1 2 3 4 5 6 7 8 9 10 11





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


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


Current Status Permissions required Date of submission of application(s) for Permissions

Date of acquiring Permits


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


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)


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


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


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


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


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


Approved Shareholders' names


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


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 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 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


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


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




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




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


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


Status

11 12 13 14 15 16 17 18 19

Date of issue recording/reporting






Status

20 21 22 23 24 25 26 27 28







Status

29 30 31 32 33 34 35 36 37





Status

38 39 40 41 42 43 44 45 46







Status

47 48 49 50 51 52 53 54 55





Status

56 57 58 59 60 61 62 63 64







Status

65 66 67 68 69 70 71 72 73


Date of replacement Status Date of issue recording/reporting




Status

74 75 76 77 78 79 80 81 82







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


Status Edge drop at shoulders exceeding 40 mm



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







Status

92 93 94 95 96 97 98 99 100







Status

101 102 103 104 105 106 107 108 109







Status

110 111 112 113 114 115 116 117 118







Status

119 120 121 122 123 124 125 126 127







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 ?


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 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


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


1 2 3 4

ppp conditions precedent

Documents

acquiredexisting row

land acquisitionb

land acquisition2

row article

remarksissuesexisting

procured execution

financial model

environment clearance