NATIONAL HIGHWAYS AUTHORITY OF INDIA

REQUEST FOR PROPOSAL (RFP)

FOR

SELECTION OF

TECHNICAL CONSULTANT
FOR

PREPARATION OF ALIGNMENT CUM FEASIBILITY-

REPORT OF KANPUR-LUCKNOW EXPRESSWAY
EXPRESSWAY

Government of India
 DISCLAIMER

The information contained in this Request for Proposal document (“RFP”) or

subsequently provided to Applicants, whether verbally or in documentary or any other
form by or on behalf of the Authority or any of its employees or advisers, is provided to
Applicants on the terms and conditions set out in this RFP and such other terms and
conditions subject to which such information is provided.

This RFP is not an agreement and is neither an offer nor invitation by the Authority to
the prospective Applicants or any other person. The purpose of this RFP is to provide
interested parties with information that may be useful to them in the formulation of
their Proposals pursuant to this RFP. This RFP includes statements, which reflect
various assumptions and assessments arrived at by the Authority in relation to the
Consultancy. Such assumptions, assessments and statements do not purport to contain
all the information that each Applicant may require. This RFP may not be appropriate
for all persons, and it is not possible for the Authority, its employees or advisers to
consider the objectives, technical expertise and particular needs of each party who reads
or uses this RFP. The assumptions, assessments, statements and information contained
in this RFP, may not be complete, accurate, adequate or correct. Each Applicant should,
therefore, conduct its own investigations and analysis and should check the accuracy,
adequacy, correctness, reliability and completeness of the assumptions, assessments
and information contained in this RFP and obtain independent advice from appropriate
sources.

Information provided in this RFP to the Applicants is on a wide range of matters, some
of which depends upon interpretation of law. The information given is not an
exhaustive account of statutory requirements and should not be regarded as a complete
or authoritative statement of law. The Authority accepts no responsibility for the
accuracy or otherwise for any interpretation or opinion on the law expressed herein.

The Authority, its employees and advisers make no representation or warranty and shall
have no liability to any person including any Applicant under any law, statute, rules or
regulations or tort, principles of restitution or unjust enrichment or otherwise for any
loss, damages, cost or expense which may arise from or be incurred or suffered on
account of anything contained in this RFP or otherwise, including the accuracy,
adequacy, correctness, reliability or completeness of the RFP and any assessment,
assumption, statement or information contained therein or deemed to form part of this
RFP or arising in any way in this Selection Process.

The Authority also accepts no liability of any nature whether resulting from negligence
or otherwise however caused arising from reliance of any Applicant upon the
statements contained in this RFP.

The Authority may in its absolute discretion, but without being under any obligation to
do so, update, amend or supplement the information, assessment or assumption
contained in this RFP.

The issue of this RFP does not imply that the Authority is bound to select an Applicant
or to appoint the Selected Applicant, as the case may be, for the Consultancy and the
Authority reserves the right to reject all or any of the Proposals without assigning any
reasons whatsoever.

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Kanpur-Lucknow Expressway
The Applicant shall bear all its costs associated with or relating to the preparation and
submission of its Proposal including but not limited to preparation, copying, postage,
delivery fees, expenses associated with any demonstrations or presentations which may
be required by the Authority or any other costs incurred in connection with or relating
to its Proposal. All such costs and expenses will remain with the Applicant and the
Authority shall not be liable in any manner whatsoever for the same or for any other
costs or other expenses incurred by an Applicant in preparation or submission of the
Proposal, regardless of the conduct or outcome of the Selection Process.

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Kanpur-Lucknow Expressway
 GLOSSARY

Additional Costs As in Item H of Form-2 of Appendix-II

Agreement As defined in Schedule-2
Agreement Value As defined in Clause 6.1.2 of Schedule-2
Applicable Laws As defined in Schedule-2
Applicant As defined in Clause 2.1.1
Associate As defined in Clause 2.3.3
Authorised Representative As defined in Clause 2.13.3
Authority As defined in Clause 1.1.1
Bid Security As defined in Clause 2.20.1
Concession Agreement As defined in Clause 1.1.2
Concessionaire As defined in Clause 1.1.2
Conditions of Eligibility As defined in Clause 2.2.1
Conflict of Interest As defined in Clause 2.3.1
Consultancy As defined in Clause 1.2
Consultancy Team As defined in Clause 8 of Schedule-1
Consultant As defined in Clause 1.2
CV Curriculum Vitae
DBFOT Design, Build, Finance, Operate and Transfer
Deliverables As defined in Clause 4 of Schedule-1
Documents As defined in Clause 2.12
Effective Date As defined in Clause 2.1 of Schedule-2
Eligible Assignments As defined in Clause 3.1.4
Expatriate Personnel As defined in Clause 1.1.1(i) of Schedule-2
Feasibility Report or FR As specified in Clause 4(H) of Schedule-1
Financial Proposal As defined in Clause 2.15.1
Form of Agreement Form of Agreement as in Schedule-2
INR, Re, Rs. Indian Rupee(s)
Inception Report As specified in Clause 4(A) of Schedule-1
Key Date or KD As defined in Clause 6.2 of Schedule-1
Key Personnel As defined in Clause 2.1.4
Lead Member As defined in Clause 2.1.1
LOA Letter of Award
Lump Sum Payment As defined in Clause 11.2 of Schedule-1
Manual As defined in Clause 1.2 of Schedule-1

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MCA As defined in Clause 1.1.3
Member As defined in Clause 2.3.3(i)
Official Website As defined in Clause 1.11.2
Personnel As defined in Clause 1.1.1(m) of Schedule-2
PPP Public Private Partnership
Professional Personnel As defined in Clause 2.14.6
Prohibited Practices As defined in Clause 4.1
Project As defined in Clause 1.1.1
Project Manager As defined in Clause 4.6 of Schedule-2
Proposal As defined in Clause 1.2
Proposal Due Date or PDD As defined in Clauses 1.5 and 1.8
Resident Personnel As defined in Clause 1.1.1(o) of Schedule-2
RFP As defined in Disclaimer
Selected Applicant As defined in Clause 1.6
Selection Process As defined in Clause 1.6
Services As defined in Clause 1.1.1(q) of Schedule-2
Sole Firm As defined in Clause 2.1.1
Statement of Expenses As defined in Note 13, Form-2 of Appendix-II
Statutory Auditor An Auditor appointed under Applicable Laws
Sub-Consultant As defined in Clause 1.1.1(r) of Schedule-2
Support Personnel As defined in Clause 2.14.6
Team Leader As defined in Clause 2.1.4
Technical Proposal As defined in Clause 2.14.1
TOR As defined in Clause 1.1.3
US$ United States Dollar
WG As defined in Clause 9.1 of Schedule-1

The words and expressions beginning with capital letters and defined in this document
shall, unless repugnant to the context, have the meaning ascribed thereto herein.

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 TABLE OF CONTENTS

S. Contents Page No.

No.

Disclaimer
Glossary
1 Introduction
2 Instructions to Applicants
A. General
B. Documents
C. Preparation and Submission of Proposal
D. Evaluation Process
E. Appointment of Consultant
3 Criteria for Evaluation
4 Fraud and corrupt practices
5 Pre-Proposal Conference
6 Miscellaneous

Schedules
1 Terms of Reference

2 Form of Agreement
Annex-1: Terms of Reference
Annex-2: Deployment of Personnel
Annex-3: Estimate of Personnel Costs
Annex-4: Approved Sub-Consultant(s)
Annex-5: Cost of Services
Annex-6: Payment Schedule
Annex-7: Bank Guarantee for Performance Security
3 Guidance Note on Conflict of Interest

Appendices

1 Appendix-I: Technical Proposal

Form 1: Letter of Proposal

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 Form 2: Particulars of the Applicant
Form 3: Statement of Legal Capacity
Form 4: Power of Attorney
Form 5: Financial Capacity of Applicant
Form 6: Particulars of Key Personnel
Form 7: Proposed Methodology and Work Plan
Form 8: Experience of Applicant
Form 9: Experience of Key Personnel
Form 10: Eligible Assignments of Applicant
Form 11: Eligible Assignments of Key Personnel
Form 12: CV of Key Personnel
Form 13: Deployment of Personnel
Form 14: Survey and Field Investigations
Form 15: Proposal for Sub-Consultant(s)

2 Appendix-II Financial Proposal

Form 1: Covering Letter
Form 2: Financial Proposal
Form 3: Estimate of Personnel Costs

3 Appendix-III List of Bid Specific Clauses

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 Request for Proposal

1. INTRODUCTION

1.1 Background

1.1.1 The National Highways Authority of India, represented by the Chairman (the
“Authority”) is engaged in the development of national highways and as part
of this endeavour, the Authority has decided to construct a six or more lanes
expressway between Kanpur-Lucknow Expressway, having an approximate
length of 75 km (the “Project”) including spurs through Public Private
Partnership (the “PPP”) on Design, Build, Finance, Operate and Transfer (the
"DBFOT") basis. The indicative cost of the Project is Rs. 2,400 cr. (Rupees
one thousand three hundred crore).

1.1.2 With a view to inviting bids for the Project, the Authority has decided to
conduct a feasibility study for determining the technical feasibility and
financial viability of the Project. If found technically feasible and financially
viable, the Project may be awarded on DBFOT basis to a private entity (the
“Concessionaire”) selected through a competitive bidding process. The
Project would be implemented in accordance with the terms and conditions
stated in the concession agreement to be entered into between the Authority
and the Concessionaire (the “Concession Agreement”).

1.1.3 In pursuance of the above, the Authority has decided to carry out the process
for selection of a Technical Consultant, a Financial Consultant and a Legal
Adviser for preparing the Feasibility Report and bid documents. The Financial
Consultant will develop the revenue model and assist the Authority in the
bidding process. The Legal Adviser will review the draft concession
agreement based on the Model Concession Agreement for National Highways
through Public Private Partnership (the “MCA”). The Technical Consultant
shall prepare the Feasibility Report in accordance with the Terms of Reference
specified at Schedule-1 (the “TOR”).

1.2 Request for Proposal

The Authority invites Proposals (the “Proposals”) for selection of a Technical

Consultant (the “Consultant”) who shall prepare a Feasibility Report for
development of the Project. The Feasibility Report shall include traffic and
engineering surveys, alignment study, land plans and preliminary design of
geometrics, pavement, structures, safety devices, toll plazas, project facilities
etc. in conformity with the TOR (collectively the “Consultancy”).

The Authority intends to select the Consultant through an open competitive

bidding in accordance with the procedure set out herein.

1.3 Due diligence by Applicants

Applicants are encouraged to inform themselves fully about the assignment
and the local conditions before submitting the Proposal by paying a visit to the
Authority and the Project site, sending written queries to the Authority, and
attending a Pre-Proposal Conference on the date and time specified in Clause
1.10.
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1.4 Sale of RFP Document

RFP document can be obtained between 1100 hrs and 1600 hrs on all working
days on payment of a fee of Rs. 1,000 (Rupees one thousand only) in the form
of a demand draft or banker’s cheque drawn on any Scheduled Bank in India
in favour of National Highways Authority of India and payable at New
Delhi. The document can also be downloaded from the Official Website of the
Authority. In case of a downloaded form, the Applicant need not deposit the
aforesaid fee.

1.5 Validity of the Proposal

The Proposal shall be valid for a period of not less than 90 days from the
Proposal Due Date (the “PDD”).

1.6 Brief description of the Selection Process

The Authority has adopted a two stage selection process (collectively the
“Selection Process”) in evaluating the Proposals comprising technical and
financial bids to be submitted in two separate sealed envelopes. In the first
stage, a technical evaluation will be carried out as specified in Clause 3.1.
Based on this technical evaluation, a list of short-listed applicants shall be
prepared as specified in Clause 3.2. In the second stage, a financial evaluation
will be carried out as specified in Clause 3.3. Proposals will finally be ranked
according to their combined technical and financial scores as specified in
Clause 3.4. The first ranked Applicant shall be selected for negotiation (the
“Selected Applicant”) while the second ranked Applicant will be kept in
reserve.

1.7 Currency conversion rate and payment

1.7.1 For the purposes of technical evaluation of Applicants, Rs. 60 per US$ shall
be considered as the applicable currency conversion rate. In case of any other
currency, the same shall first be converted to US$ as on the date 60 (sixty)
days prior to the Proposal Due Date, and the amount so derived in US$ shall
be converted into INR at the aforesaid rate. The conversion rate of such
currencies shall be the daily representative exchange rates published by the
International Monetary Fund for the relevant date.

1.7.2 All payments to the Consultant shall be made in INR in accordance with the
provisions of this RFP. The Consultant may convert INR into any foreign
currency as per Applicable Laws and the exchange risk, if any, shall be borne
by the Consultant.

1.8 Schedule of Selection Process

The Authority would endeavour to adhere to the following schedule:

Event Description Date

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 Request for Proposal

1. Last date for receiving 25.05.2016

queries/clarifications
2. Pre-Proposal Conference 26.05.2016 (1100 hrs) at NHAI HQ, New Delhi
3. Authority response to queries 03.06.2016
4. Proposal Due Date or PDD 17.06.2016 (upto 1100 hrs)
5. Opening of Proposals 17.06.2016 (upto 1130 hrs)
6. Letter of Award (LOA) [Within 15 days of PDD]
7. Signing of Agreement Within 10 days of LOA
8. Validity of Applications 90 days of Proposal Due Date

1.9 Pre-Proposal visit to the Site and inspection of data

Prospective applicants may visit the Site and review the available data at any
time prior to PDD. For this purpose, they will provide at least two days’ notice
to the nodal officer specified below:

Shri Shashank Kumar, General Manager (Expressway)

National Highways Authority of India (NHAI)
G-5 & G-6, Sector-10, Dwarka,
New Delhi - 110 075
Tel: 011 25074100 (Extn. 1365); Fax: 011 25093536

Email: kumarshashank@nhai.org, website: http://www.nhai.org

1.10 Pre-Proposal Conference

The date, time and venue of Pre-Proposal Conference shall be:
Date: ____.2016
Time: 1100 hrs
Venue: NHAI HQ, New Delhi

1.11 Communications

1.11.1 All communications including the submission of Proposal should be addressed to:

Shri Shashank Kumar, General Manager (Expressway)

National Highways Authority of India (NHAI)
G-5 & G-6, Sector-10, Dwarka,
New Delhi - 110 075
Tel: 011 25074100 (Extn. 1365); Fax: 011 25093536
EMAIL: kumarshashank@nhai.org, WEBSITE: http://www.nhai.org

The Official Website of the Authority is:http://www.nhai.org

1.11.3 All communications, including the envelopes, should contain the following
information, to be marked at the top in bold letters:

RFP Notice No. NHAI/RFP/KL Expressway/2016

FEASIBILITY REPORT

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PREPARATION OF FEASIBILITY- REPORT OF KANPUR-LUCKNOW

EXPRESSWAY

1.12 Substitution of Authority

The Authority may, in its discretion, transfer all its rights and obligations
hereunder to the Ministry of Road Transport & Highways (MoRTH) and in
that event the MoRTH shall be deemed to be the Authority.

1.13 The RFP shall be received through “INFRACON” (www.infracon.nic.in). As

such before submitting the proposal the Consultant shall mandatorily register
and enlist themselves (the firm and all key personnel), on the MoRTH portal
“INFRACON” and furnish registration details alognwith its RFP. A copy of
Infracon Operation Procedure is also enclosed for bidder’s reference.

All the bidders registered on Infracon shall form a Team on Infracon and
which would be assigned unique Infracon Team ID. Bidders while submitting
the proposal shall quote the Infracon Team ID.

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2. INSTRUCTIONS TO APPLICANTS

A. GENERAL

2.1 Scope of Proposal

2.1.1 Detailed description of the objectives, scope of services, Deliverables and

other requirements relating to this Consultancy are specified in this RFP. In
case an applicant firm possesses the requisite experience and capabilities
required for undertaking the Consultancy, it may participate in the Selection
Process either individually (the “Sole Firm”) or as lead member of a
consortium of firms (the “Lead Member”) in response to this invitation. The
term applicant (the “Applicant”) means the Sole Firm or the Lead Member, as
the case may be. The manner in which the Proposal is required to be
submitted, evaluated and accepted is explained in this RFP.

2.1.2 Applicants are advised that the selection of Consultant shall be on the basis of
an evaluation by the Authority through the Selection Process specified in this
RFP. Applicants shall be deemed to have understood and agreed that no
explanation or justification for any aspect of the Selection Process will be
given and that the Authority’s decisions are without any right of appeal
whatsoever.

2.1.3 The Applicant shall submit its Proposal in the form and manner specified in
this Part-2 of the RFP. The Technical proposal shall be submitted in the form
at Appendix-I and the Financial Proposal shall be submitted in the form at
Appendix-II. Upon selection, the Applicant shall be required to enter into an
agreement with the Authority in the form specified at Schedule-2.

2.1.4 Key Personnel

The Consultancy Team shall consist of the following key personnel (the “Key
Personnel”) who shall discharge their respective responsibilities as specified
below:

Key Personnel Responsibilities

Senior Highway Engineer - He will lead, co-ordinate and supervise the
cum - Team Leader (the multidisciplinary team for preparation of the
“Team Leader”) Feasibility Report. He shall spend at least 45
(forty five) days at the Project site.
Bridge Engineer He will be responsible for suggesting options
for provision of bridges and other structures.
He shall spend at least 45(forty five) days at
the Project site.
Traffic – cum – Safety He will be responsible for assessment of
Expert traffic forecast on the project highway and
suggesting broad layout of intersections,
interchanges, grade separators and safety
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devices. He shall spend at least 45(forty five)

days at the Project site.
Surveyor He will be responsible for quick traverse
survey of the alignment and preparing land
plans of the project highway. He shall spend
at least 90 (ninety) days at the Project site.
Financial Analyst He will be responsible for financial analysis
and modeling of the proposed Project. He
shall spend at least 15(fifteen) days at the
Project site.
Pavements Specialist He will be responsible for design of
rigid/flexible pavement on the project
highway and suggesting any new technology
involved in design/construction of rigid/
flexible pavements. He shall spend at least
25 (twenty five) days at the Project site.

Environmental Expert He will be responsible for Environmental

Impact Assessment of the Project. He shall
spend at least 25 (twenty five) days at the
Project site
Senior GIS Expert He will be responsible for suggesting options
for alignment by studying the Satellite
imageries and Digital Terrain Model. He
shall spend at least 30 (thirty) days at the
Project site.

2.2 Conditions of Eligibility of Applicants

2.2.1 Applicants must read carefully the minimum conditions of eligibility (the
“Conditions of Eligibility”) provided herein. Proposals of only those
Applicants who satisfy the Conditions of Eligibility will be considered for
evaluation.

2.2.2 To be eligible for evaluation of its Proposal, the Applicant shall fulfil the
following:

(A) Technical Capacity: The Applicant shall have, over the past 5 (five) years
preceding the PDD, undertaken a minimum of 1 (one) Eligible Assignments as
specified in Clause 3.1.4.

(B) Financial Capacity: The Applicant shall have received a minimum income of
Rs.48 crore (Forty Eight Crore ) or US $ 24 million (Twenty Four Million)
per annum from professional fees during each of the 3 (three) financial years
preceding the Proposal Due Date. For the purpose of evaluation, Applicants
having comparatively larger revenues from professional fees shall be given
added weightage. For the avoidance of doubt, professional fees hereunder

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refers to fees received by the Applicant for providing advisory or consultancy

services to its clients.

(C) Availability of Key Personnel: The Applicant shall offer and make available
all Key Personnel meeting the requirements specified in sub-clause (D) below.

(D) Conditions of Eligibility for Key Personnel: Each of the Key Personnel
must fulfil the Conditions of Eligibility1 specified below:

Key Personnel Educational Length of Experience on Eligible

Qualification Professional Assignments
Experience

Senior Highway Graduate in 15 years He should have led the

Engineer – cum Civil feasibility study teams
- Team leader Engineering for one Eligible
Assignments.
Bridge Engineer Post-Graduate 7 years He should have worked
in Civil as a Bridge Engineer for
Engineering one Eligible
Assignments.
Traffic - cum- Post Graduate 7 years He should have worked
Safety Expert in Traffic and/ as a Traffic/
or Transportation Engineer/
Transportation Planner for one Eligible
Engineering/ Assignments.
Planning
Surveyor Diploma in 7 years He should have worked
Surveying or as Surveyor for one
Graduate/Diplo Eligible Assignments.
ma in Civil
Engineering
Financial Post Graduate 7 years He should have
Analyst in Commerce/ undertaken financial
Chartered analysis and modelling
Accountant or for one Eligible
equivalent Assignments.
Pavement Post-Graduate 7 years He should have worked
Specialist /Graduate in as a Pavements
Civil Specialist for one
Engineering Eligible Assignments.
7 years He should have led the
environmental impact
Environmental assessment teams or
Graduate in worked as a sole expert
Expert

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Civil for one Eligible

Engineering Assignments.
/Masters/
Bachelor in
Environmental
Science or
equivalent
Senior GIS Graduate in any 5 years in the He should have worked
Expert branch of relevant field as a GIS Expert for one
Engineering or Eligible Assignments.
Post Graduate
in Geography,
Geology with
GIS
Applications as
one of the main
subjects.

2.2.3 The Applicant shall enclose with its Proposal, certificate(s) from its Statutory
Auditors$ stating its total revenues from professional fees during each of the
past three financial years and the fee received in respect of each of the Eligible
Assignments specified in the Proposal. In the event that the Applicant does not
have a statutory auditor, it shall provide the requisite certificate(s) from the
firm of Chartered Accountants that ordinarily audits the annual accounts of the
Applicant.

2.2.4 The Applicant should submit a Power of Attorney as per the format at Form-4
of Appendix-I; provided, however, that such Power of Attorney would not be
required if the Application is signed by a partner of the Applicant, in case the
Applicant is a partnership firm or limited liability partnership.

2.2.5 Any entity which has been barred by the Central Government, any State
Government, a statutory authority or a public sector undertaking, as the case
may be, from participating in any project, and the bar subsists as on the date of
Proposal, would not be eligible to submit a Proposal either by itself or through
its Associate.

2.2.6 An Applicant or its Associate should have, during the last three years, neither
failed to perform on any agreement, as evidenced by imposition of a penalty
by an arbitral or judicial authority or a judicial pronouncement or arbitration
award against the Applicant or its Associate, nor been expelled from any
project or agreement nor have had any agreement terminated for breach by
such Applicant or its Associate.

2.2.7 While submitting a Proposal, the Applicant should attach clearly marked and
referenced continuation sheets in the event that the space provided in the
specified forms in the Appendices is insufficient. Alternatively, Applicants

$
No separate annual financial statements should be submitted.
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may format the specified forms making due provision for incorporation of the
requested information.

2.3 Conflict of Interest

2.3.1 An Applicant shall not have a conflict of interest that may affect the Selection
Process or the Consultancy (the “Conflict of Interest”). Any Applicant found
to have a Conflict of Interest shall be disqualified. In the event of
disqualification, the Authority shall forfeit and appropriate the Bid Security as
mutually agreed genuine pre-estimated compensation and damages payable to
the Authority for, inter alia, the time, cost and effort of the Authority
including consideration of such Applicant’s Proposal, without prejudice to any
other right or remedy that may be available to the Authority hereunder or
otherwise.

2.3.2 The Authority requires that the Consultant provides professional, objective,
and impartial advice and at all times hold the Authority’s interests paramount,
avoid conflicts with other assignments or its own interests, and act without any
consideration for future work. The Consultant shall not accept or engage in
any assignment that would be in conflict with its prior or current obligations to
other clients, or that may place it in a position of not being able to carry out
the assignment in the best interests of the Authority.

2.3.3 Some guiding principles for identifying and addressing Conflicts of Interest
have been illustrated in the Guidance Note at Schedule-3. Without limiting the
generality of the above, an Applicant shall be deemed to have a Conflict of
Interest affecting the Selection Process, if:

(a) the Applicant, its consortium member (the “Member”) or Associate

(or any constituent thereof) and any other Applicant, its consortium
member or Associate (or any constituent thereof) have common
controlling shareholders or other ownership interest; provided that this
disqualification shall not apply in cases where the direct or indirect
shareholding or ownership interest of an Applicant, its Member or
Associate (or any shareholder thereof having a shareholding of more
than 5% (five per cent) of the paid up and subscribed share capital of
such Applicant, Member or Associate, as the case may be) in the other
Applicant, its consortium member or Associate is less than 5 per cent
of the subscribed and paid up equity share capital thereof; provided
further that this disqualification shall not apply to any ownership by a
bank, insurance company, pension fund or a public financial institution
referred to in section 4A of the Companies Act, 1956. For the purposes
of this Clause 2.3.3(a), indirect shareholding held through one or more
intermediate persons shall be computed as follows: (aa) where any
intermediary is controlled by a person through management control or
otherwise, the entire shareholding held by such controlled intermediary
in any other person (the “Subject Person”) shall be taken into account
for computing the shareholding of such controlling person in the
Subject Person; and (bb) subject always to sub-clause (aa) above,
where a person does not exercise control over an intermediary, which
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has shareholding in the Subject Person, the computation of indirect

shareholding of such person in the Subject Person shall be undertaken
on a proportionate basis; provided, however, that no such shareholding
shall be reckoned under this sub-clause (bb) if the shareholding of such
person in the intermediary is less than 26% (twenty six per cent) of the
subscribed and paid up equity shareholding of such intermediary; or

(b) a constituent of such Applicant is also a constituent of another

Applicant; or

(c) such Applicant or its Associate receives or has received any direct or
indirect subsidy or grant from any other Applicant or its Associate; or

(d) such Applicant has the same legal representative for purposes of this
Application as any other Applicant; or

(e) such Applicant has a relationship with another Applicant, directly or

through common third parties, that puts them in a position to have
access to each others’ information about, or to influence the
Application of either or each of the other Applicant; or

(f) there is a conflict among this and other consulting assignments of the
Applicant (including its personnel and Sub-consultant) and any
subsidiaries or entities controlled by such Applicant or having common
controlling shareholders. The duties of the Consultant will depend on
the circumstances of each case. While providing consultancy services
to the Authority for this particular assignment, the Consultant shall not
take up any assignment that by its nature will result in conflict with the
present assignment; or

(g) a firm which has been engaged by the Authority to provide goods or
works or services for a project, and its Associates, will be disqualified
from providing consulting services for the same project save and
except as provided in Clause 2.3.4; conversely, a firm hired to provide
consulting services for the preparation or implementation of a project,
and its Members or Associates, will be disqualified from subsequently
providing goods or works or services related to the same project; or

(h) the Applicant, its Member or Associate (or any constituent thereof),
and the bidder or Concessionaire, if any, for the Project, its
contractor(s) or sub-contractor(s) (or any constituent thereof) have
common controlling shareholders or other ownership interest; provided
that this disqualification shall not apply in cases where the direct or
indirect shareholding or ownership interest of an Applicant, its
Member or Associate (or any shareholder thereof having a
shareholding of more than 5% (five per cent) of the paid up and
subscribed share capital of such Applicant, Member or Associate, as
the case may be,) in the bidder or Concessionaire, if any, or its
contractor(s) or sub-contractor(s) is less than 5% (five per cent) of the
paid up and subscribed share capital of such Concessionaire or its

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 Request for Proposal

contractor(s) or sub-contractor(s); provided further that this

disqualification shall not apply to ownership by a bank, insurance
company, pension fund or a Public Financial Institution referred to in
section 4A of the Companies Act, 1956. For the purposes of this sub-
clause (h), indirect shareholding shall be computed in accordance with
the provisions of sub-clause (a) above.

For purposes of this RFP, Associate means, in relation to the Applicant, a

person who controls, is controlled by, or is under the common control with
such Applicant (the “Associate”). As used in this definition, the expression
“control” means, with respect to a person which is a company or
corporation, the ownership, directly or indirectly, of more than 50% (fifty
per cent) of the voting shares of such person, and with respect to a person
which is not a company or corporation, the power to direct the management
and policies of such person by operation of law or by contract.

2.3.4 An Applicant eventually appointed to provide Consultancy for this Project,

and its Associates, shall be disqualified from subsequently providing goods or
works or services related to the construction and operation of the same Project
and any breach of this obligation shall be construed as Conflict of Interest;
provided that the restriction herein shall not apply after a period of 5 (five)
years from the completion of this assignment or to consulting assignments
granted by banks/ lenders at any time; provided further that this restriction
shall not apply to consultancy/ advisory services performed for the Authority
in continuation of this Consultancy or to any subsequent consultancy/ advisory
services performed for the Authority in accordance with the rules of the
Authority. For the avoidance of doubt, an entity affiliated with the Consultant
shall include a partner in the Consultant’s firm or a person who holds more
than 5% (five per cent) of the subscribed and paid up share capital of the
Consultant, as the case may be, and any Associate thereof.

2.4 Number of Proposals

No Applicant or its Associate shall submit more than one Application for the
Consultancy. An Applicant applying individually or as an Associate shall not
be entitled to submit another application either individually or as a member of
any consortium, as the case may be.

2.5 Cost of Proposal

The Applicants shall be responsible for all of the costs associated with the
preparation of their Proposals and their participation in the Selection Process
including subsequent negotiation, visits to the Authority, Project site etc. The
Authority will not be responsible or in any way liable for such costs,
regardless of the conduct or outcome of the Selection Process.

2.6 Site visit and verification of information

Applicants are encouraged to submit their respective Proposals after visiting

the Project site and ascertaining for themselves the site conditions, traffic,
location, surroundings, climate, access to the site, availability of drawings and
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 Request for Proposal

other data with the Authority, Applicable Laws and regulations or any other
matter considered relevant by them. Visits shall be organised for the benefit of
prospective Applicants on dates, time and venue as specified in Clause 1.9.

2.7 Acknowledgement by Applicant

2.7.1 It shall be deemed that by submitting the Proposal, the Applicant has:

(a) made a complete and careful examination of the RFP;

(b) received all relevant information requested from the Authority;

(c) acknowledged and accepted the risk of inadequacy, error or mistake in

the information provided in the RFP or furnished by or on behalf of the
Authority or relating to any of the matters referred to in Clause 2.6
above;

(d) satisfied itself about all matters, things and information, including
matters referred to in Clause 2.6 herein above, necessary and required for
submitting an informed Application and performance of all of its
obligations thereunder;

(e) acknowledged that it does not have a Conflict of Interest; and

(f) agreed to be bound by the undertaking provided by it under and in terms

hereof.

2.7.2 The Authority shall not be liable for any omission, mistake or error on the part
of the Applicant in respect of any of the above or on account of any matter or
thing arising out of or concerning or relating to RFP or the Selection Process,
including any error or mistake therein or in any information or data given by
the Authority.

2.8 Right to reject any or all Proposals

2.8.1 Notwithstanding anything contained in this RFP, the Authority reserves the
right to accept or reject any Proposal and to annul the Selection Process and
reject all Proposals, at any time without any liability or any obligation for such
acceptance, rejection or annulment, and without assigning any reasons thereof.

2.8.2 Without prejudice to the generality of Clause 2.8.1, the Authority reserves the
right to reject any Proposal if:

(a) at any time, a material misrepresentation is made or discovered, or

(b) the Applicant does not provide, within the time specified by the Authority,
the supplemental information sought by the Authority for evaluation of
the Proposal.

Misrepresentation/ improper response by the Applicant may lead to the

disqualification of the Applicant. If the Applicant is the Lead Member of a

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consortium, then the entire consortium may be disqualified / rejected. If such

disqualification / rejection occurs after the Proposals have been opened and
the highest ranking Applicant gets disqualified / rejected, then the Authority
reserves the right to consider the next best Applicant, or take any other
measure as may be deemed fit in the sole discretion of the Authority, including
annulment of the Selection Process.

B. DOCUMENTS

2.9 Contents of the RFP

2.9.1 This RFP comprises the Disclaimer set forth hereinabove, the contents as
listed below and will additionally include any Addendum / Amendment issued
in accordance with Clause 2.11:

Request for Proposal

1 Introduction
2 Instructions to Applicants
3 Criteria for Evaluation
4 Fraud and corrupt practices
5 Pre-Proposal Conference
6 Miscellaneous

Schedules
1 Terms of Reference
2 Form of Agreement
Annex-1: Terms of Reference
Annex-2: Deployment of Personnel
Annex-3: Estimate of Personnel Costs
Annex-4: Approved Sub-Consultant(s)
Annex-5: Cost of Services
Annex-6: Payment Schedule
Annex-7: Bank Guarantee for Performance Security

3 Guidance Note on Conflict of Interest

Appendices

Appendix-I: Technical Proposal

Form 1: Letter of Proposal
Form 2: Particulars of the Applicant
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 Request for Proposal

Form 3: Statement of Legal Capacity

Form 4: Power of Attorney
Form 5: Financial Capacity of Applicant
Form 6: Particulars of Key Personnel
Form 7: Proposed Methodology and Work Plan
Form 8: Abstract of Eligible Assignments of Applicant
Form 9: Abstract of Eligible Assignments of Key Personnel
Form 10: Eligible Assignments of Applicant
Form 11: Eligible Assignments of Key Personnel
Form 12: CV of Key Personnel
Form 13: Deployment of Personnel
Form 14: Survey and Field Investigations
Form 15: Proposal for Sub-Consultant(s)

Appendix–II: Financial Proposal

Form 1: Covering Letter
Form 2: Financial Proposal
Form 3: Estimate of Personnel Costs

2.10 Clarifications

2.10.1 Applicants requiring any clarification on the RFP may send their queries to the
Authority in writing before the date mentioned in the Schedule of Selection
Process at Clause 1.8. The envelopes shall clearly bear the following
identification:

"Queries/Request for Additional Information concerning RFP for............"

The Authority shall endeavour to respond to the queries within the period
specified therein but not later than 7 (seven) days prior to the Proposal Due
Date. The responses will be sent by fax or e-mail. The Authority will post the
reply to all such queries on the Official Website and copies thereof will also be
circulated to all Applicants who have purchased the RFP document without
identifying the source of queries.

2.10.2 The Authority reserves the right not to respond to any questions or provide
any clarifications, in its sole discretion, and nothing in this Clause 2.10 shall
be construed as obliging the Authority to respond to any question or to provide
any clarification.

2.11 Amendment of RFP

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2.11.1 At any time prior to the deadline for submission of Proposal, the Authority
may, for any reason, whether at its own initiative or in response to
clarifications requested by an Applicant, modify the RFP document by the
issuance of Addendum/ Amendment and posting it on the Official Website
and by conveying the same to the prospective Applicants (who have purchased
the RFP document) by fax or e-mail.

2.11.2 All such amendments will be notified in writing through fax or e-mail to all
Applicants who have purchased the RFP document. The amendments will also
be posted on the Official Website along with the revised RFP containing the
amendments and will be binding on all Applicants.

2.11.3 In order to afford the Applicants a reasonable time for taking an amendment
into account, or for any other reason, the Authority may, in its sole discretion,
extend the Proposal Due Date$.

C. PREPARATION AND SUBMISSION OF PROPOSAL

2.12 Language

The Proposal with all accompanying documents (the “Documents”) and all
communications in relation to or concerning the Selection Process shall be in
English language and strictly on the forms provided in this RFP. No
supporting document or printed literature shall be submitted with the Proposal
unless specifically asked for and in case any of these Documents is in another
language, it must be accompanied by an accurate translation of the relevant
passages in English, in which case, for all purposes of interpretation of the
Proposal, the translation in English shall prevail.

2.13 Format and signing of Proposal

2.13.1 The Applicant shall provide all the information sought under this RFP. The
Authority would evaluate only those Proposals that are received in the
specified forms and complete in all respects.

2.13.2 The Applicant shall prepare one original set of the Proposal (together with
originals/ copies of Documents required to be submitted along therewith
pursuant to this RFP) and clearly marked “ORIGINAL”. In addition, the
Applicant shall submit 2 (two) copies of the Proposal, alongwith Documents,
marked “COPY”. In the event of any discrepancy between the original and its
copies, the original shall prevail.

2.13.3 The Proposal and its copy shall be typed or written in indelible ink and signed
by the authorised signatory of the Applicant who shall initial each page, in
blue ink. In case of printed and published Documents, only the cover shall be
initialled. All the alterations, omissions, additions, or any other amendments

$
While extending the Proposal Due Date on account of an addendum, the Authority shall have due
regard for the time required by bidders to address the amendments specified therein. In the case of
significant amendments, at least 15 (fifteen) days shall be provided between the date of amendment and
the Proposal Due Date, and in the case of minor amendments, at least 7 (seven) days shall be provided.
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made to the Proposal shall be initialled by the person(s) signing the Proposal.
The Proposals must be properly signed by the authorised representative (the
“Authorised Representative”) as detailed below:

(a) by the proprietor, in case of a proprietary firm; or

(b) by a partner, in case of a partnership firm and/or a limited liability

partnership; or

(c) by a duly authorised person holding the Power of Attorney, in case of a

Limited Company or a corporation; or

(d) by the authorised representative of the Lead Member, in case of

consortium.

A copy of the Power of Attorney certified under the hands of a partner or

director of the Applicant and notarised by a notary public in the form specified
in Appendix-I (Form-4) shall accompany the Proposal.

2.13.4 Applicants should note the Proposal Due Date, as specified in Clause 1.8, for
submission of Proposals. Except as specifically provided in this RFP, no
supplementary material will be entertained by the Authority, and that
evaluation will be carried out only on the basis of Documents received by the
closing time of Proposal Due Date as specified in Clause 2.17.1. Applicants
will ordinarily not be asked to provide additional material information or
documents subsequent to the date of submission, and unsolicited material if
submitted will be summarily rejected. For the avoidance of doubt, the
Authority reserves the right to seek clarifications under and in accordance with
the provisions of Clause 2.23.

2.14 Technical Proposal

2.14.1 Applicants shall submit the technical proposal in the formats at Appendix-I
(the “Technical Proposal”).

2.14.2 While submitting the Technical Proposal, the Applicant shall, in particular,
ensure that:

(a) The Bid Security is provided;

(b) all forms are submitted in the prescribed formats and signed by the
prescribed signatories;

(c) Power of Attorney, if applicable, is executed as per Applicable Laws;

(d) CVs of all Professional Personnel have been included;

(e) Key Personnel have been proposed only if they meet the Conditions of
Eligibility laid down at Clause 2.2.2 (D) of the RFP;

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(f) no alternative proposal for any Key Personnel is being made and only
one CV for each position has been furnished;

(g) the CVs have been recently signed and dated in blue ink by the
respective Personnel and countersigned by the Applicant. Photocopy or
unsigned / countersigned CVs shall be rejected;

(h) the CVs shall contain an undertaking from the respective Key
Personnel about his/her availability for the duration specified in the
RFP;

(i) Professional Personnel proposed have good working knowledge of

English language;

(j) Key Personnel would be available for the period indicated in the TOR;

(k) no Key Personnel should have attained the age of 75 (seventy five)
years at the time of submitting the proposal; and

(l) the proposal is responsive in terms of Clause 2.21.3.

(m) Consultant and key personnel are registered and enlist on

“INFRACON” (www.infracon.nic.in) portal. The necessary
registration details are enclosed with the proposal.

2.14.3 Failure to comply with the requirements spelt out in this Clause 2.14 shall
make the Proposal liable to be rejected.

2.14.4 If an individual Key Personnel makes a false averment regarding his

qualification, experience or other particulars, or his commitment regarding
availability for the Project is not fulfilled at any stage after signing of the
Agreement, he shall be liable to be debarred for any future assignment of the
Authority for a period of 5 (five) years. The award of this Consultancy to the
Applicant may also be liable to cancellation in such an event.

2.14.5 The Technical Proposal shall not include any financial information relating to
the Financial Proposal.

2.14.6 The proposed team shall be composed of experts and specialists (the
“Professional Personnel”) in their respective areas of expertise and
managerial/support staff (the “Support Personnel”) such that the Consultant
should be able to complete the Consultancy within the specified time schedule.
The Key Personnel specified in Clause 2.1.4 shall be included in the proposed
team of Professional Personnel. Other competent and experienced Professional
Personnel in the relevant areas of expertise must be added as required for
successful completion of this Consultancy. The CV of each such Professional
Personnel, if any, should also be submitted in the format at Form-12 of
Appendix-I.

2.14.7 An Applicant may, if it considers necessary, propose suitable Sub-Consultants

in specific areas of expertise. Credentials of such Sub-Consultants should be
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 Request for Proposal

submitted in Form-15 of Appendix-I. A Sub-Consultant, however, shall not be

a substitute for any Key Personnel.

2.14.8 The Authority reserves the right to verify all statements, information and
documents, submitted by the Applicant in response to the RFP. Any such
verification or the lack of such verification by the Authority to undertake such
verification shall not relieve the Applicant of its obligations or liabilities
hereunder nor will it affect any rights of the Authority thereunder.

2.14.9 In case it is found during the evaluation or at any time before signing of the
Agreement or after its execution and during the period of subsistence thereof,
that one or more of the eligibility conditions have not been met by the
Applicant or the Applicant has made material misrepresentation or has given
any materially incorrect or false information, the Applicant shall be
disqualified forthwith if not yet appointed as the Consultant either by issue of
the LOA or entering into of the Agreement, and if the Selected Applicant has
already been issued the LOA or has entered into the Agreement, as the case
may be, the same shall, notwithstanding anything to the contrary contained
therein or in this RFP, be liable to be terminated, by a communication in
writing by the Authority without the Authority being liable in any manner
whatsoever to the Applicant or Consultant, as the case may be.

In such an event, the Authority shall forfeit and appropriate the Bid Security as
mutually agreed pre-estimated compensation and damages payable to the
Authority for, inter alia, time, cost and effort of the Authority, without
prejudice to any other right or remedy that may be available to the Authority.

2.15 Financial Proposal

2.15.1 Applicants shall submit the financial proposal in the formats at Appendix-II
(the “Financial Proposal”) clearly indicating the total cost of the Consultancy
(Item G of Form-2 of Appendix-II) in both figures and words, in Indian
Rupees, and signed by the Applicant’s Authorised Representative. In the event
of any difference between figures and words, the amount indicated in words
shall prevail. In the event of a difference between the arithmetic total and the
total shown in the Financial Proposal, the lower of the two shall prevail.

2.15.2 While submitting the Financial Proposal, the Applicant shall ensure the
following:

(i) All the costs associated with the assignment shall be included in the
Financial Proposal. These shall normally cover remuneration for all the
Personnel (Expatriate and Resident, in the field, office etc),
accommodation, air fare, equipment, printing of documents, surveys,
geo-technical investigations etc. The total amount indicated in the
Financial Proposal shall be without any condition attached or subject to
any assumption, and shall be final and binding. In case any assumption
or condition is indicated in the Financial Proposal, it shall be considered
non-responsive and liable to be rejected.

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(ii) The Financial Proposal shall take into account all expenses and tax
liabilities. For the avoidance of doubt, it is clarified that all taxes shall be
deemed to be included in the costs shown under different items of the
Financial Proposal. Further, all payments shall be subject to deduction of
taxes at source as per Applicable Laws.

(iii) Costs (including break down of costs) shall be expressed in INR.

2.15.3 Financial Proposal shall only be submitted online.

2.16 Submission of Proposal

2.16.1 The Applicants shall submit the Proposal in hard bound form with all pages
numbered serially and by giving an index of submissions. Each page of the
submission shall be initialled by the Authorised Representative of the
Applicant as per the terms of the RFP. In case the proposal is submitted on the
document down loaded from Official Website, the Applicant shall be
responsible for its accuracy and correctness as per the version uploaded by the
Authority and shall ensure that there are no changes caused in the content of
the downloaded document. In case of any discrepancy between the
downloaded or photocopied version of the RFP and the original RFP issued by
the Authority, the latter shall prevail.

2.16.2 The Proposal will be sealed in an outer envelope which will bear the address
of the Authority, RFP Notice number, Consultancy name as indicated at
Clauses 1.11.1 and 1.11.3 and the name and address of the Applicant. It shall
bear on top, the following:

“Do not open, except in presence of the Authorised Person of the Authority”

If the envelope is not sealed and marked as instructed above, the Authority
assumes no responsibility for the misplacement or premature opening of the
contents of the Proposal submitted and consequent losses, if any, suffered by
the Applicant.

2.16.3 The aforesaid outer envelope will contain two separate sealed envelopes, one
clearly marked ‘Technical Proposal’ and the other clearly marked ‘Financial
Proposal’. The envelope marked “Technical Proposal” shall contain:

(i) Application in the prescribed format (Form-1 of Appendix-I) along

with Forms 2 to 15 of Appendix-I and supporting documents; and

(ii) Bid security as specified in Clause 2.20.1

The envelope marked “Financial Proposal” shall contain the financial proposal
in the prescribed format (Forms 1, 2 & 3 of Appendix-II).

2.16.4 The Technical Proposal and Financial Proposal shall be typed or written in
indelible ink and signed by the Authorised Representative of the Applicant.
All pages of the original Technical Proposal and Financial Proposal must be
numbered and initialled by the person or persons signing the Proposal.
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2.16.5 The completed Proposal must be delivered on or before the specified time on
Proposal Due Date. Proposals submitted by fax, telex, telegram or e-mail shall
not be entertained.

2.16.6 The Proposal shall be made in the Forms specified in this RFP. Any
attachment to such Forms must be provided on separate sheets of paper and
only information that is directly relevant should be provided. This may include
photocopies of the relevant pages of printed documents. No separate
documents like printed annual statements, company brochures, copy of
contracts etc. will be entertained.

2.16.7 The rates quoted shall be firm throughout the period of performance of the
assignment upto and including acceptance of the Feasibility Report by the
Authority and discharge of all obligations of the Consultant under the
Agreement.

2.17 Proposal Due Date

2.17.1 Proposal should be submitted at or before 1100 hrs on the Proposal Due Date
specified at Clause 1.8 at the address provided in Clause 1.11 in the manner
and form as detailed in this RFP. A receipt thereof should be obtained from
the person specified therein.

2.17.2 The Authority may, in its sole discretion, extend the Proposal Due Date by
issuing an Addendum in accordance with Clause 2.11 uniformly for all
Applicants.

2.18 Late Proposals

Proposals received by the Authority after the specified time on Proposal Due
Date shall not be eligible for consideration and shall be summarily rejected.

2.19 Modification/ substitution/ withdrawal of Proposals

2.19.1 The Applicant may modify, substitute, or withdraw its Proposal after
submission, provided that written notice of the modification, substitution, or
withdrawal is received by the Authority prior to Proposal Due Date. No
Proposal shall be modified, substituted, or withdrawn by the Applicant on or
after the Proposal Due Date.

2.19.2 The modification, substitution, or withdrawal notice shall be prepared, sealed,

marked, and delivered in accordance with Clause 2.16, with the envelopes
being additionally marked “MODIFICATION”, “SUBSTITUTION” or
“WITHDRAWAL”, as appropriate.

2.19.3 Any alteration / modification in the Proposal or additional information or

material supplied subsequent to the Proposal Due Date, unless the same has
been expressly sought for by the Authority, shall be disregarded.

2.20 Bid Security

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2.20.1 The Applicant shall furnish as part of its Proposal, a bid security of
Rs.2,00,000 (Rupees two lakh only) in the form of a Demand Draft issued by
one of the Nationalised/ Scheduled Banks in India in favour of the National
Highways Authority of India payable at New Delhi (the “Bid Security”),
returnable not later than 30 (thirty) days from PDD except in case of the two
highest ranked Applicants as required in Clause 2.24.1. In the event that the
first ranked Applicant commences the assignment as required in Clause 2.29,
the second ranked Applicant, who has been kept in reserve, shall be returned
its Bid Security forthwith, but in no case not later than 120 (one hundred and
twenty) days from PDD. The Selected Applicant’s Bid Security shall be
returned, upon the Applicant signing the Agreement and completing the
Deliverables assigned to it for the first 2 (two) months of the Consultancy in
accordance with the provisions thereof.

2.20.2 Any Bid not accompanied by the Bid Security shall be rejected by the
Authority as non-responsive.

2.20.3 The Authority shall not be liable to pay any interest on the Bid Security and
the same shall be interest free.

2.20.4 The Applicant, by submitting its Application pursuant to this RFP, shall be
deemed to have acknowledged that without prejudice to the Authority’s any
other right or remedy hereunder or in law or otherwise, the Bid Security shall
be forfeited and appropriated by the Authority as the mutually agreed pre-
estimated compensation and damage payable to the Authority for, inter alia,
the time, cost and effort of the Authority in regard to the RFP including the
consideration and evaluation of the Proposal under the following conditions:

(a) If an Applicant submits a non-responsive Proposal;

(b) If an Applicant engages in any of the Prohibited Practices specified in

Section 4 of this RFP;

(c) If an Applicant withdraws its Proposal during the period of its validity
as specified in this RFP and as extended by the Applicant from time to
time;

(d) In the case of the Selected Applicant, if the Applicant fails to

reconfirm its commitments during negotiations as required vide Clause
2.24.1;

(e) In the case of a Selected Applicant, if the Applicant fails to sign the
Agreement or commence the assignment as specified in Clauses 2.28
and 2.29 respectively; or

(f) If the Applicant is found to have a Conflict of Interest as specified in

Clause 2.3.

D. EVALUATION PROCESS

2.21 Evaluation of Proposals

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2.21.1 The Authority shall open the Proposals at 1130 hours on the Proposal Due
Date, at the place specified in Clause 1.11.1 and in the presence of the
Applicants who choose to attend. The envelopes marked “Technical Proposal”
shall be opened first. The envelopes marked “Financial Proposal” shall be kept
sealed for opening at a later date.

2.21.2 Proposals for which a notice of withdrawal has been submitted in accordance
with Clause 2.19 shall not be opened.

2.21.3 Prior to evaluation of Proposals, the Authority will determine whether each
Proposal is responsive to the requirements of the RFP. The Authority may, in
its sole discretion, reject any Proposal that is not responsive hereunder. A
Proposal shall be considered responsive only if:

(a) the Technical Proposal is received in the form specified at Appendix-I;

(b) it is received by the Proposal Due Date including any extension thereof
pursuant to Clause 2.17;

(c) it is accompanied by the Bid Security as specified in Clause 2.20.1.

(d) it is signed, sealed, bound together in hard cover and marked as

stipulated in Clauses 2.13 and 2.16;

(e) it is accompanied by the Power of Attorney as specified in Clause

2.2.4;

(f) it contains all the information (complete in all respects) as requested in

the RFP;

(g) it does not contain any condition or qualification; and

(h) it is not non-responsive in terms hereof.

2.21.4 The Authority reserves the right to reject any Proposal which is non-
responsive and no request for alteration, modification, substitution or
withdrawal shall be entertained by the Authority in respect of such Proposals.

2.21.5 The Authority shall subsequently examine and evaluate Proposals in

accordance with the Selection Process specified at Clause 1.6 and the criteria
set out in Section 3 of this RFP.

2.21.6 After the technical evaluation, the Authority shall prepare a list of pre-
qualified and shortlisted Applicants in terms of Clause 3.2 for opening of their
Financial Proposals. A date, time and venue will be notified to all Applicants
for announcing the result of evaluation and opening of Financial Proposals.
Before opening of the Financial Proposals, the list of pre-qualified and
shortlisted Applicants along with their Technical Score will be read out. The
opening of Financial Proposals shall be done in presence of respective
representatives of Applicants who choose to be present. The Authority will not
entertain any query or clarification from Applicants who fail to qualify at any
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 Request for Proposal

stage of the Selection Process. The financial evaluation and final ranking of
the Proposals shall be carried out in terms of Clauses 3.3 and 3.4.

2.21.7 Applicants are advised that Selection shall be entirely at the discretion of the
Authority. Applicants shall be deemed to have understood and agreed that the
Authority shall not be required to provide any explanation or justification in
respect of any aspect of the Selection Process or Selection.

2.21.8 Any information contained in the Proposal shall not in any way be construed
as binding on the Authority, its agents, successors or assigns, but shall be
binding against the Applicant if the Consultancy is subsequently awarded to it.

2.22 Confidentiality

Information relating to the examination, clarification, evaluation, and

recommendation for the selection of Applicants shall not be disclosed to any
person who is not officially concerned with the process or is not a retained
professional adviser advising the Authority in relation to matters arising out
of, or concerning the Selection Process. The Authority shall treat all
information, submitted as part of the Proposal, in confidence and shall require
all those who have access to such material to treat the same in confidence. The
Authority may not divulge any such information unless it is directed to do so
by any statutory entity that has the power under law to require its disclosure or
is to enforce or assert any right or privilege of the statutory entity and/or the
Authority or as may be required by law or in connection with any legal
process.

2.23 Clarifications

2.23.1 To facilitate evaluation of Proposals, the Authority may, at its sole discretion,
seek clarifications from any Applicant regarding its Proposal. Such
clarification(s) shall be provided within the time specified by the Authority for
this purpose. Any request for clarification(s) and all clarification(s) in
response thereto shall be in writing.

2.23.2 If an Applicant does not provide clarifications sought under Clause 2.23.1
above within the specified time, its Proposal shall be liable to be rejected. In
case the Proposal is not rejected, the Authority may proceed to evaluate the
Proposal by construing the particulars requiring clarification to the best of its
understanding, and the Applicant shall be barred from subsequently
questioning such interpretation of the Authority.

E. APPOINTMENT OF CONSULTANT

2.24 Negotiations

2.24.1 The Selected Applicant may, if necessary, be invited for negotiations. The
negotiations shall generally not be for reducing the price of the Proposal, but
will be for re-confirming the obligations of the Consultant under this RFP.
Issues such as deployment of Key Personnel, understanding of the RFP,
methodology and quality of the work plan shall be discussed during
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negotiations. A Key Personnel who did not score 70% marks as required under
Clause 3.1.2 shall be replaced by the Applicant with a better candidate to the
satisfaction of the Authority. In case the Selected Applicant fails to reconfirm
its commitment, the Authority reserves the right to designate the next ranked
Applicant as the Selected Applicant and invite it for negotiations.

2.24.2 The Authority will examine the CVs of all other Professional Personnel and
those not found suitable shall be replaced by the Applicant to the satisfaction
of the Authority.

2.24.3 The Authority will examine the credentials of all Sub-Consultants proposed
for this Consultancy and those not found suitable shall be replaced by the
Applicant to the satisfaction of the Authority.

2.25 Substitution of Key Personnel

2.25.1 The Authority will not normally consider any request of the Selected
Applicant for substitution of Key Personnel as the ranking of the Applicant is
based on the evaluation of Key Personnel and any change therein may upset
the ranking. Substitution will, however, be permitted if the Key Personnel is
not available for reasons of any incapacity or due to health, subject to equally
or better qualified and experienced personnel being provided to the
satisfaction of the Authority.

2.25.2 The Authority expects all the Key Personnel to be available during
implementation of the Agreement. The Authority will not consider substitution
of Key Personnel except for reasons of any incapacity or due to health. Such
substitution shall ordinarily be limited to one Key Personnel subject to equally
or better qualified and experienced personnel being provided to the
satisfaction of the Authority. As a condition to such substitution, a sum equal
to 20% (twenty per cent) of the remuneration specified for the original Key
Personnel shall be deducted from the payments due to the Consultant. In the
case of a second substitution hereunder, such deduction shall be 50% (fifty per
cent) of the remuneration specified for the original Key Personnel. Any further
substitution may lead to disqualification of the Applicant or termination of the
Agreement.

2.25.3 Substitution of the Team Leader will not normally be considered and may lead
to disqualification of the Applicant or termination of the Agreement.

2.26 Indemnity

The Consultant shall, subject to the provisions of the Agreement, indemnify

the Authority for an amount not exceeding 3 (three) times the value of the
Agreement for any direct loss or damage that is caused due to any deficiency
in services.

2.27 Award of Consultancy

After selection, a Letter of Award (the “LOA”) shall be issued, in duplicate,

by the Authority to the Selected Applicant and the Selected Applicant shall,
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 Request for Proposal

within 7 (seven) days of the receipt of the LOA, sign and return the duplicate
copy of the LOA in acknowledgement thereof. In the event the duplicate copy
of the LOA duly signed by the Selected Applicant is not received by the
stipulated date, the Authority may, unless it consents to extension of time for
submission thereof, appropriate the Bid Security of such Applicant as
mutually agreed genuine pre-estimated loss and damage suffered by the
Authority on account of failure of the Selected Applicant to acknowledge the
LOA, and the next highest ranking Applicant may be considered.

2.28 Execution of Agreement

After acknowledgement of the LOA as aforesaid by the Selected Applicant, it

shall execute the Agreement within the period prescribed in Clause 1.8. The
Selected Applicant shall not be entitled to seek any deviation in the
Agreement.

2.29 Commencement of assignment

The Consultant shall commence the Services at the Project site within 21
(twenty one) days of the date of the Agreement or such other date as may be
mutually agreed. If the Consultant fails to either sign the Agreement as
specified in Clause 2.28 or commence the assignment as specified herein, the
Authority may invite the second ranked Applicant for negotiations. In such an
event, the Bid Security of the first ranked Applicant shall be forfeited and
appropriated in accordance with the provisions of Clause 2.20.4.

2.30 Proprietary data

Subject to the provisions of Clause 2.22, all documents and other information
provided by the Authority or submitted by an Applicant to the Authority shall
remain or become the property of the Authority. Applicants and the
Consultant, as the case may be, are to treat all information as strictly
confidential. The Authority will not return any Proposal or any information
related thereto. All information collected, analysed, processed or in whatever
manner provided by the Consultant to the Authority in relation to the
Consultancy shall be the property of the Authority.

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3. CRITERIA FOR EVALUATION

3.1 Evaluation of Technical Proposals

3.1.1 In the first stage, the Technical Proposal will be evaluated on the basis of
Applicant’s experience, its understanding of TOR, proposed methodology and
Work Plan, and the experience of Key Personnel. Only those Applicants
whose Technical Proposals get a score of 70 marks or more out of 100 shall
qualify for further consideration, and shall be ranked from highest to the
lowest on the basis of their technical score (ST).

3.1.2 Each Key Personnel must score a minimum of 70% marks except as provided
herein. A Proposal shall be rejected if the Team Leader scores less than 70%
marks or any two of the remaining Key Personnel score less than 70% marks.
In case the Selected Applicant has one Key Personnel, other than the Team
Leader, who scores less than 70% marks, he would have to be replaced during
negotiations, with a better candidate who, in the opinion of the Authority,
would score 70% or above.

3.1.3 The scoring criteria to be used for evaluation shall be as follows.

Item Parameter Maximum Criteria

Code Marks
1. Relevant Experience of 25 30%of the maximum marks
the Applicant shall be awarded for the
number of Eligible
Assignments undertaken by
the Applicant firm. The
remaining 70% shall be
awarded for: (i) the
comparative size and quality
of Eligible Assignments; (ii)
other similar work in the
infrastructure sectors; and
(iii) overall turnover,
experience and capacity of
the firm.

2. Proposed Methodology 5 Evaluation will be based on

and Work Plan the quality of submissions.

3. Relevant Experience of 70 30% of the maximum marks

the Key Personnel2 for each Key Personnel shall
be awarded for the number of
Eligible Assignments the

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respective Key Personnel has

worked on. The remaining
70% shall be awarded for: (i)
the comparative size and
quality of Eligible
Assignments; and (ii) other
similar work in infrastructure
sectors.

3(a) Senior Highway Engineer 15

- cum - Team Leader
3(b) Bridge Engineer 11
3(c) Traffic – cum - Safety 11
Expert
3(d) Surveyor 5

3(e) Financial Analyst 5

3(f) Environmental Expert 5
3(g) Pavement Specialist 11
3(h) Senior GIS Expert 7

Grand Total 100

While awarding marks for the number of Eligible Projects, the Applicant or
Key Personnel, as the case may be, that has undertaken the highest number of
Eligible Assignments shall be entitled to the maximum score for the respective
category and all other competing Applicants or respective Key Personnel, as
the case may be, shall be entitled to a proportionate score. No score will be
awarded to an Applicant/ Key Personnel for fulfilling the eligibility criteria of
a minimum number of Eligible Assignments and only projects exceeding the
eligibility criteria shall qualify for scoring. For the avoidance of doubt and by
way of illustration, if the minimum number of Eligible Projects for meeting
the eligibility criteria is [3 (three)], then an equivalent number will be ignored
for each Applicant/Key Personnel and only the balance remaining will be
considered for awarding scores relating to the number of Eligible Assignments
on a proportionate basis. However, for assigning scores in respect of the size
and quality of Eligible Assignments, all Eligible Assignments of the
Applicant/Key Personnel shall be considered.

Detailed Evaluation Criteria is enclosed at Appendix-1.

3.1.4 Eligible Assignments

For the purposes of determining Conditions of Eligibility and for evaluating

the Proposals under this RFP, advisory/ consultancy assignments in respect of
preparation of feasibility report and/or detailed project report including
engineering surveys and social and environmental impact assessment, for the
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following projects shall be deemed as eligible assignments (the “Eligible

Assignments”):

(i) Four-laning/Six-laning of a National or State Highway/

Expressway/Motorway having an estimated capital cost (excluding
land) of at least Rs. 960 (Nine hundred Sixty) crore in case of a project
in India, and US $ 480 (Four hundred eighty) million for projects
elsewhere; or

(ii) Access-controlled expressway having a minimum length of 75 km; or

(iii) any project involving construction and having an estimated capital cost
(excluding land) of at least Rs. 2,400 (two thousand four hundred)
crore in case of a project in India, and US $ 1,200 (One thousand two
hundred) million for projects elsewhere.

Provided that the Applicant firm claiming credit for an Eligible Assignment
shall have, prior to PDD, received professional fees of at least Rs. 2.4 (two
point four) crore for such assignment, and where credit is being claimed by a
Key Personnel, she/he should have completed the relevant assignment prior to
PDD.

Provided further that if the Applicant firm is taking credit for an Eligible
Assignment which was undertaken for a private sector entity, such assignment
shall have been completed prior to PDD and the Applicant shall have received
professional fees of at least Rs. 4.8 (four point eight) crore.

3.2 Short-listing of Applicants

Of the Applicants ranked as aforesaid, not more than five shall be pre-
qualified and short-listed for financial evaluation in the second stage.
However, if the number of such pre-qualified Applicants is less than two, the
Authority may, in its sole discretion, pre-qualify the Applicant(s) whose
technical score is less than 70 points even if such Applicant(s) do(es) not
qualify in terms of Clause 3.1.2; provided that in such an event, the total
number of pre-qualified and short-listed Applicants shall not exceed two.

3.3 Evaluation of Financial Proposal

3.3.1 In the second stage, the financial evaluation will be carried out as per this
Clause 3.3. Each Financial Proposal will be assigned a financial score (SF).

3.3.2 For financial evaluation, the total cost indicated in the Financial Proposal,
excluding Additional Costs, will be considered. Additional Costs shall include
items specified as such in Form-2 of Appendix-II.

3.3.3 The Authority will determine whether the Financial Proposals are complete,
unqualified and unconditional. The cost indicated in the Financial Proposal
shall be deemed as final and reflecting the total cost of services. Omissions, if
any, in costing any item shall not entitle the firm to be compensated and the
liability to fulfil its obligations as per the TOR within the total quoted price
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shall be that of the Consultant. The lowest Financial Proposal (FM) will be
given a financial score (SF) of 100 points. The financial scores of other
proposals will be computed as follows:

SF = 100 x FM/F

(F = amount of Financial Proposal)

3.4 Combined and final evaluation

3.4.1 Proposals will finally be ranked according to their combined technical (ST)
and financial (SF) scores as follows:

S = ST x Tw + SF x Fw

Where S is the combined score, and Tw and Fw are weights assigned to

Technical Proposal and Financial Proposal that shall be 0.80 and 0.20
respectively.

3.4.2 The Selected Applicant shall be the first ranked Applicant (having the highest
combined score). The second ranked Applicant shall be kept in reserve and
may be invited for negotiations in case the first ranked Applicant withdraws,
or fails to comply with the requirements specified in Clauses 2.24, 2.28 and
2.29, as the case may be.

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4. FRAUD AND CORRUPT PRACTICES

4.1 The Applicants and their respective officers, employees, agents and advisers
shall observe the highest standard of ethics during the Selection Process.
Notwithstanding anything to the contrary contained in this RFP, the Authority
shall reject a Proposal without being liable in any manner whatsoever to the
Applicant, if it determines that the Applicant has, directly or indirectly or
through an agent, engaged in corrupt practice, fraudulent practice, coercive
practice, undesirable practice or restrictive practice (collectively the
“Prohibited Practices”) in the Selection Process. In such an event, the
Authority shall, without prejudice to its any other rights or remedies, forfeit
and appropriate the Bid Security or Performance Security, as the case may be,
as mutually agreed genuine pre-estimated compensation and damages payable
to the Authority for, inter alia, time, cost and effort of the Authority, in regard
to the RFP, including consideration and evaluation of such Applicant’s
Proposal.

4.2 Without prejudice to the rights of the Authority under Clause 4.1 hereinabove
and the rights and remedies which the Authority may have under the LOA or
the Agreement, if an Applicant or Consultant, as the case may be, is found by
the Authority to have directly or indirectly or through an agent, engaged or
indulged in any corrupt practice, fraudulent practice, coercive practice,
undesirable practice or restrictive practice during the Selection Process, or
after the issue of the LOA or the execution of the Agreement, such Applicant
or Consultant shall not be eligible to participate in any tender or RFP issued by
the Authority during a period of 2 (two) years from the date such Applicant or
Consultant, as the case may be, is found by the Authority to have directly or
through an agent, engaged or indulged in any corrupt practice, fraudulent
practice, coercive practice, undesirable practice or restrictive practice, as the
case may be.

4. 3 For the purposes of this Section, the following terms shall have the meaning
hereinafter respectively assigned to them:

(a) “corrupt practice” means (i) the offering, giving, receiving, or

soliciting, directly or indirectly, of anything of value to influence the
action of any person connected with the Selection Process (for avoidance
of doubt, offering of employment to or employing or engaging in any
manner whatsoever, directly or indirectly, any official of the Authority
who is or has been associated in any manner, directly or indirectly with
the Selection Process or the LOA or has dealt with matters concerning
the Agreement or arising therefrom, before or after the execution thereof,
at any time prior to the expiry of one year from the date such official
resigns or retires from or otherwise ceases to be in the service of the
Authority, shall be deemed to constitute influencing the actions of a
person connected with the Selection Process); or (ii) save as provided
herein, engaging in any manner whatsoever, whether during the
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Selection Process or after the issue of the LOA or after the execution of
the Agreement, as the case may be, any person in respect of any matter
relating to the Project or the LOA or the Agreement, who at any time has
been or is a legal, financial or technical consultant/ adviser of the
Authority in relation to any matter concerning the Project;

(b) “fraudulent practice” means a misrepresentation or omission of facts or

disclosure of incomplete facts, in order to influence the Selection
Process;

(c) “coercive practice” means impairing or harming or threatening to

impair or harm, directly or indirectly, any persons or property to
influence any person’s participation or action in the Selection Process;

(d) “undesirable practice” means (i) establishing contact with any person
connected with or employed or engaged by the Authority with the
objective of canvassing, lobbying or in any manner influencing or
attempting to influence the Selection Process; or (ii) having a Conflict of
Interest; and

(e) “restrictive practice” means forming a cartel or arriving at any

understanding or arrangement among Applicants with the objective of
restricting or manipulating a full and fair competition in the Selection
Process.

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5. PRE-PROPOSAL CONFERENCE

5.1 Pre-Proposal Conference of the Applicants shall be convened at the designated

date, time and place. Only those Applicants, who have purchased the RFP
document or downloaded the same from the Official Website for the
Authority, shall be allowed to participate in the Pre-Proposal Conference. A
maximum of two representatives of each Applicant shall be allowed to
participate on production of an authority letter from the Applicant.

5.2 During the course of Pre-Proposal Conference, the Applicants will be free to
seek clarifications and make suggestions for consideration of the Authority.
The Authority shall endeavour to provide clarifications and such further
information as it may, in its sole discretion, consider appropriate for
facilitating a fair, transparent and competitive Selection Process.

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6. MISCELLANEOUS

6.1 The Selection Process shall be governed by, and construed in accordance with,
the laws of India and the Courts at New Delhi shall have exclusive jurisdiction
over all disputes arising under, pursuant to and/or in connection with the
Selection Process.

6.2 The Authority, in its sole discretion and without incurring any obligation or
liability, reserves the right, at any time, to:

(a) suspend and/or cancel the Selection Process and/or amend and/or
supplement the Selection Process or modify the dates or other terms and
conditions relating thereto;

(b) consult with any Applicant in order to receive clarification or further

information;

(c) retain any information and/or evidence submitted to the Authority by, on
behalf of and/or in relation to any Applicant; and/or

(d) independently verify, disqualify, reject and/or accept any and all
submissions or other information and/or evidence submitted by or on
behalf of any Applicant.

6.3 It shall be deemed that by submitting the Proposal, the Applicant agrees and
releases the Authority, its employees, agents and advisers, irrevocably,
unconditionally, fully and finally from any and all liability for claims, losses,
damages, costs, expenses or liabilities in any way related to or arising from the
exercise of any rights and/or performance of any obligations hereunder,
pursuant hereto and/or in connection herewith and waives any and all rights
and/or claims it may have in this respect, whether actual or contingent,
whether present or future.

6.4 All documents and other information supplied by the Authority or submitted
by an Applicant shall remain or become, as the case may be, the property of
the Authority. The Authority will not return any submissions made hereunder.
Applicants are required to treat all such documents and information as strictly
confidential.

6.5 The Authority reserves the right to make inquiries with any of the clients listed
by the Applicants in their previous experience record.

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 Schedule-1: Terms of Reference

SCHEDULES

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 Schedule-1: Terms of Reference

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 Schedule-1: Terms of Reference

SCHEDULE–1
(See Clause 1.1.3)

PREPARATION OF FEASIBILITY- REPORT OF KANPUR-LUCKNOW

EXPRESSWAY

Terms of Reference (TOR)

for

TECHNICAL CONSULTANT

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 Schedule-1: Terms of Reference

CONTENTS Page no.

1. General

2. Objective

3. Scope of Services
3.1 Scope of Services
3.2 Traffic surveys and demand assessment
3.3 Engineering surveys and investigations
3.4 Proposal for Sections passing through urban areas
3.5 ROBs/ RUBs
3.6 Protective works in hill sections, retaining walls, breast walls, etc
3.7 Road signs, safety devices
3.8 Toll Plazas
3.9 Truck laybyes
3.10 Bus bays and bus shelters
3.11 Social impact assessment
3.12 Environment impact assessment
3.13 Preliminary designs
3.14 Project cost
3.15 Financial analysis and bid process

4. Deliverables

A. Inception Report
B. Report on Alignment and First Traffic Survey
C. Land Plan Schedules
D. Utility Relocation Plans
E. Reports on Environment and Social Impact Assessment
F. Report on Indicative GAD of Structures
G. Feasibility Report
H. Schedules of Concession Agreement
I. Financial analysis
J. Assistance during bid process

5. Specific requirements for the Project Highway

6. Time and Payment Schedule

7. Meetings

8. Consultancy Team

9. Reporting

10. Data and software to be made available by the Authority

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11. Completion of Services

ATTACHMENTS

Attachment A: Topographic Survey

Attachment B: Indicative List of Drawings for Schedule-H of the
Concession Agreement

PROFORMA

Proforma-1: Road Inventory

Proforma-2: Inventory And Condition Survey for Culverts
Proforma-3: Inventory of Structures
Proforma-4: Road Condition Survey
Proforma-5: Bridge Condition Survey

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 Schedule-1: Terms of Reference

Terms of Reference (TOR)

1. GENERAL

1.1 The Authority seeks the services of qualified firms for preparing a Feasibility
Report of the proposed access controlled Expressway on a greenfield
alignment between Kanpur-Lucknow on DBFOT basis and is approximately
75 km long. The Feasibility shall also include a pre-feasibility study for the
proposed expressway between Kanpur-Lucknow. The Terms of Reference (the
“TOR”) for this assignment are specified below.

1.2 The Consultant shall be guided in its assignment by the Model Concession
Agreement and the Manual of Specifications and Standards for Expressway
through Public Private Partnership. The specification and standards applicable
for the Expressway shall be prepared by the Consultant duly taking into
consideration of “Expressway Manual” published by IRC (the “Manual”)

1.3 The Consultant shall be responsible for preparing the Schedules A, B, C, D, G,

H and K of the Concession Agreement and for bringing out any special feature
or requirement of the Project Highway referred to in the Concession
Agreement or the Manual. The details and particulars to be specified in the
Schedules shall be duly addressed and incorporated therein, in accordance
with the provisions of the Manual of Specifications and Standards for
Expressways (IRC:SP:99:2013).

1.4 The Consultant shall assist the Authority and its Financial Consultant and the
Legal Adviser by furnishing clarifications as required for the financial
appraisal and legal scrutiny of the Project Highway and Bid Documents.

1.5 The Consultant shall also participate in the pre-bid conference with the
Bidders of the Project Highway and assist the Authority in clarifying the
technical aspects arising from the Bid Documents including the Feasibility
Report.

2. OBJECTIVE

The objective of this consultancy is to undertake feasibility studies and prepare

a Feasibility Report of the Project Highway for the purpose of firming up the
Authority’s requirements in respect of development and construction of the
Project Highway and Project Facilities and enabling the prospective bidders to
assess the Authority’s requirements in a clear and predictable manner with a
view to ensuring:

(i) fixing of most optimal alignment;

(ii) enhanced safety and level of service for the road users;

(iii) superior operation and maintenance enabling enhanced operational

efficiency of the Project Highway;

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 Schedule-1: Terms of Reference

(iv) minimal adverse impact on the local population and road users due to
road construction;

(v) minimal adverse impact on environment;

(vi) minimal acquisition of fertile land & structures; and

(vii) phased development of the Project Highway for improving its financial
viability consistent with the need to minimise frequent inconvenience
to traffic that may be caused if additional works are undertaken within
a period of seven years from the commencement of construction of the
Project Highway.

3. SCOPE OF SERVICES

3.1 The scope of services shall comprise:

(i) Fixing of alignment

(ii) Traffic surveys and demand assessment

(iii) Engineering surveys and investigations

(iv) Location and layout of toll plazas

(v) Location and layout of truck laybyes

(vi) Location and layout of bus bays and bus shelters

(vii) Social impact assessment

(viii) Environment impact assessment

(ix) Preliminary designs of road, bridges, structures, etc.

(x) Preparation of Land Plan Schedules and Utility Relocation Plans

(xi) Preparation of indicative BOQ and rough Cost Estimates

(xii) Preparation of Schedules A, B, C, D, G, H and K of the Concession

Agreement.

(xiii) Preparation of conceptual plans for road-side amenities.

(xiv) Physical facilities necessary for Advance Traffic Management System

(ATMS)

These services are briefly explained hereunder:

3.2 Fixing of alignment

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 Schedule-1: Terms of Reference

Technical Consultant (the “Consultant”) shall include alternative alignment

options duly designing the horizontal alignment and vertical profile to meet
geometric standards of Expressway for a design speed of 120 Kmph, location
of terminal points, final alignment plan with the location of interchanges and
facilities and land acquisition plans in conformity with the TOR (collectively
the “Consultancy”). The services under these TOR require the Consultant to
develop an alignment of Kanpur-Lucknow Expressway by studying the
Satellite imageries and Digital Terrain Model and through limited actual
ground reconnaissance and survey.

In other words, the scope of the services essentially involves a desk study
supplemented by field visits and secondary data. The Consultant shall identify,
in terms of longitude and latitude, the range of data required for the study and
make requisition of these data to NHAI. The data as required from NRSA/or
any other agency will be directly procured by the Consultant at its own cost.
The conditions, if any, imposed by NHAI and NRSA/or any other agency
regarding the supply, use, and security of the data shall be strictly complied
with by the Consultant.

These are briefly explained hereunder:

3.2.1 The first stage

The Consultant shall, on a large scale (1;10,000) satellite imagery with the
road and rail network overlaid thereon, undertake the preliminary selection of
various possible alignments including the location of terminal points.
Thereafter, these alternatives shall be overlaid on the satellite image.

Output: A satellite map to the scale of 1:10,000 with possible alignments and
terminal points at least six overlaid thereon accompanied with a report on the
merits of each alternative (two soft copies and ten hard copies).

Authority’s approval: The Authority will select at least three possible

alternatives for detailed studies.

3.2.2 The second stage

The Consultant shall fit in the detailed horizontal alignment corresponding to

each of the selected three alternatives on satellite imageries/google imageries
of scale 1:10,000. Using a digital terrain model, the consultant will develop the
vertical profile for each of the alignments. He will continue iterations and
refinements in the horizontal alignment and vertical profile until an optimal
solution is arrived at meeting the requirements of these TOR.

Output: Satellite maps to the scale of 1: 10,000 with detailed alignments and
vertical profile between the terminal points overlaid thereon accompanied with
a report on the merits of each alternative (two soft copies and ten hard copies).

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Authority’s approval: The Authority will select one of the three alternatives
for further studies.

3.2.3 The third stage

The Consultant shall prepare the final alignment plan with the location (but
not the design) of interchanges and facilities (wayside amenities, automatic
traffic control centres, etc) marked thereon, a Right of Way and land
acquisition Plan

Output: The final report, alignment plan and vertical profile overlaid on the
satellite imageries.

Authority’s approval: the Authority will approve the final report as per the
TOR.

3.2.4 Considerations for selection of alignment

The Consultant shall develop alternative alignments for the expressway

between Kanpur-Lucknow taking into account the following:

Terminal points
The terminal points of the alignment shall be so selected that the expressway
traffic distributes to various destinations within the terminal cities through
efficient internal network.

The alignment
The Alignment plan shall be selected taking into account the following:

(i) Geometric standards: The alignment shall meet the geometric standards of
expressway for a design speed of 120 kph. The horizontal alignment and
vertical profile shall be designed accordingly. The gradients shall in no case
be steeper than 3 %. The alignment shall be such that it is possible to acquire a
right of way of 100 metre width. At interchange and facilities location there
should be enough scope for acquisition of additional land as per requirement
of design.

(ii) Ecology and environment: The Consultant shall select the alignment in
such a way that it passes through such areas which are not ecologically and
environmentally sensitive. Areas like reserve forests, wild life sanctuaries,
unstable natural slopes, natural and man made water bodies, etc shall be
avoided.

(iii) Drainage: The natural drainage pattern of the area shall be studied
carefully. The expressway alignment will create an artificial watershed in the
catchment area up stream of the expressway and thereby change the drainage
pattern. Whether this change will cause any heading up of water on one side
of the expressway shall be studied carefully while fixing the alignment.
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(iv) Land acquisition: The consultant shall fix the alignment keeping in view
the existing and planned land uses. As far as possible it shall be ensured that
the alignment avoids large scale land and property severance, acquisition of
residential, commercial and institutional areas, industrial parks, special
economic zones, etc. Attempt shall also be made to avoid acquisition of fertile
agricultural land. One of the major considerations in deciding the alignment
should be to align majority of the length of the expressway along non-
agricultural waste lands, government lands, etc., so as to minimize the
negative social and economic impact of expressway construction. The
approximate cost of land acquisition may also be indicated.

(v) Construction cost: The Consultant shall aim at selecting an alignment for
which construction cost is optimal. As far as possible, attempt shall be to
optimize cut and fill. Similarly, the requirements of bridging, tunneling,
protection works, etc as also the cost of environmental mitigation measures
should be optimal.

(vi) Operational efficiency: The alignment selected should eventually result in

an operationally efficient expressway, which can permit efficient collection
and distribution of the expressway traffic through the already existing
secondary road network, with or without improvement. The location of
interchanges and facilities along the alignment shall be decided accordingly.

(vii) Distance: The alignment should provide shortest feasible route between
Kanpur-Lucknow and deviations, if any, may be fully justified.

(viii) New Townships: 8-12 possible locations may be identified for

development of residential/commercial/ industrial townships. The possible
plans for the suggested townships should also be outlined keeping in view the
land use, water availability etc.

(viii) Entry and exit points: Alternate entry and exit points at Lucknow and
Kanpur should be carefully examined and options may be provided as part of
first and second stage mentioned above.

3.2.5 Social impact assessment

The Consultant shall undertake a preliminary social impact assessment due to

the proposed alignment on the Project Highway, especially the persons
affected due to the Project and requiring resettlement and rehabilitation.
The extant policies and guidelines of the government would be kept in
view while undertaking the assessment.

3.2.6 Environment impact assessment

The Consultant shall undertake a preliminary environment impact
assessment of the alignment as per provisions of the Applicable Laws on
environment protection.

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3.3 Traffic surveys and demand assessment

3.3.1 The feasibility of the expressway has to be established by a comprehensive
transport demand study for the corridor on the alignment selected by NHAI for
the purpose, assessment of the cost, revenue generation potential and financial
return from the Project on DBFOT basis. The feasibility study shall include
detailed survey and investigation, design outline and costing.
3.3.2 The expressway alignment has to be fixed after considering various alternative
alignments and their relative advantages and disadvantages. The Consultants
shall undertake the feasibility study on this selected alignment and carryout
viability analysis for the estimated cost, without limiting to the following:
(i) Estimation of total transport demand in the corridor and the modal split
between road and rail, to arrive at the passenger and freight movements
by road along the corridor. Assignment of the passenger and freight
movement to various alternative routes (e.g. existing NH and the
expressway route) has to be presented in terms of vehicular movement.
Break up of the freight has to be broadly commodity-wise.
(ii) Projection of the vehicular traffic using both corridor trend growth and
growth based on socioeconomic parameters and elasticity factors has to
be made. This will include the diverted and generated traffic, induced
traffic and developmental traffic. All necessary traffic and engineering
surveys in this regard will need to be carried out.
(iii) The split of the total traffic has to be determined. For passenger
movement, the split has to be in terms of public transport vehicles
(buses), personal vehicles and vehicles for freight movement this has
to be in terms of Light commercial vehicles, two axle trucks, multi-
axle trucks and container tractors/trailer. Based on the present and
projected vehicular traffic and results of diversion analysis, the need
for construction of an expressway of adequate capacity and cross-
section (i.e. 6 lanes and a higher number of lanes near cities) has to be
established based on the capacity norms of IRC/MOSRTH and other
international standards such as AASHTO, TRB etc.
3.3.3 Major requirements of data/surveys for the tasks to be accomplished in course
of the consulting services are enumerated below, but the surveys shall not be
limited to the following primary data collection:
(i) Origin-destination survey of the vehicular traffic at Lucknow and
Kanpur and other appropriate locations;
(ii) Willingness to pay survey for toll charges (which will be about 1.5
times of normal toll charges for 4 lane National Highways);
(iii) Classified traffic volume counts for determining actual vehicular traffic
flow along the homogeneous sections of the existing route between the
terminal stations, i.e. Lucknow and Kanpur;
(iv) Classified traffic volume counts for determining actual cross traffic
flow along the cross roads/intersections together with turning
movements;
(v) Vehicle speed distribution and journey time;
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(vi) Speed-flow relationship and the level of service;

(vii) Axle load survey on existing Lucknow and Kanpur section; and
(viii) Pedestrian/cattle crossing traffic count at all locations of
settlements/habitations along the Expressway.

3.3.4 Traffic demand assessment

(a) The Consultant shall make an assessment of the traffic demand for the
Project Highway for a period of 10 (ten) years, 15 (fifteen) years, 20
(twenty) years and 30 (thirty) years respectively based on analysis of
traffic counts, trend growth and growth in the influence area of the
Project Highway. Normally, an annual growth rate of 5% (five per
cent) shall be assumed. Any variation would have to be justified with
reasons, including analysis of past trends.

(b) Based on the assessment of the traffic demand on the various sections
of the Project Highway, the Consultant shall provide a broad
assessment of the year in which six or more lanes may be required. The
Consultant shall also provide sensitivity analysis due to change in
assumption of traffic projections.

3.3.5 Intersection volume count and design

(a) Volume count

For conducting the intersection volume count, the turning movement

traffic surveys shall be carried out at all locations where the Project
Highway intersects/meets the NH, SH, MDR or any other Road.

(b) Design

(i) The data at each location shall be presented and analysed to

identify suitable treatment viz. grade separator without ramps or
interchange with ramps in the light of warrants and criteria
applicable to Expressway. The type and layout proposed by the
Consultant for each location shall be furnished along with the
analysis supporting the same. Where an interchange with ramp is
indicated by the analysis, its type should be determined keeping
in view the site conditions.

(ii) The amount of additional land required, if any, at each of the

interchanges on the Project Highway shall be clearly stated and
brought out.

(iii) For all cases where grade separators without ramps or

interchanges with ramps are proposed, the possibility of their
provision on the Project Highway in a phased manner shall be
duly examined and a report on the cost-effectiveness of the
Consultant’s proposal submitted for consideration of the

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Authority to enable it to specify such requirements in the relevant

Schedules of the Concession Agreement.

3.3.6 Pedestrian/ Cattle crossing demand assessment

For assessing the requirements of Pedestrian/ Cattle crossings, the traffic

counts shall be carried out at the locations close to all habitations/ settlements
along the Project Highway. The data so collected shall be analysed to
determine whether any pedestrian/cattle crossing by way of underpass/
overpass is justified. If so, the locations and broad layout shall be proposed.

3.4 Engineering surveys and investigations

3.4.1 The engineering surveys and investigations shall be divided into the following
components:

 Topographic, alignment and land use survey

 Soil, geo-technical, material, hydrology and drainage surveys

3.4.2 Topographic, alignment and land use survey

The detailed topographic survey of the alignment shall be done using total
station and GPS and will be produced in both electronic format (in X, Y, Z
coordinate system) and hard copies. Plans, longitudinal sections and cross-
sections shall be prepared to the scale prescribed in IRC/MORTH standards.
All the existing and proposed features, such as land-use, limits of right-of-
way, embankment, structures, intersecting roads, existing utilities, interchange
loops and ramps, access roads, wayside amenities, toll plazas, operation and
maintenance infrastructure, safety structures, etc. shall be shown on
kilometer-wise plans.

The activities and Deliverables forming part of the topographic, alignment and
land use survey are described below (see also Attachment A to the TOR):

(a) Divide the Project Highway into various stretches as per terrain
classification.

(b) Identify sections of Project Highway which fall within the area of lake
or other water bodies (Condition of environment: alternate wetting and
drying due to lake or other water bodies; alternate wetting and drying
combined with freezing; buried in soil having corrosive effect;
members of structures in contact with water where the velocity of flow
and the bed material are likely to cause erosion of concrete. (c)
Identify sections of Project Highway which fall within urban
limits and there requirements as per guidelines for Expressways.

(d) Identify sections of Project Highway which require raising. Such

sections will be identified with attention being paid to the previous
history of submergence and the extent to which the subgrade is likely
to be affected by the capillary action if the section is not raised.

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(e) Identify and other grade separated structures and their approaches.
Work out proposal for location of such structures and alignment of
approaches.

(f) Prepare alignment plans, L-Sections and cross-sections of the entire

Project Highway. Scale of drawings shall be as per IRC:SP:19.
(g) The width of the right-of-way for the expressway shall be determined
on the basis of the proposed cross-section and future expansion needs.
Additional land that is required for interchanges, wayside amenities,
toll plazas, and operation and maintenance infrastructure etc. shall be
determined. Preparation of land plan schedules for taking up land
acquisition by NHAI shall be an important part of the services. These
schedules shall be prepared on the basis of revenue maps and shall
include the details of survey numbers coming under acquisition.

The Land Plan should also show encroachments, if any. A list of such
encroachments alongwith their brief description shall also be prepared
and included in the Feasibility Report.

(h) For land proposed to be acquired as per final alignment plan of the
Project Highway, the Land Plans shall be marked on duly certified
village maps showing khasra numbers and shall be furnished along
with a report which will include detailed schedules in respect of the
proposed acquisition of land holdings as per revenue records in a
format that would enable the Authority to initiate land acquisition
proceedings.

(i) A set of cross-sections of the existing road including urban sections at

one km intervals for each homogeneous section in plain/rolling terrain
and at 100 m intervals in mountainous/steep terrain shall be provided
by the Consultant. In plain/ rolling terrain, additional cross-sections
shall be provided for curves at the start, at the middle and at the end.
These cross-sections along with proposed improvement plan and
preliminary design shall form the basis of preparation of indicative
BOQ for the Project Highway.

3.4.3 Soil, geotechnical, material, hydrology and drainage surveys

The activities and Deliverables forming part of the soil, geotechnical, material,
hydrology and drainage surveys are described below:

(a) The characteristics of the existing soil, two samples from every five km
of the Project Highway or closer where change in soil type is
encountered.

(b) The determination of subgrade CBR (soaked) every three km of the

Project Highway or closer where change in soil type is encountered.

(c ) Investigations of the subsoil strata (one trial bore and/or test pit at
embankment and one in river bed at locations where new bridges or
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other structures are proposed. The depth of trial bore/ test pit shall be as
per IRC standards).

(d) Preliminary hydraulic data for bridges, design discharge, HFL, LWL, etc.
with a view to checking adequacy of existing waterway.

(e) A broad assessment of the drainage condition and requirement of the

Project Highway.
(f) Soil and material survey shall be carried out after identifying the material
sources, preferably after consulting the satellite imageries. The study
shall include plans for rehabilitation of borrow areas and quarries from
which construction materials will be extracted. Subsoil investigation
shall be carried out as per IRC and BIS codes for design of structures.
(g) Detailed hydraulic investigations shall be done for the design of drainage
and cross drainage structures. Hydraulic design of structures shall be for
the maximum floods of 100 year return period. The hydraulic
investigations shall supplement the data obtained through satellite
imageries. The design discharge shall be determined using various
methods (e.g. Area – velocity method, Catchments area method, Unit
Hydrograph method)

3.5 Proposal for Sections passing through urban areas

The task at 3.3.2(c) would identify the stretches of the Project Highway which
pass through the urban areas. For each of these stretches, the Consultant shall
prepare an improvement plan of the stretch as per guidelines of Expressway
Possibility of providing service roads shall also be explored and indicated. If
there is any constraint due to available ROW or additional land to be acquired,
the same shall be brought to the attention of the Authority on immediate basis.

3.6 ROBs/RUBs

The Consultant shall identify all locations of the existing railway level
crossings on the Project Highway. Data regarding number of closures per day
shall be provided. Normally, all level crossings are to be replaced with
ROBs/RUBs. The Consultant shall prepare and submit indicative GADs of the
proposed ROBs/RUBs including viaduct portion in the approaches based on
preliminary consultation with the railway authorities concerned. (The GAD of
ROBs/RUBs existing or under construction in the vicinity of the Project
Highway could also be kept in view).

3.7 Protective works in hill sections, retaining walls, breast walls, etc.

For the stretches passing through hills, the Consultant shall identify the broad
requirements of retaining walls, breastwalls, etc. for the purposes of preparing
rough cost estimates.

3.8 Road signs, safety devices

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(a) The Consultant shall propose provision of Road Signs, Pavement

Markings, Safety Barriers, Railings, Delineators, Chevron Markings,
Traffic Attenuators, Road Boundary Stones, Km Stones, 200 m Stones.
It shall also include Crash Barriers for existing bridges.

(b) The Consultant shall propose overhead signs on the Project Highway
and provide an outline of the same giving size and location.

3.9 Toll Plazas

The Consultant shall investigate and propose suitable location(s) for the Toll
Plaza(s), within a range of 1000 m of every entry / exit point of the
expressway, keeping in view the requirements laid down in the Toll Rules,
Model Concession Agreement and the Manual. It shall provide a typical layout
plan for each Toll Plaza and indicate the additional land required keeping in
view the requirements laid down in the Manual.

3.10 Truck laybyes

The Consultant shall undertake field surveys and identify suitable locations for
provision of truck laybyes on the Project Highway. Truck laybyes shall, in
general, be located near check-barriers, interstate borders, places of
conventional stops of the truck operators etc. The length of each such truck
laybye shall also be indicated. Facilities for laybyes at inter-state border shall
also be provided for tax collection centres.

3.11 Bus bays and bus shelters

The Consultant shall undertake field surveys and identify suitable locations for
provision of bus bays and bus shelters on the Project Highway. As far as
possible, bus bays shall not be located on horizontal curves, summit of vertical
curves and bridges. Good visibility must be ensured. Further, the bus bays
should not be too close to major intersections. The length of each such bus bay
shall also be indicated.

The Consultant shall also indicate the locations of bus stands/bus stops
provided by the concerned State Transport Authorities on the Project
Highway.

3.12 Social impact assessment

The Consultant shall undertake social impact assessment on the Project

Highway, especially the persons affected due to the Project and requiring
resettlement and rehabilitation. The extant policies and guidelines of the
government would be kept in view while undertaking the assessment. He shall
prepare a plan for involuntary resettlement and land acquisition, which shall
include the following:

(a) Prepare in accordance with guidelines of the Government, a draft

Resettlement and Land Acquisition Plan;

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(b) Prepare area specific social assessments to support development of a

locally relevant approach to resettlement which provides benefits to
people in the Project’s area of influence, which include socioeconomic
conditions, social service infrastructure, and social institutions and
organization, in accordance with the Government policies and
guidelines;

(c) These social assessments should include gender and local ethnic aspects;

(d) Provide recommendations and action plan for the Concessionaire to

undertake, at the detailed design stage, a full census and inventory of lost
assets (households, shops and agricultural and other lands, or access to
current income-generating activities, including impacts caused by
permanent or temporary acquisition) of affected people and a baseline
socioeconomic survey of the affected population. Determine the scope
and magnitude of likely resettlement and land acquisition effects, and list
likely losses of households, agricultural lands, business and income
opportunities, as well as affected communal assets and public buildings;

(e) In consultation with local stakeholders, government and the Authority,

develop an entitlement matrix, on the basis of the consultations, socio-
economic surveys, and inventories of losses that will determine the
amount of compensation in accordance with the guidelines and policies
of the Government;

(f) Prepare the plans with full stakeholder participation, including the
Government and the Authority. Consult with affected persons and
community-based organizations to ensure that all affected persons have
been fully informed of their entitlements through the consultative
processes initiated by the Government and the Authority. Ensure that
communities and displaced persons understand the project, its impacts,
and the responsibilities of the parties; and

(g) Analyse and confirm the following aspects that will apply to land
acquisition and resettlement in the project area: (i) laws and regulations,
including local practices; (ii) budgetary processes for involuntary
resettlement and land acquisition; (iii) schedules for these activities that
are coordinated with the construction schedule; and (iv) administrative
arrangements and requirements.

3.13 Environment impact assessment

(a) The Consultant shall undertake environment impact assessment of the

Project Highway as per provisions of the Applicable Laws on
environment protection and identify a package of measures to
reduce/eliminate the adverse impact identified during the assessment. An
environmental impact assessment report and environmental management
plan shall be prepared based on such assessment. The management plan
shall include project specific mitigation and monitoring measures for

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identified impacts as well as management and monitoring plans to

address them.

(b) The Consultant shall also assist the Authority in conducting public
hearings and addressing the comments and suggestions received during
the EIA process with a view to getting environmental clearance from the
competent authority.

(c) Alignment selection has been done after a thorough study of the corridor
features through maps, satellite imageries etc. As such, the study should
include the aspect to ensure that the surface runoff obstructed by the
Expressway embankment is properly diverted to the streams where it is
destined to, by a system of longitudinal drains discharging into these
streams. Environmentally and ecologically sensitive areas, water bodies,
forests and heritage structures have been identified through the satellite
imageries and care has been taken that alignment should not pass
through such areas. As far as possible, acquisition of agricultural land
has been minimized and alignment is taken through wasteland.
However, in the detailed study, any problem associated with the
alignment will have to be identified by the Consultant and a suitable
solution will be proposed by the Consultant.

3.14 Preliminary designs

The Consultant shall arrive at the preliminary designs of various components
of the Project Highway keeping in view the requirements of the Manual and
the scope of services described in this TOR. It shall be responsible for the
accuracy of the physical details such as alignment, right of way, abutting land
use, assets within the right of way including safety devices, utilities, trees,
service roads, cross drainage structures, etc. The layout and preliminary
designs shall be supplemented with explanatory drawings, statements, charts,
notes as necessary. The Consultants shall develop as a part of these services a
set of design standards appropriate for expressway which will eventually form
Schedule D. Based on these standards, the consultants shall undertake the
preliminary design considering the soil and material availability, geometric
design standards, hydraulic investigations, operational requirements of the
expressway and facilities etc. The scope shall include, but not limited to, the
following:
(i) The expressway geometry shall be designed for a speed of 120 km per
hour in rural sections. Loops and ramps shall be designed considering the
speed differential of the expressway traffic and traffic on the intersecting
roads so as to ensure that merge and diverge operations on expressway and
intersecting roads are smooth and safe. The geometry of the expressway
shall be such that it would have smooth flowing horizontal and vertical
alignments with proper combinations of curvature, tangents and grades to
enhance the safety and aesthetic aspects of the expressway. Expressway
cross-section shall have liberal central reservation, where at least a lane on
each direction of the carriageway could be added for future expansion.
The cross-section shall include paved shoulders on either side of the

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carriageways, the widths of which shall be decided on the basis of

international best practice.
(ii) Emergency crossovers shall be provided, where the interchange spacing is
high, to avoid extreme adverse travel for emergency and law enforcement
vehicles. Maintenance crossovers shall also be provided to facilitate
maintenance operations. The width of the crossovers shall be sufficient to
provide safe turning movements.
(iii) Pavement (flexible) shall be designed typically for repetition of wheel
loads in terms of standard axles over a period of 15 years as per IRC
standards. Bridges and culverts shall be designed for IRC loading class
70 R and for seismic forces for appropriate zones.
(iv) Wayside amenities shall be proposed at approximately 50 km interval
along the expressway and smaller parking areas with toilet facilities at
every 25 km interval. Wayside amenities shall have facilities such as
parking, toilet, rest areas, restaurants, fuel station, expressway
information and communication facilities, telephones, emergency medical
aid facilities etc. The entire complex has to be conveniently laid out and
landscaped.
(v) Toll plazas shall be proposed with adequate number of traffic lanes based
on the traffic volume and an acceptable service time of not more than 5
seconds at the toll booth. The analysis shall be carried out through the
principles of queuing theory. Dedicated lanes for electronic toll
collection and manual toll collection shall be provided. The plazas can be
planned on the main line expressway or off-line.
(vi) A dedicated operation and maintenance centre shall be planned at every
75 km for accommodating the traffic control centre, offices for operation
and maintenance staff, a trauma centre, a maintenance base or yard with
equipment and material for carrying out emergency maintenance, parking
for rescue vehicles (cranes, etc.), patrol vehicles, ambulances, rest places
for personnel on night shift duty, a restaurant or canteen, etc.
(vii) All the expressway facilities, such as carriageway, wayside amenities, toll
plazas, operation and maintenance bases, shall be planned with focus on
safe and efficient operation of the facilities, the essential features of which
shall be complete access control, traffic safety and mobility, smooth toll
operation, quick response incident management, and maintaining an
acceptable level of service. While doing so, the interest of the local
communities, who may suffer from property or community severance,
denied access and other adverse environmental fall outs of the expressway
construction, shall be protected. Community consultation shall, therefore,
be an essential part of the scope of the consultancy service.
(viii) An integrated traffic management system will be proposed for improving
level of service and increasing safety by (a) allowing for prompt detection
and removal of expressway incidents and vehicle breakdowns; (b)
providing accurate and timely incident and delay information to users and
(c) effectively managing peak hour traffic flow through innovative traffic
control devices. The expressway management system will comprise of

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closed circuit televisions, variable message signs, weigh-in-motion

systems, classified traffic volume count devices, vehicle detector systems,
communication systems, central computer systems, ambulances, patrol
vehicles etc.
(ix) Environmental Impact Assessment (EIA), Resettlement Action Plan
(RAP) and preparation of documentation for all clearances, such as
environment and forest, utility agencies and other Government or local
authorities shall be prepared. Providing assistance in obtaining clearances
shall be a part of the consultancy services.
(x) As the reports submitted by the consultant shall form the basis for
preparation of the bidding documents, all the essential elements thereof
shall be proposed in various sections/stages of the report. These elements
shall include, inter-alia,
(a) Design standards for the expressway.
(b) Operation standards including real time traffic information,
monitoring, contract, incident management.
(c) Safety standards including lighting of appropriate areas (interchanges,
toll plazas, wayside amenities, operation base, etc.), safety during
maintenance operations/incident management, inclement weather,
ventilation and lighting of tunnel (if any).
(d) Maintenance standards for all the facilities, appropriate levels of
maintenance, timing/frequency of maintenance interventions.
(e) Specifications, testing methods and acceptance criteria for design,
construction, maintenance and operation.

3.15 Project cost

Preliminary cost estimation of the expressway based on the alignment and

cross-section shall be done. The Consultant shall work out indicative BOQ of
various components and prepare rough cost estimates of the Project Highway
with a break up of cost for each component separately. To the construction
cost so arrived at, the Consultant may add 25% (twenty five per cent) thereof
as a lumpsum provision for physical and price contingencies, interest during
construction and other financing costs, pre-construction expenses etc.

3.16 Financial analysis and bid process

3.16.1 Detailed financial analysis is not required to be undertaken by the Consultant.

However, the Consultant shall provide the estimated construction costs,
operation and maintenance costs, traffic forecast, toll revenues and other
revenues etc. as part of its preliminary financial analysis and appraisal of the
Project. The Consultant shall, also provide a preliminary assessment of the
financial viability of the Project with a view to estimating the likely IRR over
a concession period of 10 (ten) years, 15 (fifteen) years, 20 (twenty) years 25
(twenty five) years and 30 (thirty) years respectively. It shall also provide
assistance during the Bid Process for selection of the Concessionaire.

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Through a willingness to pay survey, the user response shall be determined.

The financial viability of the expressway for the assessed cost and potential
revenue shall be established. The financial support required, if any, for
bridging the viability gap shall also be estimated.

3.16.2 While undertaking the financial analysis and projecting the IRR, the following
assumptions shall be adopted:

(a) Capital cost shall be adopted as per estimates of construction cost to

which 25% (twenty five per cent) shall be added for physical and price
contingencies, interest during construction, other financing costs etc;

(b) debt equity ratio may be assumed as 70:30;

(c) O&M costs may be assumed as per norms of the Authority;

(d) the concession period may be fixed by reference to the year in which
the projected traffic would exceed the design capacity of the Project
Highway; and

(e) growth rate of traffic may be assumed at 5% (five per cent) per annum.

3.16.3 The Consultant shall:

(a) calculate the NPV and EIRR for the Project. It will undertake
sensitivity analysis by identifying the most critical factors and
determine their impact on the EIRR, including varying project costs
and benefits, implementation period, and combinations of these
factors; and

(b) conduct a risk analysis (using the Monte Carlo method) by considering
the possible values for key variables based on records, and their
occurrence probability.

3.16.4 If the IRR of the Project, based on the aforesaid calculations is less than 12%
(twelve per cent), an effort should be made to reduce the capital costs in
consultation with the Authority. This may be done either by omitting/
modifying some of the proposed structures or by phasing them after a period
of seven years or more, such that the IRR reaches a minimum of 12% (twelve
per cent).

3.17 Development of residential/commercial townships adjacent to Expressway

Looking at the high cost of the Project, NHAI is contemplating the possibility
of establishing commercial/residential townships adjacent to the proposed
Expressway (tentatively identified by the pre-feasibility Consultant) for cross
subsidising the viability gap funding. The proposed Expressway being access
controlled facility, the entry/exit to the proposed township shall be regulated
through a grade separated interchange. The Consultant shall prepare a
preliminary conceptual plan for these townships.

4. DELIVERABLES
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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
Kanpur-Lucknow Expressway
 Schedule-1: Terms of Reference

The Consultant shall deliver the following deliverables (the “Deliverables”)

during the course of this Consultancy. The Deliverables shall be so drafted that
they could be given to the prospective bidders for guidance in preparation of
their bids. Twenty hard copies and two soft copies in CDs of all the final
reports, drawings, etc. shall be submitted to the Authority. For draft reports
only five hard copies and one soft copy in CD shall be submitted to the
Authority. The size of drawings shall be A-3 (maximum).

A. Inception Report

On commencement of the Consultancy, the Consultant shall submit an

Inception Report. The Inception Report shall include the Consultant’s
submissions towards understanding of the RFP and the Work Plan. The
Inception Report shall also include the Consultant’s proposal regarding the
proposed locations of toll plazas and traffic survey stations (refer paras 3.3.3
and 3.9).

Within a period of four weeks of submission of the Inception Report, the

Consultant shall submit a Supplementary Inception Report where it must
clearly spell out the broad strategy for structuring the project in a manner that
would restrict the likely viability gap funding to a level not exceeding 20%
(twenty per cent) of the capital cost of the project assuming an IRR of 12%
(twelve per cent). In making this assessment, the Consultant shall follow the
assumptions specified in paragraph 3.15 above. In particular, the Consultant
must make realistic assumptions about the traffic projections and the resulting
revenue streams with a view to making an assessment of the capital cost that
can be sustained by such revenues. For this purpose, the Consultant shall
undertake a 7 (seven) day classified traffic volume count and a topographic
survey to identify geometric improvements, new bridges etc. The project
components should be so formulated as to make the project viable.

B. Alignment Study Report:

First Stage Report

The Consultant shall, on a large scale (1;10,000) satellite imagery with the
road and rail network overlaid thereon, undertake the preliminary selection of
various possible alignments including the location of terminal points.
Thereafter, these alternatives shall be overlaid on the satellite image.

A satellite map to the scale of 1:10,000 with possible alignments and terminal
points overlaid thereon accompanied with a report on the merits of each
alternative (two soft copies and ten hard copies) would be submitted for all
different alignments.

Second Stage Report

The Consultant shall fit in the detailed horizontal alignment corresponding to

each of the selected three alternatives on satellite imageries of scale 1:10,000.
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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
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 Schedule-1: Terms of Reference

Using a digital terrain model, the consultant will develop the vertical profile
for each of the alignments. He will continue iterations and refinements in the
horizontal alignment and vertical profile until an optimal solution is arrived at
meeting the requirements of these TOR.

Satellite maps to the scale of 1: 10,000 with detailed alignments and vertical
profile between the terminal points overlaid thereon accompanied with a
report on the merits of each alternative (two soft copies and ten hard copies)
would also be submitted.

Third Stage Report

The Consultant shall prepare the final alignment plan with the location (but
not the design) of interchanges and facilities (wayside amenities, automatic
traffic control centres, etc) marked thereon, a Right of Way and land
acquisition Plan

The final report, alignment plan and vertical profile overlaid on the satellite
imageries would also be submitted.

C. Reports on Environment and Social impact assessment

The Consultant shall submit Preliminary reports on social impact assessment and
environment impact assessment.

D. Report on Traffic Survey

(a) The work of preparing cross-sections and Land Plans, etc. shall be
undertaken based on the finalised alignment.

(b) The Consultant shall submit a Report on the first 7-day classified
traffic volume count giving an analysis of hourly and daily variations.
(Refer para 3.3.3).

E. Land Plan Schedules

(a) Land Plan schedules for acquisition of land for Expressway and other
grade separated structures, inter-changes, service roads etc. and land
required for facilities such as toll plazas, truck laybyes, bus bays, etc.
(Refer para 3.4.2 (i)) and prepare land acquisition papers for draft
notification as per section 3(A) and 3(D) of NH Act.

(b) Land Plan Schedules shall be provided

F. Utility Relocation Plans

Utility-wise preliminary plans together with approximate costs for

shifting/relocation shall be provided.

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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
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 Schedule-1: Terms of Reference

F. Reports on Environment and Social impact assessment

The Consultant shall submit reports on social impact assessment (Refer para
3.12) and environment impact assessment (Refer para 3.13).

G. Report on indicative GAD of Structures

The Consultant shall submit report on indicative GAD of bridges,

ROBs/RUBs, grade separators and interchanges (Refer paras 3.3.5, 3.3.6 and
3.6).

H. Pre-Feasibility Report

The consultant shall submit the pre-feasibility report, which shall include the
following:

(1) Sets of General Arrangement Drawings

a) A strip plan showing the location and layout of the entire expressway
alignment including the facilities

b) A set of Alignment Plan with typical L-sections, cross-sections of the

expressway, bridges, culverts, interchange loops and ramps,
overpasses/underpasses and approaches which can be used for the
purpose of bidding.
c) Indicative GADs of structures.
d) Traffic circulation tentative plans for interchanges, facilities,
access/cross roads.

(2) Preliminary designs

Preliminary designs of the Project Highway including service roads, consistent

with the existing facility and the additional requirements including Preliminary
layout of inter-sections, grade separators and inter-changes with ramps.

(3) Preliminary costing

(a) Indicative BOQ.

(b) Preliminary Cost Estimate for construction of Project Highway.

(c) Tentative Total Project Cost (Refer paras 3.15 and 3.16).

In determining the financial viability of the Project, the Consultant shall also seek the
advice of the Authority. In the event that a viable project does not seem feasible, the
Consultant shall not proceed with the Consultancy and the same shall stand
terminated. The Consultant shall be entitled to a payment of 25% (twenty five per
cent) of the Agreement Value upon such termination.

I. Feasibility Report
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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
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 Schedule-1: Terms of Reference

The Feasibility Report of the Project shall include the following:

(1) Sets of drawings
a) A strip plan showing the location and layout of the entire expressway
alignment including the facilities
b) A set of detailed Alignment Plan, L-sections, cross-sections of the
expressway, bridges, culverts, grade separators, interchange loops and
ramps, overpasses/underpasses and approaches which can be used for the
purpose of bidding
c) Layout of facilities and their approach/access from the expressway
d) Indicative GADs of structures
e) Traffic circulation plans for interchanges, facilities, access/cross roads
f) A land plan schedule for additional acquisition of land required for
structures, toll plazas, rest/service areas, control centers, trauma centers
etc. over and above ROW of alignment fixed.

(2) Investigation Reports

(a) Report on traffic survey and demand assessment (Refer para

3.3).

(b) Soil, geotechnical and drainage report as required for

preliminary design of the project (Refer para 3.4.3).

(3) Preliminary designs

Preliminary designs of the Project Highway including service roads,

consistent with the existing facility and the additional requirements
including:

(a) Traffic and toll forecasting for 10 (ten), 15 (fifteen), 20

(twenty), 25 (twenty five) and 30 (thirty) years.

(b) Preliminary pavement design for Expressway along with

typical cross-sections covering the following:
(i) Cross-sectional element and geometry
(ii) Traffic and toll forecasting
(iii) Preliminary Drainage assessment and design
(iv) Preliminary design and GADs for structures
(v) Traffic operation and safety plan
(vi) Physical facilities necessary for Advanced Traffic
Management System
(vii) Operation and maintenance system

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 Schedule-1: Terms of Reference

(c) Preliminary layout of grade separators and inter-changes with

ramps.

(4) Preliminary costing

(d) Indicative BOQ.

(e) Preliminary Cost Estimate for construction of Project Highway.

(f) Total Project Cost (Refer paras 3.15 and 3.16).

(5) Implementation schedule

(a) Construction period.

(b) Likely delays, if any, on account of land acquisition.

J. Schedules of Concession Agreement

The Consultant shall separately provide Schedules A, B, C, D, G, H and K of

the Concession Agreement for the Project Highway with all supporting
documentation relating to these Schedules. Explanation of the specific
requirements for the Project Highway is given in para 5 below.

K. Financial analysis

A preliminary financial assessment of the Project indicating the likely IRR for
a 10 (ten) year, 15 (fifteen) year, 20 (twenty) year, 25 (twenty five) year and
30 (thirty) year concession period respectively (Refer para 3.16).

The Consultant shall, based on the assumptions specified in paragraph 3.16,

indicate the likely viability gap funding for the project. In case the viability
gap funding projected in the Feasibility Report exceeds the projection in the
Pre Feasibility Report by more than 10% (ten per cent) of the capital costs, a
deduction of 10% (ten per cent) of the Agreement Value shall be made from
the payment due to the Consultant. Such deduction shall be deemed to be
mutually agreed genuine pre-estimated compensation and damages suffered by
the Authority on account of inaccurate projections leading to higher costs.

L. Assistance during bid process and Post award queries

The Consultant shall provide the required assistance to the financial consultant
and the legal adviser in preparation of bid documents. The Consultant shall
also participate in Pre-bid Conferences and assist in preparation of answers to
the Bidders’ queries on technical aspects of the Project Highway and Bid
Documents.

5. SPECIFIC REQUIREMENTS FOR THE PROJECT HIGHWAY

For preparing Schedules A, B, C, D, G, H and K of the Concession Agreement

and other specific requirements, the Consultant shall:

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 Schedule-1: Terms of Reference

(a) Provide utility wise preliminary plans for shifting of existing utilities and
construction of new utilities along or across the Project Highway.

(b) The Consultant shall identify and indicate the list of stretches/sections
where more than six lanes need be provided by the Concessionaire.

(c) Provide a list of stretches of the Project Highway passing through urban
limits and indicate the cross-section to be provided for each of these
stretches including the requirement of footpaths if any.

(d) Provide a linear Plan showing the land width across various stretches of
the Project Highway. This should include details of any additional land
being acquired or proposed to be acquired for, provision of intersections,
grade separators, interchanges, service roads, toll plazas and project
facilities.

(e) Provide a list indicating locations of encroachments on the Project

Highway along with a brief description thereof.

(f) Provide a list of stretches where flush or depressed median cannot be

provided and indicate the width of raised portion of the median in such
cases.

(g) Provide a list of stretches where service roads are proposed together with
their merging or otherwise at bridge locations. The Consultant shall also
indicate the design traffic for determining the pavement composition of
the service road if the forecast design traffic is more than 2 (two) msa.

(h) Provide a list of grade separators, interchanges, cattle and pedestrian

under/over passes together with their locations, broad lay out, length of
viaduct openings, and traffic circulation plan. The possibility of
providing grade separators and interchanges with ramps in second phase
shall be examined and a report on cost-effectiveness of such a proposal
included.

(i) Prepare an addendum to Schedule-K of the Concession Agreement

indicating the minimum performance and maintenance requirements for
the Expressway.

(j) Provide a list of utility services which are required to be carried over
structures.

(k) Provide a list of culverts to be constructed.

(l) Provide a list of bridge structures including existing ROBs/RUBs to be

constructed.

(m) Specifically bring out the requirements of any special structures like
cable stayed or special super structure for any particular bridge on the
Project Highway.

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 Schedule-1: Terms of Reference

(n) Provide a list of stretches where reinforced earth wall is proposed

together with maximum height of earth wall. Where the height of wall
proposed is more than 6 m, reasons for the same may also be given.

(o) Provide a list of stretches where reinforced earth wall is proposed

together with maximum height of earth wall. Where the height of wall
proposed is more than 6 m, reasons for the same may also be given.

(p) Provide a list of railway level crossings for ROB/RUB.

(q) Provide a list of structures under marine environment.

(r) Indicate specifications for reflecting sheeting for road signs with
Microprismatic retro-reflective element material.

(s) Indicate proposed location of toll plazas on the Project Highway.

(t) Provide a list of locations on the Project Highway where overhead traffic
signs are proposed together with proposed size.

(u) Provide an estimate of the number of trees to be planted as compensatory

afforestation.

(v) Provide a list of situations/locations where lighting shall be provided and

maintained by the concessionaire on the Project Highway.

(w) Provide a list of locations where truck laybyes are proposed on the
Project Highway.

(x) Provide a list of locations where busbays and bus shelters are proposed
on the Project Highway.

(y) Where the Project Highway passes through hills or ghats, provide a list
of stretches where climbing lane is proposed for ease of movement of
commercial vehicles.

(z) Provide a list of sections/locations where tunnels may be required .

(aa) Provide a list of retaining walls, breast wall etc..

(ab) Provide a list of drawings that the Authority may require the
Concessionaire to provide to the Independent Engineer as per Schedule-H
of the Concession Agreement (Indicative list at Attachment B of the TOR
for reference).

(ac) Provide utility wise indicative plans for shifting of existing utilities and
construction of new utilities along or across the Project Highway in the
first stage (see paragraph 4D).

(ad) Provide a list of wayside amenities.

6. TIME AND PAYMENT SCHEDULE

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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
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 Schedule-1: Terms of Reference

6.1 The total duration for preparation of the Feasibility Report and Schedules to
the Concession Agreement shall be 40 (forty) weeks, excluding the time taken
by the Authority in providing the requisite documents or in conveying its
comments on the Draft Feasibility Report. The Consultant shall deploy its Key
Personnel as per the Deployment of Personnel proposed. Intermittent services
will be required beyond the 37th (thirty seventh) week and until the end of 52
(fifty two) weeks or 2 (two) months after the signing of the Concession
Agreement, whichever is earlier. The man-days required for the intermittent
services shall be provided by the Consultant as per the Agreement.

6.2 Time schedule for important Deliverables (the “Key Dates”) of the
Consultancy and the payment schedule linked to the specified Deliverables is
given below:

Key
Week
Date Description of Deliverables Payment
No.
No.
KD1 Inception Report 2 5%
KD2 Alignment Study Report 17 15%
KD3 Report on Preliminary Environment and Social Impact 18 5%
Assessment
KD4 Report of Traffic Survey 19 5%
KD5 Pre-Feasibility Report 22 10%
KD6 Report on Environment and Social Impact Assessment 27 5%
KD7 Report on Indicative GAD of structures (bridges, grade 30 5%
separators, interchanges, ROBs and RUBs)
KD8 Report on Land Plan Schedules and Utility Relocation 32 10%
KD9 Draft Feasibility Report including Schedules to the 35 15%
Concession Agreement
KD10 Final Feasibility Report 40$ 15%
KD11 Assistance during Bid Process 50 5%
KD12 Completion of Bid Process 52 5%
Total 100%
$ Excludes the time taken by the Authority in providing its comments on Draft Reports. The Consultant
shall get one week for submission of the Final Feasibility Report after comments of the Authority are
provided.

6.3 The TOR for the Consultant envisages assistance in the process of public
hearings, etc. in respect of the Environment Impact Assessment (EIA) of the
Project Highway specified in para 3.13. In the event that the process cannot be
completed within the period specified herein for completion of Final
Feasibility Report, the EIA Report may be completed and submitted to the
Authority within an extended period of 6 (six) weeks after submission of the
Feasibility Report. A sum equal to 5% (five per cent) of the total payment due
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 Schedule-1: Terms of Reference

shall be withheld and paid to the Consultant upon submission of the EIA
Report and environment management plan.

6.4 Mobilization Advance upto 10% (ten per cent) of the total Agreement Value
shall be paid on request against Bank Guarantee of a Scheduled Bank. This
shall attract 10% (ten per cent) simple interest per annum and shall be adjusted
against the first four bills in four equal instalments and the accrued interest
shall be recovered from the fifth bill.

6.5 10% of the Agreement Value has been earmarked as Final Payment to be made
to the Consultant upon execution of the Concession Agreement. In the event
the Concession Agreement does not get executed within one year of the
Effective Date, the Final Payment shall not become due to the Consultant,
save and except the costs incurred for meeting its reimbursable expenses
during the period after expiry of 24 weeks from the Effective Date, including
travel costs and personnel costs, at the agreed rates.

7. MEETINGS

The Authority may review with the Consultant, any or all of the documents
and advice forming part of the Consultancy, in meetings and conferences
which will be held in New Delhi/Lucknow/Kanpur at the Authority’s office.
The Expressway is passing through three States, namely, Uttar Pradesh, hence
the Consultant may be required to attend/make presentations to the various
State Govt. authorities. Further, the Consultant may be required to attend
meetings and conferences with pre-qualified Bidders or the Selected Bidder.
The expenses towards attending such meetings during the period of
Consultancy, including travel costs and per diem, shall be reimbursed in
accordance with the Financial Proposal contained in Form–2 of Appendix-II
of the RFP. The days required to be spent in New Delhi/Lucknow/Kanpur
shall be computed at the rate of 8 (eight) man hours a day in case of an
outstation Consultant. For a Consultant having its office within the National
Capital Region, the time spent during meetings shall be calculated as per
actuals. No travel time shall be payable except in case of an expatriate
Consultant who will be entitled to claim actual travel time, subject to a
maximum of 10 (ten) man hours for a return journey.

8. CONSULTANCY TEAM

8.1 The Consultant shall form a multi-disciplinary team (the “Consultancy Team”)
for undertaking this assignment. The following Key Personnel whose
experience and responsibilities are briefly described herein would be
considered for evaluation of the Technical Proposal. Other expertise such as
that required for financial analysis, pavement design, material investigation
characterisation, quantity survey, social impact assessment etc. for the Project
Highway shall be included in the Team either through the Key Personnel
specified below or through other Professional Personnel, as necessary.

(a) Senior Highway Engineer-cum-Team Leader

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RFP for Appointment of Technical Consultant for preparation of feasibility- report of
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 Schedule-1: Terms of Reference

Educational Qualifications Graduate in Civil Engineering

Essential Experience 15 (fifteen) years in planning, project
preparation and design of highway projects.
Job responsibilities He will lead, coordinate and supervise the multi-
disciplinary team. It will be his responsibility to
guide the team in arriving at solutions within the
constraints specified in the TOR.
Minimum time required on site 45 (forty five) days

(b) Bridge Engineer

Educational Qualifications Post-Graduate in Civil Engineering
Essential Experience 7 (seven) years in analysis and design of major
highway bridges, flyovers, road over bridges
Job responsibilities He will be responsible for suggesting options
and propose preliminary design solutions under
the constraints described in the TOR.
Minimum time required at site 45 (forty five) days

(c) Traffic–cum-Safety Expert

Educational Qualifications Post Graduate in Traffic and/or Transportation
Engineering or Planning
Essential Experience 7 (seven) years in traffic surveys and studies,
traffic safety facilities, etc. on highway projects.
Job responsibilities He will be responsible for suggesting the broad
layout of intersections, interchanges, grade
separators and assessment of traffic forecast on
the Project Highway, road safety devices etc.
Minimum time required at site 45 (forty five) days

(d) Surveyor
Educational Qualifications Diploma in Surveying or Graduate/Diploma in
Civil Engineering
Essential Experience 7 (seven) years experience in surveying on
highway projects
Job responsibilities He will be responsible for quick traverse survey
of the alignment, cross section, l-section, strip
plan, land-use, etc. of the Project Highway.
Minimum time required at site 90 (ninety) days

(e) Financial Analyst

Educational Qualifications Post Graduate in Commerce/ Chartered
Accountant or equivalent.
Essential Experience 7 (seven) years in financial analysis and
modelling of infrastructure projects.
Job responsibilities He will be responsible for financial analysis and
modelling of the Project.
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 Schedule-1: Terms of Reference

Minimum time required at site 15 (fifteen) days

(f) Pavement Specialist

Educational Qualifications Graduate/Post-Graduate in Civil Engineering
Essential Experience 7 (seven) years in pavement design of rigid/
flexible pavements on project highway
Job responsibilities He will be responsible for design of rigid/flexible
pavement on the Project highway and suggesting
any new technology involved in design/
construction of rigid/flexible pavements.
Minimum time required at site 25 (twenty five) days

(g) Environmental Expert

Educational Qualifications Graduate in Civil Engineering / Masters /
Bachelor in Environmental Science or
equivalent
Essential Experience 7 (seven) years in environmental studies
Job responsibilities He will conduct the environmental impact
assessment of the Project.
Minimum time required at site 25 (twenty five) days

(h) GIS Expert

Educational Qualifications Graduate in any branch of Engineering or Post

Graduate in Geography, Geology with GIS
Applications as one of the main subjects.
Essential Experience 5 years in the relevant field
Job responsibilities He should be a GIS expert of not less than 5
years standing in Geographic Information
System and interpretation of remote sensed
data such as satellite imageries, air photo
interpretation, etc. He shall identify the
requirements of data (including their format),
assist NHAI in indenting these data from
sources such as Survey of India,, National
Remote Sensing Agency, or any other source,
use the data to develop the details of the
physical features of the ground, prepare a set of
geo-referenced maps on the satellite
imageries, and overlay the alignment(s)
developed by the Team Leader. He will also
provide the geospatial data for terrain
modeling as required by the Team Leader.

The experience in each of the areas as indicated

in bold should be demonstrated on specific
projects in adequate detail. He will be
responsible for suggesting options for alignment
and townships.
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 Schedule-1: Terms of Reference

Minimum time required on site 10 (ten) days

8.2 The Consultant shall establish a Project Office at a suitable location in the
National Capital Region for efficient and coordinated performance of its
Services. All the Key Personnel shall be deployed at this office during the first
24 (twenty four) weeks as specified in the Manning Schedule forming part of
the Agreement. The authorised officials of the Authority may visit the
Consultant’s Project Office any time during office hours for inspection and
interaction with the Consultant’s Personnel. It is not expected of the
Consultant to carry out the operations from the Head/Home Office. However,
he may do so for the remaining consultancy services beyond the first 24
(twenty four) weeks.

8.3 The Consultant shall mobilise and demobilise its Professional Personnel and
Support Personnel with the concurrence of the Authority and shall maintain
the time sheet/ attendance sheet of the working of all Personnel in the Project
Office. These time sheets/ attendance sheets shall be made available to the
Authority as and when asked for and a copy of such record shall be submitted
to the Authority at the end of each calendar month.

9. REPORTING

9.1 The Consultant will work closely with the Authority. The Authority has
established a Working Group (the “WG”) to enable conduct of this
assignment. A designated Project Director of the Authority will be responsible
for the overall coordination and project development. He will play a
coordinating role in dissemination of the Consultant’s outputs, facilitating
discussions, and ensuring required reactions and responses to the Consultant.

9.2 The Consultant may prepare Issue Papers highlighting issues that could
become critical for the timely completion of the Project and that require
attention from the Authority.

9.3 The Consultant will make a presentation on the inception report for discussion
with the WG at a meeting. This will be a working document. The Consultant is
required to prepare and submit a monthly report that includes and describes,
inter alia, general progress to date; data and reports obtained and reviewed,
conclusions to date, if any; concerns about availability of, or access to, data,
analyses, reports; questions regarding the TOR or any other matters regarding
work scope and related issues; and so on. The Consultants’ work on the TOR
tasks should continue while the report is under consideration and is being
discussed.

9.4 Regular communication with the WG and the Project Director is required in
addition to all key communications. This may take the form of telephone/
teleconferencing, emails, faxes, and occasional meetings.

9.5 The Deliverables will be submitted as per schedule provided in this RFP.

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10. DATA AND SOFTWARE TO BE MADE AVAILABLE BY THE

AUTHORITY

The Authority shall provide to the Consultant the following:

(a) A copy of the Manual of Specifications and Standards for Four-laning

of highways.

(b) A copy of the Manual of Specifications and Standards for Six-laning of

highways.

(c) A copy of the Model Concession Agreement.

(d) A copy of the Toll Rules.

Available data as may be required by the Consultant will be provided by the

Authority on request. The Nodal Officer designated by the Authority shall
facilitate handing over of such information to the Consultant.

11. COMPLETION OF SERVICES

11.1 All the study outputs including primary data shall be compiled, classified and
submitted by the Consultant to the Authority in soft form apart from the
reports indicated in the Deliverables (para 4). The study outputs shall remain
the property of the Authority and shall not be used for any purpose other than
that intended under these Terms of Reference without the permission of the
Authority. The Consultancy shall stand completed on acceptance by the
Authority of all the Deliverables of the Consultant and execution of the
Concession Agreement or 52 (fifty two) weeks from the Effective Date,
whichever is earlier. The Authority shall issue a certificate to that effect. The
Consultancy shall in any case be deemed to be completed upon expiry of 1
(one) year from the Effective Date, unless extended by mutual consent of the
Authority and the Consultant.

11.2 10% (ten per cent) of the Agreement Value has been earmarked as lump sum
payment to be made to the Consultant upon execution of the Concession
Agreement (the “Lump Sum Payment”). In consideration of the Lump Sum
Payment, the Consultant shall provide such services as may be required by the
Authority for concluding the Bid Process and execution of the Concession
Agreement. In the event the Concession Agreement does not get executed
within one year of the Effective Date, the Consultancy shall stand completed
as specified in Clause 11.1 above, but no Lump Sum Payment shall be due to
the Consultant, save and except the costs incurred for meeting its expenses
during the period after expiry of 24 (twenty four) weeks from the Effective
Date, including travel costs and personnel costs, at the agreed rates specified
in Annex-3 of the Agreement, which shall be reimbursed to the Consultant as
per actuals. For the avoidance of doubt, it is agreed that reimbursement of such
costs on travel and personnel shall be due to the Consultant as aforesaid, even
if the Concession Agreement is not executed.

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Attachment A to the TOR

Topographic Survey

1. The field surveys would be sufficiently detailed to meet the following

objectives:

(i) Finalising the alignment and location of new carriageway including

location of new bridges and other grade separated structures.

(ii) Preliminary layout of interchanges and grade separators.

(iii) Preparation of Land Plans for acquisition of additional land where

necessary.

(iv) Plans for shifting and relocation of utilities.

2. The field surveys shall be carried out using high precision instruments, i.e.
total stations and would cover the following activities:

(i) Running a continuous open traverse along the road .

(ii) Collection of details for all features such as structures (bridges,

culverts, etc.) utilities, existing roads, electric and telephone
installations (both O/H as well as underground), huts, buildings,
fencing, trees, oil and gas lines, etc. falling within the extent of survey.

3. The width of survey corridor shall be as under:

(i) The topographic surveys shall cover sufficient width beyond the centre
line of the proposed divided carriageway, considering likely placing of
new carriageway and height of the embankment. The width of the
survey corridor shall take into account the, layout of interchanges,
extent of embankment and cut slopes and the general ground profile.

(ii) Where existing roads cross the alignment, the survey shall extend to a
minimum of 100 m on either side of the road centre line and shall be
for sufficient width to allow improvements, including at grade
intersection.

4. The important features of the survey conducted and the reference points taken
in consideration like GPS bench mark, temporary and permanent bench marks,
etc. shall be listed in appropriate formats.

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Attachment B to the TOR

Indicative List of Drawings for Schedule-H of the Concession Agreement

1. Drawings of horizontal alignment, vertical profile and cross-sections.

2. Drawings of cross drainage works.

3. Drawings of major interchanges, grade separators, underpasses and

ROBs/RUBs.

4. Drawings of toll plaza layout, toll collection systems and roadway

approaching and exiting toll plaza.

5. Drawings of Traffic Control Centre and ATMS.

6. Drawings of bus-bays and bus shelters with furniture and drainage system.

7. Drawings of truck lay byes with furniture and drainage system.

8. Drawings of road furniture items including traffic signs, pavement markings,

safety barriers, etc.

9. Drawings of traffic diversion plans and traffic control measures in

construction zones.

10. Drawings of road drainage measures.

11. Drawings of typical details for slope protection measures.

12. Drawings of landscaping and horticulture.

13. Drawings of pedestrian and cattle under / over passes.

14. Drawings of street lighting.

15. General arrangement of Base camp and Administrative Block.

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 SCHEDULE–2
(See Clause 2.1.3)

AGREEMENT

FOR

PREPARATION OF FEASIBILITY- REPORT OF KANPUR-

LUCKNOW EXPRESSWAY

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 CONTENTS Page no.
1. General

1.1 Definitions and Interpretation

1.2 Relation between the Parties
1.3 Rights and Obligations
1.4 Governing law and jurisdiction
1.5 Language
1.6 Table of contents and headings
1.7 Notices
1.8 Location
1.9 Authority of Member-in-Charge
1.10 Authorised representatives
1.11 Taxes and duties

2. Commencement, Completion and Termination

of Agreement

2.1 Effectiveness of Agreement

2.2 Commencement of Services
2.3 Termination of Agreement for failure to commence Services
2.4 Expiration of Agreement
2.5 Entire Agreement
2.6 Modification of Agreement
2.7 Force Majeure
2.8 Suspension of Agreement
2.9 Termination of Agreement

3. Obligations of the Consultant

3.1 General
3.2 Conflict of Interest
3.3 Confidentiality
3.4 Liability of the Consultant
3.5 Insurance to be taken out by the Consultant
3.6 Accounting, inspection and auditing
3.7 Consultant’s actions requiring the Authority’s prior approval
3.8 Reporting obligations
3.9 Documents prepared by the Consultant to be the property of the
Authority
3.10 Equipment and materials furnished by the Authority
3.11 Providing access to the Project Office and Personnel
3.12 Accuracy of Documents

4. Consultant’s Personnel and Sub-Consultant

4.1 General

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 4.2 Deployment of Personnel
4.3 Approval of Personnel
4.4 Substitution of Key Personnel
4.5 Working hours, overtime, leave etc.
4.6 Resident Team Leader and Project Manager
4.7. Sub-Consultants

5. Obligations of the Authority

5.1 Assistance in clearances etc.

5.2 Access to land and property
5.3 Change in Applicable Law
5.4 Payment

6. Payment to the Consultant

6.1 Cost estimates and Agreement Value

6.2 Currency of payment
6.3 Mode of billing and payment

7. Liquidated damages and penalties

7.1 Performance Security

7.2 Liquidated Damages
7.3 Penalty for deficiency in Services

8. Fairness and Good Faith

8.1 Good Faith

8.2 Operation of the Agreement

9. Settlement of Disputes

9.1 Amicable settlement

9.2 Dispute resolution
9.3 Conciliation
9.4 Arbitration

ANNEXES
Annex 1: Terms of Reference
Annex 2: Deployment of Personnel
Annex 3: Estimate of Personnel Costs
Annex 4: Approved Sub-Consultant(s)
Annex 5: Cost of Services
Annex 6: Payment Schedule
Annex 7: Bank Guarantee for Performance Security

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 AGREEMENT

Preparation of Feasibility Report for Kanpur-Lucknow Expressway

AGREEMENT No._________

This AGREEMENT (hereinafter called the “Agreement”) is made on the

_________ day of the month of ________ 2***, between, on the one hand, the
President of India acting through the Chairman, National Highways Authority of
India (hereinafter called the “Authority” which expression shall include their
respective successors and permitted assigns, unless the context otherwise requires)
and, on the other hand, ________________________ (hereinafter called the
“Consultant” which expression shall include their respective successors and
permitted assigns).

WHEREAS

(A) The Authority vide its Request for Proposal for Preparation of Feasibility
Report (hereinafter called the “Consultancy”) for Kanpur-
LucknowExpressway (hereinafter called the “Project”);

(B) the Consultant submitted its proposals for the aforesaid work, whereby the
Consultant represented to the Authority that it had the required professional
skills, and in the said proposals the Consultant also agreed to provide the
Services to the Authority on the terms and conditions as set forth in the
RFP and this Agreement; and

(C) the Authority, on acceptance of the aforesaid proposals of the Consultant,

awarded the Consultancy to the Consultant vide its Letter of Award dated
_____________ (the “LOA”); and

(D) in pursuance of the LOA, the parties have agreed to enter into this
Agreement.

NOW, THEREFORE, the parties hereto hereby agree as follows:

1. GENERAL

1.1 Definitions and Interpretation

1.1.1 The words and expressions beginning with capital letters and defined in this
Agreement shall, unless the context otherwise requires, have the meaning
hereinafter respectively assigned to them:

(a) “Additional Costs” shall have the meaning set forth in Clause
6.1.2;

(b) “Agreement” means this Agreement, together with all the Annexes;

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 (c) “Agreement Value” shall have the meaning set forth in Clause
6.1.2;

(d) “Applicable Laws” means the laws and any other instruments
having the force of law in India as they may be issued and in force
from time to time;

(e) “Confidential Information” shall have the meaning set forth in

Clause 3.3;

(f) “Conflict of Interest” shall have the meaning set forth in Clause 3.2
read with the provisions of RFP;

(g) “Dispute” shall have the meaning set forth in Clause 9.2.1;

(h) “Effective Date” means the date on which this Agreement comes
into force and effect pursuant to Clause 2.1;

(i) “Expatriate Personnel” means such persons who at the time of

being so hired had their domicile outside India;

(j) “Government” means the Government of India;

(k) “INR, Re. or Rs.” means Indian Rupees;

(l) “Member”, in case the Consultant consists of a joint venture or

consortium of more than one entity, means any of these entities, and
“Members” means all of these entities;

(m) “Party” means the Authority or the Consultant, as the case may be,
and Parties means both of them;

(n) “Personnel” means persons hired by the Consultant or by any Sub-

Consultant as employees and assigned to the performance of the
Services or any part thereof;

(o) “Resident Personnel” means such persons who at the time of being
so hired had their domicile inside India;

(p) “RFP” means the Request for Proposal document in response to

which the Consultant’s proposal for providing Services was
accepted;

(q) “Services” means the work to be performed by the Consultant

pursuant to this Agreement, as described in the Terms of Reference
hereto;

(r) “Sub-Consultant” means any entity to which the Consultant

subcontracts any part of the Services in accordance with the
provisions of Clause 4.7; and

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 (s) “Third Party” means any person or entity other than the
Government, the Authority, the Consultant or a Sub-Consultant.

All terms and words not defined herein shall, unless the context
otherwise requires, have the meaning assigned to them in the RFP.

1.1.2 The following documents along with all addenda issued thereto shall be
deemed to form and be read and construed as integral parts of this
Agreement and in case of any contradiction between or among them the
priority in which a document would prevail over another would be as laid
down below beginning from the highest priority to the lowest priority:

(a) Agreement;

(b) Annexes of Agreement;

(c) RFP; and

(d) Letter of Award.

1.2 Relation between the Parties

Nothing contained herein shall be construed as establishing a relation of

master and servant or of agent and principal as between the Authority and
the Consultant. The Consultant shall, subject to this Agreement, have
complete charge of Personnel performing the Services and shall be fully
responsible for the Services performed by them or on their behalf
hereunder.

1.3 Rights and obligations

The mutual rights and obligations of the Authority and the Consultant shall
be as set forth in the Agreement, in particular:

(a) the Consultant shall carry out the Services in accordance with the
provisions of the Agreement; and

(b) the Authority shall make payments to the Consultant in accordance

with the provisions of the Agreement.

1.4 Governing law and jurisdiction

This Agreement shall be construed and interpreted in accordance with and

governed by the laws of India, and the courts at New Delhi shall have
exclusive jurisdiction over matters arising out of or relating to this
Agreement.

1.5 Language

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 All notices required to be given by one Party to the other Party and all other
communications, documentation and proceedings which are in any way
relevant to this Agreement shall be in writing and in English language.

1.6 Table of contents and headings

The table of contents, headings or sub-headings in this Agreement are for

convenience of reference only and shall not be used in, and shall not affect,
the construction or interpretation of this Agreement.

1.7 Notices

Any notice or other communication to be given by any Party to the other

Party under or in connection with the matters contemplated by this
Agreement shall be in writing and shall:

(a) in the case of the Consultant, be given by facsimile or e-mail and by

letter delivered by hand to the address given and marked for
attention of the Consultant’s Representative set out below in Clause
1.10 or to such other person as the Consultant may from time to
time designate by notice to the Authority; provided that notices or
other communications to be given to an address outside ***** may,
if they are subsequently confirmed by sending a copy thereof by
registered acknowledgement due, air mail or by courier, be sent by
facsimile or e-mail to the number as the Consultant may from time
to time specify by notice to the Authority;

(b) in the case of the Authority, be given by facsimile or e-mail and by

letter delivered by hand and be addressed to the Authority with a
copy delivered to the Authority Representative set out below in
Clause 1.10 or to such other person as the Authority may from time
to time designate by notice to the Consultant; provided that if the
Consultant does not have an office in the National Capital Region it
may send such notice by facsimile or e-mail and by registered
acknowledgement due, air mail or by courier; and

(c) any notice or communication by a Party to the other Party, given in

accordance herewith, shall be deemed to have been delivered when
in the normal course of post it ought to have been delivered and in
all other cases, it shall be deemed to have been delivered on the
actual date and time of delivery; provided that in the case of
facsimile or e-mail, it shall be deemed to have been delivered on the
working days following the date of its delivery.

1.8 Location

The Services shall be performed at the site of the Project in accordance

with the provisions of RFP and at such locations as are incidental thereto,
including the offices of the Consultant.

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1.9 Authority of Member-in-charge

In case the Consultant consists of a consortium of more than one entity, the
Parties agree that the Lead Member shall act on behalf of the Members in
exercising all the Consultant’s rights and obligations towards the Authority
under this Agreement, including without limitation the receiving of
instructions and payments from the Authority.

1.10 Authorised Representatives

1.10.1 Any action required or permitted to be taken, and any document required or
permitted to be executed, under this Agreement by the Authority or the
Consultant, as the case may be, may be taken or executed by the officials
specified in this Clause 1.10.

1.10.2 The Authority may, from time to time, designate one of its officials as the
Authority Representative. Unless otherwise notified, the Authority
Representative shall be:

************

***********

***********

***********

Tel: ******** Fax: ********* E-mail: *********

1.10.3 The Consultant may designate one of its employees as Consultant’s

Representative. Unless otherwise notified, the Consultant’s Representative
shall be:

--------------

--------------

Tel: -------------------

Mobile: -------------------

Fax: -------------------

Email: -------------------

1.11 Taxes and duties

Unless otherwise specified in the Agreement, the Consultant shall pay all
such taxes, duties, fees and other impositions as may be levied under the
Applicable Laws and the Authority shall perform such duties in regard to
the deduction of such taxes as may be lawfully imposed on it.

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2. COMMENCEMENT, COMPLETION AND TERMINATION OF
AGREEMENT

2.1 Effectiveness of Agreement

This Agreement shall come into force and effect on the date of this
Agreement (the “Effective Date”).

2.2 Commencement of Services

The Consultant shall commence the Services within a period of 7 (seven)

days from the Effective Date, unless otherwise agreed by the Parties.

2.3 Termination of Agreement for failure to commence Services

If the Consultant does not commence the Services within the period
specified in Clause 2.2 above, the Authority may, by not less than 2 (two)
weeks’ notice to the Consultant, declare this Agreement to be null and void,
and in the event of such a declaration, the Bid Security of the Consultant
shall stand forfeited.

2.4 Expiration of Agreement

Unless terminated earlier pursuant to Clauses 2.3 or 2.9 hereof, this

Agreement shall, unless extended by the Parties by mutual consent, expire
upon the earlier of (i) expiry of a period of 90 (ninety) days after the
delivery of the final deliverable to the Authority; and (ii) the expiry of 1
(one) year from the Effective Date. Upon Termination, the Authority shall
make payments of all amounts due to the Consultant hereunder.

2.5 Entire Agreement

2.5.1 This Agreement and the Annexes together constitute a complete and
exclusive statement of the terms of the agreement between the Parties on
the subject hereof, and no amendment or modification hereto shall be valid
and effective unless such modification or amendment is agreed to in
writing by the Parties and duly executed by persons especially empowered
in this behalf by the respective Parties. All prior written or oral
understandings, offers or other communications of every kind pertaining to
this Agreement are abrogated and withdrawn; provided, however, that the
obligations of the Consultant arising out of the provisions of the RFP shall
continue to subsist and shall be deemed to form part of this Agreement.

2.5.2 Without prejudice to the generality of the provisions of Clause 2.5.1, on

matters not covered by this Agreement, the provisions of RFP shall apply.

2.6 Modification of Agreement

Modification of the terms and conditions of this Agreement, including any

modification of the scope of the Services, may only be made by written

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 agreement between the Parties. Pursuant to Clauses 4.2.3 and 6.1.3 hereof,
however, each Party shall give due consideration to any proposals for
modification made by the other Party.

2.7 Force Majeure

2.7.1 Definition

(a) For the purposes of this Agreement, “Force Majeure” means an

event which is beyond the reasonable control of a Party, and which
makes a Party’s performance of its obligations hereunder impossible
or so impractical as reasonably to be considered impossible in the
circumstances, and includes, but is not limited to, war, riots, civil
disorder, earthquake, fire, explosion, storm, flood or other adverse
weather conditions, strikes, lockouts or other industrial action
(except where such strikes, lockouts or other industrial action are
within the power of the Party invoking Force Majeure to prevent),
confiscation or any other action by government agencies.

(b) Force Majeure shall not include (i) any event which is caused by the
negligence or intentional action of a Party or such Party’s Sub-
Consultant or agents or employees, nor (ii) any event which a
diligent Party could reasonably have been expected to both (A) take
into account at the time of the conclusion of this Agreement, and
(B) avoid or overcome in the carrying out of its obligations
hereunder.

(c) Force Majeure shall not include insufficiency of funds or failure to

make any payment required hereunder.

2.7.2 No breach of Agreement

The failure of a Party to fulfil any of its obligations hereunder shall not be
considered to be a breach of, or default under, this Agreement insofar as
such inability arises from an event of Force Majeure, provided that the
Party affected by such an event has taken all reasonable precautions, due
care and reasonable alternative measures, all with the objective of carrying
out the terms and conditions of this Agreement.

2.7.3 Measures to be taken

(a) A Party affected by an event of Force Majeure shall take all

reasonable measures to remove such Party’s inability to fulfil its
obligations hereunder with a minimum of delay.

(b) A Party affected by an event of Force Majeure shall notify the other
Party of such event as soon as possible, and in any event not later
than 14 (fourteen) days following the occurrence of such event,
providing evidence of the nature and cause of such event, and shall

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 similarly give notice of the restoration of normal conditions as soon
as possible.

(c) The Parties shall take all reasonable measures to minimise the
consequences of any event of Force Majeure.

2.7.4 Extension of time

Any period within which a Party shall, pursuant to this Agreement,

complete any action or task, shall be extended for a period equal to the time
during which such Party was unable to perform such action as a result of
Force Majeure.

2.7.5 Payments

During the period of its inability to perform the Services as a result of an

event of Force Majeure, the Consultant shall be entitled to be reimbursed
for additional costs reasonably and necessarily incurred by it during such
period for the purposes of the Services and in reactivating the Services after
the end of such period.

2.7.6 Consultation

Not later than 30 (thirty) days after the Consultant has, as the result of an
event of Force Majeure, become unable to perform a material portion of the
Services, the Parties shall consult with each other with a view to agreeing
on appropriate measures to be taken in the circumstances.

2.8 Suspension of Agreement

The Authority may, by written notice of suspension to the Consultant,

suspend all payments to the Consultant hereunder if the Consultant shall be
in breach of this Agreement or shall fail to perform any of its obligations
under this Agreement, including the carrying out of the Services; provided
that such notice of suspension (i) shall specify the nature of the breach or
failure, and (ii) shall provide an opportunity to the Consultant to remedy
such breach or failure within a period not exceeding 30 (thirty) days after
receipt by the Consultant of such notice of suspension.

2.9 Termination of Agreement

2.9.1 By the Authority

The Authority may, by not less than 30 (thirty) days’ written notice of
termination to the Consultant, such notice to be given after the occurrence
of any of the events specified in this Clause 2.9.1, terminate this Agreement
if:

(a) the Consultant fails to remedy any breach hereof or any failure in the
performance of its obligations hereunder, as specified in a notice of

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 suspension pursuant to Clause 2.8 hereinabove, within 30 (thirty)
days of receipt of such notice of suspension or within such further
period as the Authority may have subsequently granted in writing;

(b) the Consultant becomes insolvent or bankrupt or enters into any

agreement with its creditors for relief of debt or take advantage of any
law for the benefit of debtors or goes into liquidation or receivership
whether compulsory or voluntary;

(c) the Consultant fails to comply with any final decision reached as a
result of arbitration proceedings pursuant to Clause 9 hereof;

(d) the Consultant submits to the Authority a statement which has a

material effect on the rights, obligations or interests of the Authority
and which the Consultant knows to be false;

(e) any document, information, data or statement submitted by the

Consultant in its Proposals, based on which the Consultant was
considered eligible or successful, is found to be false, incorrect or
misleading;

(f) as the result of Force Majeure, the Consultant is unable to perform a

material portion of the Services for a period of not less than 60 (sixty)
days; or

(g) the Authority, in its sole discretion and for any reason whatsoever,
decides to terminate this Agreement.

2.9.2 By the Consultant

The Consultant may, by not less than 30 (thirty) days’ written notice to the
Authority, such notice to be given after the occurrence of any of the events
specified in this Clause 2.9.2, terminate this Agreement if:

(a) the Authority fails to pay any money due to the Consultant pursuant
to this Agreement and not subject to dispute pursuant to Clause 9
hereof within 45 (forty five) days after receiving written notice from
the Consultant that such payment is overdue;

(b) the Authority is in material breach of its obligations pursuant to this

Agreement and has not remedied the same within 45 (forty five)
days (or such longer period as the Consultant may have
subsequently granted in writing) following the receipt by the
Authority of the Consultant’s notice specifying such breach;

(c) as the result of Force Majeure, the Consultant is unable to perform a

material portion of the Services for a period of not less than 60
(sixty) days; or

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 (d) the Authority fails to comply with any final decision reached as a
result of arbitration pursuant to Clause 9 hereof.

2.9.3 Cessation of rights and obligations

Upon termination of this Agreement pursuant to Clauses 2.3 or 2.9 hereof,

or upon expiration of this Agreement pursuant to Clause 2.4 hereof, all
rights and obligations of the Parties hereunder shall cease, except (i) such
rights and obligations as may have accrued on the date of termination or
expiration, or which expressly survive such Termination; (ii) the obligation
of confidentiality set forth in Clause 3.3 hereof; (iii) the Consultant’s
obligation to permit inspection, copying and auditing of such of its
accounts and records set forth in Clause 3.6, as relate to the Consultant’s
Services provided under this Agreement; and (iv) any right or remedy
which a Party may have under this Agreement or the Applicable Law.

2.9.4 Cessation of Services

Upon termination of this Agreement by notice of either Party to the other

pursuant to Clauses 2.9.1 or 2.9.2 hereof, the Consultant shall, immediately
upon dispatch or receipt of such notice, take all necessary steps to bring the
Services to a close in a prompt and orderly manner and shall make every
reasonable effort to keep expenditures for this purpose to a minimum. With
respect to documents prepared by the Consultant and equipment and
materials furnished by the Authority, the Consultant shall proceed as
provided respectively by Clauses 3.9 or 3.10 hereof.

2.9.5 Payment upon Termination

Upon termination of this Agreement pursuant to Clauses 2.9.1 or 2.9.2

hereof, the Authority shall make the following payments to the Consultant
(after offsetting against these payments any amount that may be due from
the Consultant to the Authority):

(i) remuneration pursuant to Clause 6 hereof for Services satisfactorily

performed prior to the date of termination;

(ii) reimbursable expenditures pursuant to Clause 6 hereof for

expenditures actually incurred prior to the date of termination; and

(iii) except in the case of termination pursuant to sub-clauses (a) through

(e) of Clause 2.9.1 hereof, reimbursement of any reasonable cost
incidental to the prompt and orderly termination of the Agreement
including the cost of the return travel of the Consultant’s personnel.

2.9.6 Disputes about Events of Termination

If either Party disputes whether an event specified in Clause 2.9.1 or in

Clause 2.9.2 hereof has occurred, such Party may, within 30 (thirty) days
after receipt of notice of termination from the other Party, refer the matter

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 to arbitration pursuant to Clause 9 hereof, and this Agreement shall not be
terminated on account of such event except in accordance with the terms of
any resulting arbitral award.

3. OBLIGATIONS OF THE CONSULTANT

3.1 General

3.1.1 Standards of Performance

The Consultant shall perform the Services and carry out its obligations
hereunder with all due diligence, efficiency and economy, in accordance
with generally accepted professional techniques and practices, and shall
observe sound management practices, and employ appropriate advanced
technology and safe and effective equipment, machinery, materials and
methods. The Consultant shall always act, in respect of any matter relating
to this Agreement or to the Services, as a faithful adviser to the Authority,
and shall at all times support and safeguard the Authority's legitimate
interests in any dealings with Sub-Consultants or Third Parties.

3.1.2 Terms of Reference

The scope of services to be performed by the Consultant is specified in the

Terms of Reference (the “TOR”) at Annex-1 of this Agreement. The
Consultant shall provide the Deliverables specified therein in conformity
with the time schedule stated therein.

3.1.3 Applicable Laws

The Consultant shall perform the Services in accordance with the

Applicable Laws and shall take all practicable steps to ensure that any Sub-
Consultant, as well as the Personnel and agents of the Consultant and any
Sub-Consultant, comply with the Applicable Laws.

3.2 Conflict of Interest

3.2.1 The Consultant shall not have a Conflict of Interest and any breach hereof
shall constitute a breach of the Agreement.

3.2.2 Consultant and Affiliates not to be otherwise interested in the Project

The Consultant agrees that, during the term of this Agreement and after its
termination, the Consultant or any Associate thereof and any entity
affiliated with the Consultant, as well as any Sub-Consultant and any entity
affiliated with such Sub-Consultant, shall be disqualified from providing
goods, works, services, loans or equity for any project resulting from or
closely related to the Services and any breach of this obligation shall
amount to a Conflict of Interest; provided that the restriction herein shall
not apply after a period of five years from the completion of this
assignment or to consulting assignments granted by banks/ lenders at any

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 time; provided further that this restriction shall not apply to consultancy/
advisory services provided to the Authority in continuation of this
Consultancy or to any subsequent consultancy/ advisory services provided
to the Authority in accordance with the rules of the Authority. For the
avoidance of doubt, an entity affiliated with the Consultant shall include a
partner in the Consultant’s firm or a person who holds more than 5% (five
per cent) of the subscribed and paid up share capital of the Consultant, as
the case may be, and any Associate thereof.

3.2.3 Prohibition of conflicting activities

Neither the Consultant nor its Sub-Consultant nor the Personnel of either of
them shall engage, either directly or indirectly, in any of the following
activities:

(a) during the term of this Agreement, any business or professional

activities which would conflict with the activities assigned to them
under this Agreement;

(b) after the termination of this Agreement, such other activities as may
be specified in the Agreement; or

(c) at any time, such other activities as have been specified in the RFP
as Conflict of Interest.

3.2.4 Consultant not to benefit from commissions, discounts, etc.

The remuneration of the Consultant pursuant to Clause 6 hereof shall

constitute the Consultant’s sole remuneration in connection with this
Agreement or the Services and the Consultant shall not accept for its own
benefit any trade commission, discount or similar payment in connection
with activities pursuant to this Agreement or to the Services or in the
discharge of its obligations hereunder, and the Consultant shall use its best
efforts to ensure that any Sub-Consultant, as well as the Personnel and
agents of either of them, similarly shall not receive any such additional
remuneration.

3.2.5 The Consultant and its Personnel shall observe the highest standards of
ethics and shall not have engaged in and shall not hereafter engage in any
corrupt practice, fraudulent practice, coercive practice, undesirable practice
or restrictive practice (collectively the “Prohibited Practices”).
Notwithstanding anything to the contrary contained in this Agreement, the
Authority shall be entitled to terminate this Agreement forthwith by a
communication in writing to the Consultant, without being liable in any
manner whatsoever to the Consultant, if it determines that the Consultant
has, directly or indirectly or through an agent, engaged in any Prohibited
Practices in the Selection Process or before or after entering into of this
Agreement. In such an event, the Authority shall forfeit and appropriate the
performance security, if any, as mutually agreed genuine pre-estimated
compensation and damages payable to the Authority towards, inter alia, the

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 time, cost and effort of the Authority, without prejudice to the Authority’s
any other rights or remedy hereunder or in law.

3.2.6 Without prejudice to the rights of the Authority under Clause 3.2.5 above
and the other rights and remedies which the Authority may have under this
Agreement, if the Consultant is found by the Authority to have directly or
indirectly or through an agent, engaged or indulged in any Prohibited
Practices, during the Selection Process or before or after the execution of
this Agreement, the Consultant shall not be eligible to participate in any
tender or RFP issued during a period of 2 (two) years from the date the
Consultant is found by the Authority to have directly or indirectly or
through an agent, engaged or indulged in any Prohibited Practices.

3.2.7 For the purposes of Clauses 3.2.5 and 3.2.6, the following terms shall have
the meaning hereinafter respectively assigned to them:

(a) “corrupt practice” means the offering, giving, receiving or

soliciting, directly or indirectly, of anything of value to influence
the actions of any person connected with the Selection Process (for
removal of doubt, offering of employment or employing or
engaging in any manner whatsoever, directly or indirectly, any
official of the Authority who is or has been associated in any
manner, directly or indirectly with Selection Process or LOA or
dealing with matters concerning the Agreement before or after the
execution thereof, at any time prior to the expiry of one year from
the date such official resigns or retires from or otherwise ceases to
be in the service of the Authority, shall be deemed to constitute
influencing the actions of a person connected with the Selection
Process); or (ii) engaging in any manner whatsoever, whether
during the Selection Process or after the issue of LOA or after the
execution of the Agreement, as the case may be, any person in
respect of any matter relating to the Project or the LOA or the
Agreement, who at any time has been or is a legal, financial or
technical adviser the Authority in relation to any matter concerning
the Project;

(b) “fraudulent practice” means a misrepresentation or omission of

facts or suppression of facts or disclosure of incomplete facts, in
order to influence the Selection Process;

(c) “coercive practice” means impairing or harming, or threatening to

impair or harm, directly or indirectly, any person or property to
influence any person’s participation or action in the Selection
Process or the exercise of its rights or performance of its obligations
by the Authority under this Agreement;

(d) “undesirable practice” means (i) establishing contact with any

person connected with or employed or engaged by the Authority
with the objective of canvassing, lobbying or in any manner

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 influencing or attempting to influence the Selection Process; or (ii)
having a Conflict of Interest; and

(e) “restrictive practice” means forming a cartel or arriving at any

understanding or arrangement among Applicants with the objective
of restricting or manipulating a full and fair competition in the
Selection Process.

3.3 Confidentiality

The Consultant, its Sub-Consultants and the Personnel of either of them

shall not, either during the term or within two years after the expiration or
termination of this Agreement disclose any proprietary information,
including information relating to reports, data, drawings, design software or
other material, whether written or oral, in electronic or magnetic format,
and the contents thereof; and any reports, digests or summaries created or
derived from any of the foregoing that is provided by the Authority to the
Consultant, its Sub-Consultants and the Personnel; any information
provided by or relating to the Authority, its technology, technical processes,
business affairs or finances or any information relating to the Authority’s
employees, officers or other professionals or suppliers, customers, or
contractors of the Authority; and any other information which the
Consultant is under an obligation to keep confidential in relation to the
Project, the Services or this Agreement ("Confidential Information"),
without the prior written consent of the Authority.

Notwithstanding the aforesaid, the Consultant, its Sub-Consultants and the

Personnel of either of them may disclose Confidential Information to the
extent that such Confidential Information:

(i) was in the public domain prior to its delivery to the Consultant, its
Sub-Consultants and the Personnel of either of them or becomes a
part of the public knowledge from a source other than the
Consultant, its Sub-Consultants and the Personnel of either of them;

(ii) was obtained from a third party with no known duty to maintain its
confidentiality;

(iii) is required to be disclosed by Applicable Laws or judicial or

administrative or arbitral process or by any governmental
instrumentalities, provided that for any such disclosure, the
Consultant, its Sub-Consultants and the Personnel of either of them
shall give the Authority, prompt written notice, and use
reasonable efforts to ensure that such disclosure is accorded
confidential treatment; and

(iv) is provided to the professional advisers, agents, auditors or

representatives of the Consultant or its Sub-Consultants or
Personnel of either of them, as is reasonable under the
circumstances; provided, however, that the Consultant or its Sub-

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 Consultants or Personnel of either of them, as the case may be, shall
require their professional advisers, agents, auditors or its
representatives, to undertake in writing to keep such Confidential
Information, confidential and shall use its best efforts to ensure
compliance with such undertaking.

3.4 Liability of the Consultant

3.4.1 The Consultant’s liability under this Agreement shall be determined by the
Applicable Laws and the provisions hereof.

3.4.2 The Consultant shall, subject to the limitation specified in Clause 3.4.3, be
liable to the Authority for any direct loss or damage accrued or likely to
accrue due to deficiency in Services rendered by it.

3.4.3 The Parties hereto agree that in case of negligence or wilful misconduct on
the part of the Consultant or on the part of any person or firm acting on
behalf of the Consultant in carrying out the Services, the Consultant, with
respect to damage caused to the Authority’s property, shall not be liable to
the Authority:

(i) for any indirect or consequential loss or damage; and

(ii) for any direct loss or damage that exceeds (a) the Agreement Value set
forth in Clause 6.1.2 of this Agreement, or (b) the proceeds the Consultant
may be entitled to receive from any insurance maintained by the Consultant
to cover such a liability in accordance with Clause 3.5.2, whichever of (a)
or (b) is higher.

3.4.4 This limitation of liability specified in Clause 3.4.3 shall not affect the
Consultant’s liability, if any, for damage to Third Parties caused by the
Consultant or any person or firm acting on behalf of the Consultant in
carrying out the Services subject, however, to a limit equal to 3 (three)
times the Agreement Value.

3.5 Insurance to be taken out by the Consultant

3.5.1 (a) The Consultant shall, for the duration of this Agreement, take out and
maintain, and shall cause any Sub-Consultant to take out and
maintain, at its (or the Sub-Consultant’s, as the case may be) own
cost, but on terms and conditions approved by the Authority,
insurance against the risks, and for the coverages, as specified in the
Agreement and in accordance with good industry practice.

(b) Within 15 (fifteen) days of receiving any insurance policy certificate

in respect of insurances required to be obtained and maintained under
this clause, the Consultant shall furnish to the Authority, copies of
such policy certificates, copies of the insurance policies and evidence
that the insurance premia have been paid in respect of such insurance.

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 No insurance shall be cancelled, modified or allowed to expire or
lapse during the term of this Agreement.

(c) If the Consultant fails to effect and keep in force the aforesaid
insurances for which it is responsible pursuant hereto, the Authority
shall, apart from having other recourse available under this
Agreement, have the option, without prejudice to the obligations of
the Consultant, to take out the aforesaid insurance, to keep in force
any such insurances, and pay such premia and recover the costs
thereof from the Consultant, and the Consultant shall be liable to pay
such amounts on demand by the Authority.

(d) Except in case of Third Party liabilities, the insurance policies so

procured shall mention the Authority as the beneficiary of the
Consultant and the Consultant shall procure an undertaking from the
insurance company to this effect; provided that in the event the
Consultant has a general insurance policy that covers the risks
specified in this Agreement and the amount of insurance cover is
equivalent to 3 (three) times the cover required hereunder, such
insurance policy may not mention the Authority as the sole
beneficiary of the Consultant or require an undertaking to that effect.

3.5.2 The Parties agree that the risks and coverages shall include but not be
limited to the following:

(a) Third Party liability insurance as required under Applicable Laws,

with a minimum coverage of Rs. 10 (ten) crore;

(b) employer’s liability and workers’ compensation insurance in respect of

the Personnel of the Consultant and of any Sub-Consultant, in
accordance with Applicable Laws; and

(c) professional liability insurance for an amount no less than the

Agreement Value.

The indemnity limit in terms of “Any One Accident” (AOA) and

“Aggregate limit on the policy period” (AOP) should not be less than the
amount stated in Clause 6.1.2 of the Agreement. In case of consortium, the
policy should be in the name of Lead Member and not in the name of
individual Members of the consortium.

3.6 Accounting, inspection and auditing

The Consultant shall:

(a) keep accurate and systematic accounts and records in respect of the
Services provided under this Agreement, in accordance with
internationally accepted accounting principles and in such form and
detail as will clearly identify all relevant time charges and cost, and

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 the basis thereof (including the basis of the Consultant’s costs and
charges); and

(b) permit the Authority or its designated representative periodically,

and up to one year from the expiration or termination of this
Agreement, to inspect the same and make copies thereof as well as
to have them audited by auditors appointed by the Authority.

3.7 Consultant’s actions requiring the Authority's prior approval

The Consultant shall obtain the Authority's prior approval in writing before
taking any of the following actions:

(a) appointing such members of the Professional Personnel as are not

listed in Annex–2.

(b) entering into a subcontract for the performance of any part of the
Services, it being understood (i) that the selection of the Sub-
Consultant and the terms and conditions of the subcontract shall
have been approved in writing by the Authority prior to the
execution of the subcontract, and (ii) that the Consultant shall
remain fully liable for the performance of the Services by the Sub-
Consultant and its Personnel pursuant to this Agreement; or

(c) any other action that is specified in this Agreement.

3.8 Reporting obligations

The Consultant shall submit to the Authority the reports and documents
specified in the Agreement, in the form, in the numbers and within the time
periods set forth therein.

3.9 Documents prepared by the Consultant to be property of the Authority

3.9.1 All plans, drawings, specifications, designs, reports and other documents
(collectively referred to as “Consultancy Documents”) prepared by the
Consultant (or by the Sub-Consultants or any Third Party) in performing
the Services shall become and remain the property of the Authority, and all
intellectual property rights in such Consultancy Documents shall vest with
the Authority. Any Consultancy Document, of which the ownership or the
intellectual property rights do not vest with the Authority under law, shall
automatically stand assigned to the Authority as and when such
Consultancy Document is created and the Consultant agrees to execute all
papers and to perform such other acts as the Authority may deem necessary
to secure its rights herein assigned by the Consultant.

3.9.2 The Consultant shall, not later than termination or expiration of this
Agreement, deliver all Consultancy Documents to the Authority, together
with a detailed inventory thereof. The Consultant may retain a copy of such
Consultancy Documents. The Consultant, its Sub-Consultants or a Third

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 Party shall not use these Consultancy Documents for purposes unrelated to
this Agreement without the prior written approval of the Authority.

3.9.3 The Consultant shall hold the Authority harmless and indemnified for any
losses, claims, damages, expenses (including all legal expenses), awards,
penalties or injuries (collectively referred to as ‘claims’) which may arise
from or due to any unauthorised use of such Consultancy Documents, or
due to any breach or failure on part of the Consultant or its Sub-Consultants
or a Third Party to perform any of its duties or obligations in relation to
securing the aforementioned rights of the Authority.

3.10 Equipment and materials furnished by the Authority

Equipment and materials made available to the Consultant by the Authority

shall be the property of the Authority and shall be marked accordingly.
Upon termination or expiration of this Agreement, the Consultant shall
furnish forthwith to the Authority, an inventory of such equipment and
materials and shall dispose of such equipment and materials in accordance
with the instructions of the Authority. While in possession of such
equipment and materials, the Consultant shall, unless otherwise instructed
by the Authority in writing, insure them in an amount equal to their full
replacement value.

3.11 Providing access to Project Office and Personnel

The Consultant shall ensure that the Authority, and officials of the
Authority having authority from the Authority, are provided unrestricted
access to the Project Office and to all Personnel during office hours. The
Authority’s official, who has been authorised by the Authority in this
behalf, shall have the right to inspect the Services in progress, interact with
Personnel of the Consultant and verify the records relating to the Services
for his satisfaction.

3.12. Accuracy of Documents

The Consultant shall be responsible for accuracy of the data collected by it

directly or procured from other agencies/authorities, the designs, drawings,
estimates and all other details prepared by it as part of these services.
Subject to the provisions of Clause 3.4, it shall indemnify the Authority
against any inaccuracy in its work which might surface during
implementation of the Project, if such inaccuracy is the result of any
negligence or inadequate due diligence on part of the Consultant or arises
out of its failure to conform to good industry practice. The Consultant shall
also be responsible for promptly correcting, at its own cost and risk, the
drawings including any re-survey / investigations.

4. CONSULTANT’S PERSONNEL AND SUB-CONSULTANTS

4.1 General

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 The Consultant shall employ and provide such qualified and experienced
Personnel as may be required to carry out the Services.

4.2 Deployment of Personnel

4.2.1 The designations, names and the estimated periods of engagement in

carrying out the Services by each of the Consultant’s Personnel are
described in Annex-2 of this Agreement. The estimate of Personnel costs
and manday rates are specified in Annex-3 of this Agreement.

4.2.2 Adjustments with respect to the estimated periods of engagement of

Personnel set forth in the aforementioned Annex-3 may be made by the
Consultant by written notice to the Authority, provided that: (i) such
adjustments shall not alter the originally estimated period of engagement of
any individual by more than 20% (twenty per cent) or one week, whichever
is greater, and (ii) the aggregate of such adjustments shall not cause
payments under the Agreement to exceed the Agreement Value set forth in
Clause 6.1.2 of this Agreement. Any other adjustments shall only be made
with the written approval of the Authority.

4.2.3 If additional work is required beyond the scope of the Services specified in
the Terms of Reference, the estimated periods of engagement of Personnel,
set forth in the Annexes of the Agreement may be increased by agreement
in writing between the Authority and the Consultant, provided that any
such increase shall not, except as otherwise agreed, cause payments under
this Agreement to exceed the Agreement Value set forth in Clause 6.1.2.

4.3 Approval of Personnel

4.3.1 The Professional Personnel listed in Annex-2 of the Agreement are hereby
approved by the Authority. No other Professional Personnel shall be
engaged without prior approval of the Authority.

4.3.2 If the Consultant hereafter proposes to engage any person as Professional

Personnel, it shall submit to the Authority its proposal along with a CV of
such person in the form provided at Appendix–I (Form-12) of the RFP. The
Authority may approve or reject such proposal within 14 (fourteen) days of
receipt thereof. In case the proposal is rejected, the Consultant may propose
an alternative person for the Authority’s consideration. In the event the
Authority does not reject a proposal within 14 (fourteen) days of the date of
receipt thereof under this Clause 4.3, it shall be deemed to have been
approved by the Authority.

4.4 Substitution of Key Personnel

The Authority expects all the Key Personnel specified in the Proposal to be
available during implementation of the Agreement. The Authority will not
consider any substitution of Key Personnel except under compelling

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 circumstances beyond the control of the Consultant and the concerned Key
Personnel. Such substitution shall be limited to not more than two Key
Personnel subject to equally or better qualified and experienced personnel
being provided to the satisfaction of the Authority. Without prejudice to the
foregoing, substitution of one Key Personnel shall be permitted subject to
reduction of remuneration equal to 20% (twenty per cent) of the total
remuneration specified for the Key Personnel who is proposed to be
substituted. In case of a second substitution, such reduction shall be equal
to 50% (fifty per cent) of the total remuneration specified for the Key
Personnel who is proposed to be substituted.

4.5 Working hours, overtime, leave, etc.

The Personnel shall not be entitled to be paid for overtime nor to take paid
sick leave or vacation leave except as specified in the Agreement, and the
Consultant’s remuneration shall be deemed to cover these items. All leave
to be allowed to the Personnel is excluded from the mandays of service set
forth in Annex-2. Any taking of leave by any Personnel for a period
exceeding 7 (seven) days shall be subject to the prior approval of the
Authority, and the Consultant shall ensure that any absence on leave will
not delay the progress and quality of the Services.

4.6 Resident Team Leader and Project Manager

The person designated as the Team Leader of the Consultant’s Personnel

shall be responsible for the coordinated, timely and efficient functioning of
the Personnel. In addition, the Consultant shall designate a suitable person
as Project Manager (the “Project Manager”) who shall be responsible for
day to day performance of the Services.

4.7 Sub-Consultants

Sub-Consultants listed in Annex-4 of this Agreement are hereby approved

by the Authority. The Consultant may, with prior written approval of the
Authority, engage additional Sub-Consultants or substitute an existing Sub-
Consultant. The hiring of Personnel by the Sub-Consultants shall be subject
to the same conditions as applicable to Personnel of the Consultant under
this Clause 4.

5. OBLIGATIONS OF THE AUTHORITY

5.1 Assistance in clearances etc.

Unless otherwise specified in the Agreement, the Authority shall make best
efforts to ensure that the Government shall:

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 (a) provide the Consultant, its Sub-Consultants and Personnel with
work permits and such other documents as may be necessary to
enable the Consultant, its Sub-Consultants or Personnel to perform
the Services;

(b) facilitate prompt clearance through customs of any property

required for the Services; and

(c) issue to officials, agents and representatives of the Government all

such instructions as may be necessary or appropriate for the prompt
and effective implementation of the Services.

5.2 Access to land and property

The Authority warrants that the Consultant shall have, free of charge,
unimpeded access to the site of the project in respect of which access is
required for the performance of Services; provided that if such access shall
not be made available to the Consultant as and when so required, the Parties
shall agree on (i) the time extension, as may be appropriate, for the
performance of Services, and (ii) the additional payments, if any, to be
made to the Consultant as a result thereof pursuant to Clause 6.1.3.

5.3 Change in Applicable Law

If, after the date of this Agreement, there is any change in the Applicable
Laws with respect to taxes and duties which increases or decreases the cost
or reimbursable expenses incurred by the Consultant in performing the
Services, by an amount exceeding 2% (two per cent) of the Agreement
Value specified in Clause 6.1.2, then the remuneration and reimbursable
expenses otherwise payable to the Consultant under this Agreement shall be
increased or decreased accordingly by agreement between the Parties
hereto, and corresponding adjustments shall be made to the aforesaid
Agreement Value.

5.4 Payment

In consideration of the Services performed by the Consultant under this

Agreement, the Authority shall make to the Consultant such payments and
in such manner as is provided in Clause 6 of this Agreement.

6. PAYMENT TO THE CONSULTANT

6.1 Cost estimates and Agreement Value

6.1.1 An abstract of the cost of the Services payable to the Consultant is set forth
in Annex-5 of the Agreement.

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6.1.2 Except as may be otherwise agreed under Clause 2.6 and subject to Clause
6.1.3, the payments under this Agreement shall not exceed the agreement
value specified herein (the “Agreement Value”). The Parties agree that the
Agreement Value is Rs. ………. (Rupees. …………………….), which
does not include the Additional Costs specified in Annex-5 (the
“Additional Costs”).

6.1.3 Notwithstanding anything to the contrary contained in Clause 6.1.2, if

pursuant to the provisions of Clauses 2.6 and 2.7, the Parties agree that
additional payments shall be made to the Consultant in order to cover any
additional expenditures not envisaged in the cost estimates referred to in
Clause 6.1.1 above, the Agreement Value set forth in Clause 6.1.2 above
shall be increased by the amount or amounts, as the case may be, of any
such additional payments.

6.2 Currency of payment

All payments shall be made in Indian Rupees. The Consultant shall be free
to convert Rupees into any foreign currency as per Applicable Laws.

6.3 Mode of billing and payment

Billing and payments in respect of the Services shall be made as follows:-

(a) A Mobilisation Advance for an amount upto 10% (ten per cent) of
the Agreement Value shall be paid to the Consultant on request and
against a Bank Guarantee from a Scheduled Bank in India in an
amount equal to such advance, such Bank Guarantee to remain
effective until the advance payment has been fully set off as
provided herein. The advance outstanding shall attract simple
interest @ 10% (ten per cent) per annum and shall be adjusted in
four equal instalments from the first four stage payments due and
payable to the Consultant, and the accrued interest shall be
recovered from the fifth instalment due and payable thereafter.

(b) The Consultant shall be paid for its services as per the Payment
Schedule at Annex-6 of this Agreement, subject to the Consultant
fulfilling the following conditions:

(i) No payment shall be due for the next stage till the Consultant
completes, to the satisfaction of the Authority, the work
pertaining to the preceding stage.

(ii) The Authority shall pay to the Consultant, only the

undisputed amount.

(c) The Authority shall cause the payment due to the Consultant to be
made within 30 (thirty) days after the receipt by the Authority of
duly completed bills with necessary particulars (the “Due Date”).
Interest at the rate of 10% (ten per cent) per annum shall become

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 payable as from the Due Date on any amount due by, but not paid
on or before, such Due Date.

(d) The final payment under this Clause shall be made only after the
final report and a final statement, identified as such, shall have been
submitted by the Consultant and approved as satisfactory by the
Authority. The Services shall be deemed completed and finally
accepted by the Authority and the final deliverable shall be deemed
approved by the Authority as satisfactory upon expiry of 90 (ninety)
days after receipt of the final deliverable by the Authority unless the
Authority, within such 90 (ninety) day period, gives written notice
to the Consultant specifying in detail, the deficiencies in the
Services. The Consultant shall thereupon promptly make any
necessary corrections and/or additions, and upon completion of such
corrections or additions, the foregoing process shall be repeated.
The Authority shall make the final payment upon acceptance or
deemed acceptance of the final deliverable by the Authority.

(e) Any amount which the Authority has paid or caused to be paid in
excess of the amounts actually payable in accordance with the
provisions of this Agreement shall be reimbursed by the Consultant
to the Authority within 30 (thirty) days after receipt by the
Consultant of notice thereof. Any such claim by the Authority for
reimbursement must be made within 1 (one) year after receipt by the
Authority of a final report in accordance with Clause 6.3 (d). Any
delay by the Consultant in reimbursement by the due date shall
attract simple interest @ 10% (ten per cent) per annum.

(f) 10% (ten per cent) of the Agreement Value has been earmarked as
Final Payment to be made to the Consultant upon execution of the
Concession Agreement. In the event the Concession Agreement
does not get executed within 1 (one) year of the Effective Date the
Final Payment shall not become due to the Consultant, save and
except the costs incurred for meeting its reimbursable expenses
during the period after expiry of 18 (eighteen) weeks from the
Effective Date, including travel costs and personnel costs, at the
agreed rates.

(g) All payments under this Agreement shall be made to the account of
the Consultant as may be notified to the Authority by the
Consultant.

7. LIQUIDATED DAMAGES AND PENALTIES

7.1 Performance Security

7.1.1 The Authority shall retain by way of performance security (the

“Performance Security”), 5% (five per cent) of all the amounts due and
payable to the Consultant, to be appropriated against breach of this
Agreement or for recovery of liquidated damages as specified in Clause 7.2
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 herein. The balance remaining out of the Performance Security shall be
returned to the Consultant at the end of 3 (three) months after the expiration
of this Agreement pursuant to Clause 2.4 hereof.

7.1.2 The Consultant may, in lieu of retention of the amounts as referred to in

Clause 7.1.1 above, furnish a Bank Guarantee substantially in the form
specified at Annex-7 of this Agreement.

7.2 Liquidated Damages

7.2.1 Liquidated Damages for error/variation

In case any error or variation is detected in the reports submitted by the

Consultant and such error or variation is the result of negligence or lack of
due diligence on the part of the Consultant, the consequential damages
thereof shall be quantified by the Authority in a reasonable manner and
recovered from the Consultant by way of deemed liquidated damages,
subject to a maximum of 10% (ten per cent) of the Agreement Value.

7.2.2 Liquidated Damages for delay

In case of delay in completion of Services, liquidated damages not

exceeding an amount equal to 0.2% (zero point two per cent) of the
Agreement Value per day, subject to a maximum of 10% (ten per cent) of
the Agreement Value will be imposed and shall be recovered by
appropriation from the Performance Security or otherwise. However, in
case of delay due to reasons beyond the control of the Consultant, suitable
extension of time shall be granted.

7.2.3 Encashment and appropriation of Performance Security

The Authority shall have the right to invoke and appropriate the proceeds
of the Performance Security, in whole or in part, without notice to the
Consultant in the event of breach of this Agreement or for recovery of
liquidated damages specified in this Clause 7.2.

7.3 Penalty for deficiency in Services

In addition to the liquidated damages not amounting to penalty, as specified

in Clause 7.2, warning may be issued to the Consultant for minor
deficiencies on its part. In the case of significant deficiencies in Services
causing adverse effect on the Project or on the reputation of the Authority,
other penal action including debarring for a specified period may also be
initiated as per policy of the Authority.

8. FAIRNESS AND GOOD FAITH

8.1 Good Faith

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 The Parties undertake to act in good faith with respect to each other’s rights
under this Agreement and to adopt all reasonable measures to ensure the
realisation of the objectives of this Agreement.

8.2 Operation of the Agreement

The Parties recognise that it is impractical in this Agreement to provide for

every contingency which may arise during the life of the Agreement, and
the Parties hereby agree that it is their intention that this Agreement shall
operate fairly as between them, and without detriment to the interest of
either of them, and that, if during the term of this Agreement either Party
believes that this Agreement is operating unfairly, the Parties will use their
best efforts to agree on such action as may be necessary to remove the
cause or causes of such unfairness, but failure to agree on any action
pursuant to this Clause shall not give rise to a dispute subject to arbitration
in accordance with Clause 9 hereof.

9. SETTLEMENT OF DISPUTES

9.1 Amicable settlement

The Parties shall use their best efforts to settle amicably all disputes arising
out of or in connection with this Agreement or the interpretation thereof.

9.2 Dispute resolution

9.2.1 Any dispute, difference or controversy of whatever nature howsoever

arising under or out of or in relation to this Agreement (including its
interpretation) between the Parties, and so notified in writing by either
Party to the other Party (the “Dispute”) shall, in the first instance, be
attempted to be resolved amicably in accordance with the conciliation
procedure set forth in Clause 9.3.

9.2.2 The Parties agree to use their best efforts for resolving all Disputes arising
under or in respect of this Agreement promptly, equitably and in good faith,
and further agree to provide each other with reasonable access during
normal business hours to all non-privileged records, information and data
pertaining to any Dispute.

9.3 Conciliation

In the event of any Dispute between the Parties, either Party may call upon
Chairman, NHAI and the Chairman of the Board of Directors of the
Consultant or a substitute thereof for amicable settlement, and upon such
reference, the said persons shall meet no later than 10 (ten) days from the
date of reference to discuss and attempt to amicably resolve the Dispute. If
such meeting does not take place within the 10 (ten) day period or the
Dispute is not amicably settled within 15 (fifteen) days of the meeting or
the Dispute is not resolved as evidenced by the signing of written terms of
settlement within 30 (thirty) days of the notice in writing referred to in

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 Clause 9.2.1 or such longer period as may be mutually agreed by the
Parties, either Party may refer the Dispute to arbitration in accordance with
the provisions of Clause 9.4.

9.4 Arbitration

9.4.1 Any Dispute which is not resolved amicably by conciliation, as provided in

Clause 9.3, shall be finally decided by reference to arbitration by an
Arbitral Tribunal appointed in accordance with Clause 9.4.2. Such
arbitration shall be held in accordance with the Rules of Arbitration of the
International Centre for Alternative Dispute Resolution, New Delhi (the
“Rules”), or such other rules as may be mutually agreed by the Parties, and
shall be subject to the provisions of the Arbitration and Conciliation
Act,1996. The venue of such arbitration shall be New Delhi and the
language of arbitration proceedings shall be English.

9.4.2 There shall be {an Arbitral Tribunal of three arbitrators, of whom each
Party shall select one, and the third arbitrator shall be appointed by the two
arbitrators so selected, and in the event of disagreement between the two
arbitrators, the appointment} {a sole arbitrator$ whose appointment} shall
be made in accordance with the Rules.

9.4.3 The arbitrators shall make a reasoned award (the “Award”). Any Award
made in any arbitration held pursuant to this Clause 9 shall be final and
binding on the Parties as from the date it is made, and the Consultant and
the Authority agree and undertake to carry out such Award without delay.

9.4.4 The Consultant and the Authority agree that an Award may be enforced
against the Consultant and/or the Authority, as the case may be, and their
respective assets wherever situated.

9.4.5 This Agreement and the rights and obligations of the Parties shall remain in
full force and effect, pending the Award in any arbitration proceedings
hereunder.

IN WITNESS WHEREOF, the Parties hereto have caused this Agreement to be

signed in their respective names as of the day and year first above written.

SIGNED, SEALED AND DELIVERED SIGNED, SEALED AND DELIVERED

For and on behalf of For and on behalf of
Consultant: [Authority]
(Signature) (Signature)

$
In case the Agreement Value specified in Clause 6.1.2 of this Agreement does not exceed Rs. 1
(one) crore, a sole arbitrator shall be appointed. In case the Agreement Value specified in Clause
6.1.2 of this Agreement is more than Rs. 1 (one) crore, a Board shall be appointed. Depending upon
the Agreement Value, one of the two curly parentheses shall be deleted from Clause 9.4.2.

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 (Name) (Name)
(Designation) (Designation)
(Address) (Address)
(Fax No.) (Fax No.)
In the presence of:
1. 2.

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 Annex-1

Terms of Reference
(Refer Clause 3.1.2)

(Reproduce Schedule-1 of RFP)

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 Annex-2

Deployment of Personnel
(Refer Clause 4.2)

(Reproduce as per Form-13 of Appendix-I)

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 Annex-3

Estimate of Personnel Costs

(Refer Clause 4.2)

(Reproduce as per Form-3 of Appendix-II)

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 Annex-4

Approved Sub-Consultant(s)
(Refer Clause 4.7.1)

(Reproduce as per Form-15 of Appendix-I)

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 Annex-5

Cost of Services
(Refer Clause 6.1)

(Reproduce as per Form-2 of Appendix-II)

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 Annex-6

Payment Schedule
(Refer Clause 6.3)

Key
Week
Date Description of Deliverables Payment
No.
No.
KD1 Inception Report 2 5%
KD2 Alignment Study Report 17 15%
KD3 Report on Preliminary Environment and Social Impact 18 5%
Assessment
KD4 Report of Traffic Survey 19 5%
KD5 Pre-Feasibility Report 22 10%
KD6 Report on Environment and Social Impact Assessment 27 5%
KD7 Report on Indicative GAD of structures (bridges, grade 30 5%
separators, interchanges, ROBs and RUBs)
KD8 Report on Land Plan Schedules and Utility Relocation 32 10%
KD9 Draft Feasibility Report including Schedules to the 35 15%
Concession Agreement
KD10 Final Feasibility Report 40 15%
KD11 Assistance during Bid Process 50 5%
KD12 Completion of Bid Process 52 5%
Total 100%

Notes:

1. The above payments shall be made to the Consultant provided that the
payments to be made at any time shall not exceed the amount certified by
the Consultant in its Statement of Expenses.

2. All Reports shall first be submitted as draft reports for comments of the
Authority. The Authority shall provide its comments no later than 3 (three)
weeks from the date of receiving a draft report and in case no comments
are provided within such 3 (three) weeks, the Consultant shall finalise its
report. Provided, however, that the Authority may take upto 4 (four) weeks
in providing its comments on the Draft Feasibility Report.

3. Feasibility Report shall be completed in 37 (thirty seven) weeks

excluding the time taken by the Authority in providing its comments on the
Draft Feasibility Report. The Consultant may take 1 (one) week for

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 submitting its Final Feasibility Report after receipt of comments from the
Authority.

4. Final payment of 10% (ten per cent) shall be released upon completion
of Services in their entirety, including submission of the Environmental
Impact Assessment Report.

5. Mobilisation Advance upto 10% (ten per cent) of the total Agreement
Value shall be paid on request against Bank Guarantee of a Scheduled
Bank. This shall attract 10% (ten per cent) simple interest per annum and
shall be adjusted against the first 4 (four) bills in four equal instalments
and the accrued interest will be recovered from the 5th (fifth) bill.

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 Annex- 7

Bank Guarantee for Performance Security

(Refer Clause 7.1.2)

To

The President of India

acting through the Chairman, National Highways Authority of India
*****
*****
*****

In consideration of ***** acting on behalf of the President of India

(hereinafter referred as the “Authority”, which expression shall, unless repugnant
to the context or meaning thereof, include its successors, administrators and
assigns) having awarded to M/s ……………….., having its office at
……………….. (hereinafter referred as the “Consultant” which expression shall,
unless repugnant to the context or meaning thereof, include its successors,
administrators, executors and assigns), vide the Authority’s Agreement no.
………………. dated ……………….. valued at Rs. ……………….. (Rupees
………………..), (hereinafter referred to as the “Agreement”) Consultancy
Services for feasibility report for Kanpur-Lucknow Expressway, and the
Consultant having agreed to furnish a Bank Guarantee amounting to Rs.
……………….. (Rupees ………………..) to the Authority for performance of the
said Agreement.

We, ……………….. (hereinafter referred to as the “Bank”) at the request

of the Consultant do hereby undertake to pay to the Authority an amount not
exceeding Rs. ………………… (Rupees …………………. ) against any loss or
damage caused to or suffered or would be caused to or suffered by the Authority
by reason of any breach by the said Consultant of any of the terms or conditions
contained in the said Agreement.

2. We, ……………….. (indicate the name of the Bank) do hereby undertake

to pay the amounts due and payable under this Guarantee without any demur,
merely on a demand from the Authority stating that the amount/claimed is due by
way of loss or damage caused to or would be caused to or suffered by the
Authority by reason of breach by the said Consultant of any of the terms or
conditions contained in the said Agreement or by reason of the Consultant’s failure
to perform the said Agreement. Any such demand made on the bank shall be
conclusive as regards the amount due and payable by the Bank under this
Guarantee. However, our liability under this Guarantee shall be restricted to an
amount not exceeding Rs. ……………….. (Rupees …………………..).

3. We, ……………….. (indicate the name of the Bank) do hereby undertake

to pay to the Authority any money so demanded notwithstanding any dispute or
disputes raised by the Consultant in any suit or proceeding pending before any
court or tribunal relating thereto, our liability under this present being absolute and

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unequivocal. The payment so made by us under this bond shall be a valid
discharge of our liability for payment thereunder and the Consultant shall have no
claim against us for making such payment.

4. We, ……………….. (indicate the name of Bank) further agree that the
Guarantee herein contained shall remain in full force and effect during the period
that would be taken for the performance of the said Agreement and that it shall
continue to be enforceable till all the dues of the Authority under or by virtue of
the said Agreement have been fully paid and its claims satisfied or discharged or
till the Authority certifies that the terms and conditions of the said Agreement have
been fully and properly carried out by the said Consultant and accordingly
discharges this Guarantee. Unless a demand or claim under this Guarantee is made
on us in writing on or before a period of one year from the date of this Guarantee,
we shall be discharged from all liability under this Guarantee thereafter.

5. We, ………………… (indicate the name of Bank) further agree with the
Authority that the Authority shall have the fullest liberty without our consent and
without affecting in any manner our obligations hereunder to vary any of the terms
and conditions of the said Agreement or to extend time of performance by the said
Consultant from time to time or to postpone for any time or from time to time any
of the powers exercisable by the Authority against the said Consultant and to
forbear or enforce any of the terms and conditions relating to the said Agreement
and we shall not be relieved from our liability by reason of any such variation, or
extension being granted to the said Consultant or for any forbearance, act or
omission on the part of the Authority or any indulgence by the Authority to the
said Consultant or any such matter or thing whatsoever which under the law
relating to sureties would, but for this provision, have the effect of so relieving us.

6. This Guarantee will not be discharged due to the change in the constitution
of the Bank or the Consultant(s).

7. We, ……………….. (indicate the name of Bank) lastly undertake not to

revoke this Guarantee during its currency except with the previous consent of the
Authority in writing.

8. For the avoidance of doubt, the Bank’s liability under this Guarantee shall
be restricted to Rs. *** crore (Rupees ***** crore) only. The Bank shall be liable
to pay the said amount or any part thereof only if the Authority serves a written
claim on the Bank in accordance with paragraph 2 hereof, on or before [***
(indicate date falling 180 days after the date of this Guarantee)].

For ..............................................................
Name of Bank:

Seal of the Bank:

Dated, the ………. day of ………., 20**

(Signature, name and designation of the authorised signatory)

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NOTES:
(i) The Bank Guarantee should contain the name, designation and code
number of the officer(s) signing the Guarantee.
(ii) The address, telephone no. and other details of the Head Office of the Bank
as well as of issuing Branch should be mentioned on the covering letter of
issuing Branch.

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 SCHEDULE-3
(See Clause 2.3.3)

Guidance Note on Conflict of Interest

1. This Note further explains and illustrates the provisions of Clause 2.3 of the
RFP and shall be read together therewith in dealing with specific cases.

2. Consultants should be deemed to be in a conflict of interest situation if it

can be reasonably concluded that their position in a business or their
personal interest could improperly influence their judgment in the exercise
of their duties. The process for selection of consultants should avoid both
actual and perceived conflict of interest.

3. Conflict of interest may arise between the Authority and a consultant or

between consultants and present or future concessionaries/ contractors.
Some of the situations that would involve conflict of interest are identified
below:

(a) Authority and consultants:

(i) Potential consultant should not be privy to information from

the Authority which is not available to others;

(ii) potential consultant should not have defined the project

when earlier working for the Authority;

(iii) potential consultant should not have recently worked for the
Authority overseeing the project.

(b) Consultants and concessionaires/contractors:

(i) No consultant should have an ownership interest or a

continuing business interest or an on-going relationship with
a potential concessionaire/ contractor save and except
relationships restricted to project-specific and short-term
assignments; or

(ii) no consultant should be involved in owning or operating

entities resulting from the project; or

(iii) no consultant should bid for works arising from the project.

The participation of companies that may be involved as investors or

consumers and officials of the Authority who have current or recent
connections to the companies involved, therefore, needs to be avoided.

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4. The normal way to identify conflicts of interest is through self-declaration
by consultants. Where a conflict exists, which has not been declared,
competing companies are likely to bring this to the notice of the Authority.
All conflicts must be declared as and when the consultants become aware
of them.

5. Another approach towards avoiding a conflict of interest is through the use

of “Chinese walls” to avoid the flow of commercially sensitive information
from one part of the consultant’s company to another. This could help
overcome the problem of availability of limited numbers of experts for the
project. However, in reality effective operation of “Chinese walls” may be
a difficult proposition. As a general rule, larger companies will be more
capable of adopting Chinese walls approach than smaller companies.
Although, “Chinese walls” have been relatively common for many years,
they are an increasingly discredited means of avoiding conflicts of interest
and should be considered with caution. As a rule, “Chinese walls” should
be considered as unacceptable and may be accepted only in exceptional
cases upon full disclosure by a consultant coupled with provision of
safeguards to the satisfaction of the Authority.

6. Another way to avoid conflicts of interest is through the appropriate

grouping of tasks. For example, conflicts may arise if consultants drawing
up the terms of reference or the proposed documentation are also eligible
for the consequent assignment or project.

7. Another form of conflict of interest called “scope–creep” arises when

consultants advocate either an unnecessary broadening of the terms of
reference or make recommendations which are not in the best interests of
the Authority but which will generate further work for the consultants.
Some forms of contractual arrangements are more likely to lead to scope-
creep. For example, lump-sum contracts provide fewer incentives for this,
while time and material contracts provide built in incentives for consultants
to extend the length of their assignment.

8. Every project contains potential conflicts of interest. Consultants should

not only avoid any conflict of interest, they should report any present/
potential conflict of interest to the Authority at the earliest. Officials of the
Authority involved in development of a project shall be responsible for
identifying and resolving any conflicts of interest. It should be ensured that
safeguards are in place to preserve fair and open competition and measures
should be taken to eliminate any conflict of interest arising at any stage in
the process.

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 Appendices

APPENDICES

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 Appendices

APPENDIX-I
(See Clause 2.1.3)

TECHNICAL PROPOSAL
Form-1

Letter of Proposal
(On Applicant’s letter head)

(Date and Reference)

To,*****
*****
*****

Sub: Appointment of Consultant for preparation of feasibility report for

Kanpur-Lucknow Expressway

Dear Sir,

With reference to your RFP Document dated ………….., I/we, having examined
all relevant documents and understood their contents, hereby submit our Proposal
for selection as Consultant for preparation of Feasibility Report for Kanpur-
Lucknow Expressway. The proposal is unconditional and unqualified.

2. All information provided in the Proposal and in the Appendices is true and
correct and all documents accompanying such Proposal are true copies of
their respective originals.

3. This statement is made for the express purpose of appointment as the

Consultant for the aforesaid Project.

4. I/We shall make available to the Authority any additional information it may
deem necessary or require for supplementing or authenticating the Proposal.

5. I/We acknowledge the right of the Authority to reject our application without
assigning any reason or otherwise and hereby waive our right to challenge
the same on any account whatsoever.

6. I/We certify that in the last three years, we or any of our Associates have
neither failed to perform on any contract, as evidenced by imposition of a
penalty by an arbitral or judicial authority or a judicial pronouncement or
arbitration award against the Applicant, nor been expelled from any project
or contract by any public authority nor have had any contract terminated by
any public authority for breach on our part.

7. I/We declare that:

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 Appendices

(a) I/We have examined and have no reservations to the RFP

Documents, including any Addendum issued by the Authority;

(b) I/We do not have any conflict of interest in accordance with Clause
2.3 of the RFP Document;

(c) I/We have not directly or indirectly or through an agent engaged or

indulged in any corrupt practice, fraudulent practice, coercive
practice, undesirable practice or restrictive practice, as defined in
Clause 4.3 of the RFP document, in respect of any tender or request
for proposal issued by or any agreement entered into with the
Authority or any other public sector enterprise or any government,
Central or State; and

(d) I/We hereby certify that we have taken steps to ensure that in
conformity with the provisions of Section 4 of the RFP, no person
acting for us or on our behalf will engage in any corrupt practice,
fraudulent practice, coercive practice, undesirable practice or
restrictive practice.

8. I/We understand that you may cancel the Selection Process at any time and
that you are neither bound to accept any Proposal that you may receive nor
to select the Consultant, without incurring any liability to the Applicants in
accordance with Clause 2.8 of the RFP document.

9. I/We declare that we/any member of the consortium, are/is not a Member
of a/any other Consortium applying for Selection as a Consultant.

10. I/We certify that in regard to matters other than security and integrity of the
country, we or any of our Associates have not been convicted by a Court of
Law or indicted or adverse orders passed by a regulatory authority which
would cast a doubt on our ability to undertake the Consultancy for the
Project or which relates to a grave offence that outrages the moral sense of
the community.

11. I/We further certify that in regard to matters relating to security and
integrity of the country, we have not been charge-sheeted by any agency of
the Government or convicted by a Court of Law for any offence committed
by us or by any of our Associates.

12. I/We further certify that no investigation by a regulatory authority is

pending either against us or against our Associates or against our CEO or
any of our Directors/Managers/employees.

13. I/We hereby irrevocably waive any right or remedy which we may have at
any stage at law or howsoever otherwise arising to challenge or question
any decision taken by the Authority [and/ or the Government of India] in
connection with the selection of Consultant or in connection with the
Selection Process itself in respect of the above mentioned Project.

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 Appendices

14. The Bid Security of Rs. ***** (Rupees *****) in the form of a Demand
Draft is attached, in accordance with the RFP document.

15. I/We agree and understand that the proposal is subject to the provisions of
the RFP document. In no case, shall I/we have any claim or right of
whatsoever nature if the Consultancy for the Project is not awarded to
me/us or our proposal is not opened or rejected.

16. I/We agree to keep this offer valid for 90 (ninety) days from the Proposal
Due Date specified in the RFP.

17. A Power of Attorney in favour of the authorised signatory to sign and

submit this Proposal and documents is attached herewith in Form-4.

18. In the event of my/our firm/ consortium being selected as the Consultant,
I/we agree to enter into an Agreement in accordance with the form at
Schedule–2 of the RFP. We agree not to seek any changes in the aforesaid
form and agree to abide by the same.

19. I/We have studied RFP and all other documents carefully and also surveyed
the Project site. We understand that except to the extent as expressly set
forth in the Agreement, we shall have no claim, right or title arising out of
any documents or information provided to us by the Authority or in respect
of any matter arising out of or concerning or relating to the Selection
Process including the award of Consultancy.

20. The Financial Proposal is being submitted in a separate cover. This

Technical Proposal read with the Financial Proposal shall constitute the
Application which shall be binding on us.

21 I/We agree and undertake to abide by all the terms and conditions of the
RFP Document. In witness thereof, I/we submit this Proposal under and in
accordance with the terms of the RFP Document.

Yours faithfully,

(Signature, name and designation of the authorised signatory)

(Name and seal of the Applicant / Lead Member)

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 Appendices

APPENDIX-I
Form-2

Particulars of the Applicant

1.1 Title of Consultancy:

PREPARATION OF FEASIBILITY REPORT
1.2 Title of Project:
Kanpur-Lucknow Expressway
1.3 State whether applying as Sole Firm or Lead Member of a consortium:
Sole Firm
or
Lead Member of a consortium

1.4 State the following:

Name of Company or Firm:
Legal status (e.g. incorporated private company, unincorporated
business, partnership etc.):
Country of incorporation:
Registered address:

Year of Incorporation:
Year of commencement of business:
Principal place of business:
Brief description of the Company including details of its main lines of
business
Name, designation, address and phone numbers of authorised signatory
of the Applicant:
Name:
Designation:
Company:
Address:
Phone No.:
Fax No. :
E-mail address:

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 Appendices

1.5 If the Applicant is Lead Member of a consortium, state the following for
each of the other Member Firms:
(i) Name of Firm:
(ii) Legal Status and country of incorporation
(iii) Registered address and principal place of business.

1.6 For the Applicant, (in case of a consortium, for each Member), state the
following information:
(i) In case of non Indian Firm, does the Firm have business presence in
India?
Yes/No
If so, provide the office address(es) in India.

(ii) Has the Applicant or any of the Members in case of a consortium

been penalized by any organization for poor quality of work or
breach of contract in the last five years?
Yes/No
(iii) Has the Applicant/ Member ever failed to complete any work
awarded to it by any public authority/ entity in last five years?
Yes/No
(iv) Has the Applicant or any member of the consortium been
blacklisted by any Government department/Public Sector
Undertaking in the last five years?
Yes/No
(v) Has the Applicant or any of the Members, in case of a consortium,
suffered bankruptcy/insolvency in the last five years?
Yes/No
Note: If answer to any of the questions at (ii) to (v) is yes, the
Applicant is not eligible for this consultancy assignment.
1.7 Does the Applicant’s firm/company (or any member of the consortium)
combine functions as a consultant or adviser along with the functions as
a contractor and/or a manufacturer?
Yes/No
If yes, does the Applicant (and other Member of the Applicant’s
consortium) agree to limit the Applicant’s role only to that of a
consultant/ adviser to the Authority and to disqualify themselves, their
Associates/ affiliates, subsidiaries and/or parent organization
subsequently from work on this Project in any other capacity?
Yes/No

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 Appendices

1.8 Does the Applicant intend to borrow or hire temporarily, personnel from
contractors, manufacturers or suppliers for performance of the
Consulting Services?
Yes/No
If yes, does the Applicant agree that it will only be acceptable as
Consultant, if those contractors, manufacturers and suppliers disqualify
themselves from subsequent execution of work on this Project
(including tendering relating to any goods or services for any other part
of the Project) other than that of the Consultant?
Yes/No
If yes, have any undertakings been obtained (and annexed) from such
contractors, manufacturers, etc. that they agree to disqualify themselves
from subsequent execution of work on this Project and they agree to
limit their role to that of consultant/ adviser for the Authority only?
Yes/No

(Signature, name and designation of the authorised signatory)

For and on behalf of ………………..______________

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 Appendices

APPENDIX-I
Form-3

Statement of Legal Capacity

(To be forwarded on the letter head of the Applicant)

Ref. Date:

To,
*****
*****

Dear Sir,

Sub: RFP for Consultant: Feasibility Report for Kanpur-Lucknow Expressway

I/We hereby confirm that we, the Applicant (along with other members in case of
consortium, constitution of which has been described in the Proposal*), satisfy the
terms and conditions laid down in the RFP document.

I/We have agreed that ……………….. (insert Applicant’s name) will act as the
Lead Member of our consortium.

I/We have agreed that ……………….. (insert individual’s name) will act as our
Authorised Representative/ will act as the Authorised Representative of the
consortium on our behalf and has been duly authorized to submit our Proposal.
Further, the authorised signatory is vested with requisite powers to furnish such
proposal and all other documents, information or communication and authenticate
the same.
Yours faithfully,

(Signature, name and designation of the authorised signatory)

For and on behalf of ....................

*Please strike out whichever is not applicable

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 Appendices

APPENDIX-I

Form-4

Power of Attorney
Know all men by these presents, we, ......................................... (name of Firm and
address of the registered office) do hereby constitute, nominate, appoint and
authorise Mr / Ms........................................ son/daughter/wife and presently residing at
........................................, who is presently employed with us and holding the position
of .................... as our true and lawful attorney (hereinafter referred to as the
“Authorised Representative”) to do in our name and on our behalf, all such acts,
deeds and things as are necessary or required in connection with or incidental to
submission of our Proposal for and selection as the Consultant for Preparation of
Feasibility Report for Kanpur-Lucknow Expressway, proposed to be developed by
the ***** (the “Authority”) including but not limited to signing and submission
of all applications, proposals and other documents and writings, participating in
pre-bid and other conferences and providing information/ responses to the
Authority, representing us in all matters before the Authority, signing and
execution of all contracts and undertakings consequent to acceptance of our
proposal and generally dealing with the Authority in all matters in connection with
or relating to or arising out of our Proposal for the said Project and/or upon award
thereof to us till the entering into of the Agreement with the Authority.

AND, we do hereby agree to ratify and confirm all acts, deeds and things lawfully
done or caused to be done by our said Authorised Representative pursuant to and
in exercise of the powers conferred by this Power of Attorney and that all acts,
deeds and things done by our said Authorised Representative in exercise of the
powers hereby conferred shall and shall always be deemed to have been done by
us.

IN WITNESS WHEREOF WE, .................... THE ABOVE NAMED PRINCIPAL

HAVE EXECUTED THIS POWER OF ATTORNEY ON THIS .................... DAY
OF ...................., 20**

For .......................................

(Signature, name, designation and address)

Witnesses:
1.
2.
Notarised

Accepted
........................................
(Signature, name, designation and address of the Attorney)
Notes:

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 Appendices

The mode of execution of the Power of Attorney should be in accordance with the
procedure, if any, laid down by the applicable law and the charter documents of
the executant(s) and when it is so required the same should be under common seal
affixed in accordance with the required procedure. The Power of Attorney should
be executed on a non-judicial stamp paper of Rs. 100 (hundred) and duly notarised
by a notary public.

Wherever required, the Applicant should submit for verification the extract of the
charter documents and other documents such as a resolution/power of attorney in
favour of the person executing this Power of Attorney for the delegation of power
hereunder on behalf of the Applicant.

For a Power of Attorney executed and issued overseas, the document will also
have to be legalised by the Indian Embassy and notarised in the jurisdiction where
the Power of Attorney is being issued. However, Applicants from countries that
have signed the Hague Legislation Convention 1961 need not get their Power of
Attorney legalised by the Indian Embassy if it carries a conforming Appostille
certificate.

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APPENDIX-I

Form-5

Financial Capacity of the Applicant

(Refer Clause 2.2.2 (B))

S. No. Financial Year Annual Revenue

(Rs./US $ in million)
1.
2.
3.

Certificate from the Statutory Auditor$

This is to certify that ....................(name of the Applicant) has received the

payments shown above against the respective years on account of
professional fees.

Name of the audit firm:

Seal of the audit firm

Date:

(Signature, name and designation of the authorised signatory)

$
In case the Applicant does not have a statutory auditor, it shall provide the
certificate from its chartered accountant that ordinarily audits the annual
accounts of the Applicant.

Note:

Please do not attach any printed Annual Financial Statement.

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APPENDIX-I

Form-6

Particulars of Key Personnel

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S. Designation of Key Name Educational Length of Present Employment No. of

No. Personnel Qualification Professional Eligible
Experience Name of Firm Employed Assignments#
Since
(1) (2) (3) (4) (5) (6) (7) (8)

1. Senior Highway
Engineer – cum -
Team Leader
2. Bridge Engineer
3. Traffic – cum -
Safety Expert
4. Surveyor
5. Financial Analyst
6. Pavement Specialist

7. Environmental
Expert

8. Senior GIS Expert

#
Refer Form 9 of Appendix I Experience of Key Personnel

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APPENDIX-I

Form-7

Proposed Methodology and Work Plan

The proposed methodology and work plan shall be described as follows:

1. Understanding of TOR (not more than two pages)

The Applicant shall clearly state its understanding of the TOR and also
highlight its important aspects. The Applicant may supplement various
requirements of the TOR and also make precise suggestions if it considers
this would bring more clarity and assist in achieving the Objectives laid
down in the TOR.

2. Methodology and Work Plan (not more than three pages)

The Applicant will submit its methodology for carrying out this assignment,
outlining its approach toward achieving the Objectives laid down in the
TOR. The Applicant will submit a brief write up on its proposed team and
organisation of personnel explaining how different areas of expertise needed
for this assignment have been fully covered by its proposal. In case the
Applicant is a consortium, it should specify how the expertise of each firm is
proposed to be utilised for this assignment. The Applicant should specify the
sequence and locations of important activities, and provide a quality
assurance plan for carrying out the Consultancy Services.

Note: Marks will be deducted for writing lengthy and out of context responses.

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APPENDIX-I

Form-8

Abstract of Eligible Assignments of the Applicant#

(Refer Clause 3.1)

S.No Name of Project Name of Client Estimated Payment## of

capital cost of professional
Project (in fees received
Rs. crore/ by the
US$ million) Applicant (in
Rs. crore)

(1) (2) (3) (4) (5)

1

# The Applicant should provide details of only those projects that have been
undertaken by it under its own name.
## Exchange rate should be taken as Rs. 50 per US $ for conversion to Rupees.
* The names and chronology of Eligible Projects included here should conform to
the project-wise details submitted in Form-10 of Appendix-I.

Certificate from the Statutory Auditor$

This is to certify that the information contained in Column 5 above is correct as per
the accounts of the Applicant and/ or the clients.

Name of the audit firm:

Seal of the audit firm

Date:

(Signature, name and designation of the authorised signatory)

$
In case the Applicant does not have a statutory auditor, it shall provide the
certificate from its chartered accountant that ordinarily audits the annual accounts of
the Applicant.

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 Appendices

Note: The Applicant may attach separate sheets to provide brief particulars of other
relevant experience of the Applicant.

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APPENDIX-I

Form-9

Abstract of Eligible Assignments of Key Personnel@

(Refer Clause 3.1)

Name of Key Personnel: Designation:

S.No Name of Project* Name of Client Estimated capital Name of firm Designation of Date of Mandays
cost of project (in for which the the Key completion of the spent
Rs. cr./ US$ Key Personnel Personnel on assignment
million) worked the assignment
(1) (2) (3) (4) (5) (6) (7) (8)
1
2
3
4
5
6
7
8
9
10
@ Use separate Form for each Key Personnel.
* The names and chronology of projects included here should conform to the project-wise details submitted in Form-11 of Appendix-I.
Note: The Applicant may attach separate sheets to provide brief particulars of other relevant experience of the Key Personnel.

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APPENDIX-I
Form-10

Eligible Assignments of Applicant

(Refer Clause 3.1.4)

Name of Applicant:
Name of the Project:
Length in km or other particulars
Description of services performed
by the Applicant firm:
Name of client and Address:
(Indicate whether public or private
entity)
Name, telephone no. and fax no. of
client’s representative:
Estimated capital cost of Project (in
Rs crore or US$ million):
Payment received by the Applicant
(in Rs. crore):
Start date and finish date of the
services (month/ year):

Brief description of the Project:

Notes:

1. Use separate sheet for each Eligible Project.

2. The Applicant may attach separate sheets to provide brief particulars of other
relevant experience of the Applicant.

3. Exchange rate should be taken as Rs. 50 per US $ for conversion to Rupees.

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APPENDIX-I

Form-11

Eligible Assignments of Key Personnel

(Refer Clause 3.1.4)

Name of Key Personnel:

Designation of Key Personnel:
Name of the Project:
Length in km or other particulars
Name of Consulting Firm where
employed:
Description of services performed
by the Key Personnel (including
designation):
Name of client and Address:
(indicate whether public or private)
Name, telephone no. and fax no. of
client’s representative:
Estimated capital cost of the Project
(in Rs crore or US$ million):
Start date and finish date of the
services (month/ year):

Brief description of the Project:

It is certified that the aforesaid information is true and correct to the best of my
knowledge and belief.

(Signature and name of Key Personnel)

Notes:

1. Use separate sheet for each Eligible Project.

2. The Applicant may attach separate sheets to provide brief particulars of other
relevant experience of the Key Personnel.

3. Exchange rate should be taken as Rs. 50 per US $ for conversion to Indian

Rupees.

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APPENDIX-I

Form-12

Curriculum Vitae (CV) of Key Personnel

1. Proposed Position:

2. Name of Personnel:

3. Date of Birth:

4. Nationality:

5. Educational Qualifications:

6. Employment Record:

(Starting with present position, list in reverse order every employment held.)

7. List of projects on which the Personnel has worked

Name of project Description of responsibilities

8. Details of the current assignment and the time duration for which services are
required for the current assignment.

Certification:

1 I am willing to work on the Project and I will be available for entire

duration of the Project assignment as required.

2 I, the undersigned, certify that to the best of my knowledge and

belief, this CV correctly describes me, my qualifications and my
experience.

(Signature and name of the Key Personnel)

Place.........................................

(Signature and name of the authorised signatory of the Applicant)

Notes:

1. Use separate form for each Key Personnel

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 Appendices

2. The names and chronology of assignments included here should conform to the
project-wise details submitted in Form-8 of Appendix-I.

3. Each page of the CV shall be signed in ink and dated by both the Personnel
concerned and by the Authorised Representative of the Applicant firm along with
the seal of the firm. Photocopies will not be considered for evaluation.

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APPENDIX-I
Form-13
Deployment of Personnel
S.No.
Designation Name Man-Days (MD) Week Numbers

At Away 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
Project from
site Project
site
(specify)
1.
2.
3.
4.
5.
6.
7.
8.
9.
10.
11.
Total Mandays

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 Appendices

APPENDIX-I

Form–14

Survey and Field Investigations

Item of Work/ To be carried out/ prepared by
Week
Activity Name Designation.
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19

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APPENDIX-I

Form-15

Proposal for Sub-Consultant(s)

1. Details of the Firm

Firm’s Name, Address and Telephone
Name and Telephone No. of the
Contact Person
Fields of Expertise

No. of Years in business in the above

Fields
2. Services that are proposed to be sub contracted:

3. Person who will lead the Sub- Consultant

Name:
Designation:
Telephone No:
Email:
4. Details of Firm’s previous experience

Name of Work Name, address and Total Duration Date of

telephone no. of Client Value of of Completion of
Services Services Services
Performed
1.
2.
3.

(Signature and name of the authorised signatory)

Note:

1. The Proposal for Sub-Consultant(s) shall be accompanied by the details specified in

Forms 12 and 13 of Appendix –I.

2. Use separate form for each Sub-Consultant

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 Appendices

APPENDIX-II

FINANCIAL PROPOSAL
Form-1

Covering Letter
(On Applicant’s letter head)

(Date and Reference)

To,

*****

*****

*****

Dear Sir,

Subject: Appointment of Consultant for Preparation of Feasibility Report for Kanpur-

Lucknow Expressway

I/We, _____________ (Applicant’s name) herewith enclose the Financial Proposal for
selection of my/our firm as Consultant for above.

I/We agree that this offer shall remain valid for a period of 90 (ninety) days from the
Proposal Due Date or such further period as may be mutually agreed upon.

Yours faithfully,

(Signature, name and designation of the authorised signatory)

Note: The Financial Proposal is to be submitted strictly as per forms given in the RFP.

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 Appendices

APPENDIX-II
(See Clause 2.1.3)

Form-2

Financial Proposal

Item
Description Amount (Rs.)
No.
A. RESIDENT PERSONNEL AND LOCAL COSTS

I Remuneration for Resident Professional Personnel

(inclusive of all personal allowances)
II Remuneration for Resident Support Personnel
(inclusive of all personal allowances)
III Office Rent
IV Office Consumables like stationery, communication etc.
V Office Furniture and Equipment (Rental)
VI Reports and Document Printing
VII Surveys & Investigations
VIII Miscellaneous Expenses

Sub-total Resident Personnel and Local Costs (A):

B. EXPATRIATE PERSONNEL
I Remuneration for Expatriate Personnel
(inclusive of all personal allowances)
Subtotal Expatriate Personnel (B):
Total of Personnel and Local Costs (A+B):
C. POST REPORT CONSULTATIONS
2 man days each of:
I Senior Highway Engineer –cum-Team Leader
II Bridge Engineer
III Traffic - cum-Safety Expert
IV Surveyor
V Financial Analyst
VI Environmental Expert

Subtotal Post Report Consultations (C):

D SUBTOTAL OF A+B+C
E OVERHEAD EXPENSES @____ % of (D)

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 Appendices

F SERVICE TAX
G TOTAL (including taxes) (D+E+F) (in Rs.)
In Indian Rupees in figures
in words__________________________

H ADDITIONAL COSTS (not included in evaluation)

I Domestic travel from firm’s office to the Project Office
(restricted to three return economy class air fares for each
Personnel)
II
International travel from firm’s office to the Project Office
(restricted to two return full fare economy class air fares for
III each Expatriate Personnel)
Return journeys from Project Office to Authority’s office to
attend meetings held by the Authority (provide indicative
amount for three return fares)
Total of Additional Costs (H)
I TOTAL COST OF THE CONSULTANCY (G+H)
In Indian Rupees in Figures
In Words__________________________

Note:

1. The financial evaluation shall be based on the above Financial Proposal,

excluding Additional Costs. The total in Item G shall, therefore, be the amount
for purposes of evaluation. Additional Costs in Item H shall not be reckoned
for purposes of financial evaluation.

2. Estimate of Costs for Item A I, A II and B I shall be as per Form-3.

3. Miscellaneous Expenses in Item A VIII shall not exceed 15% (fifteen per cent)
of the total amount in Item D.

4. Domestic Air Fare in Item H I shall not be payable to the Consultant’s

Personnel who are normally stationed in *****.

5. All costs shall be reimbursed on production of a Statement of Expenses, duly

certified by the Authorised Representative. However, no details of
expenditures would be sought for overhead expenses, which will be
reimbursed in proportion to the total expenses under Item D.

6. The reimbursement of expenses shall be limited to the amounts indicated

above.

7. Savings of upto 20% (twenty per cent) under any head of expenditure specified
in the summary of Financial Proposal may be reappropriated by the Consultant

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 Appendices

and added to any other head of expenditure, subject to a ceiling of 10% (ten
per cent) in respect of the recipient head of expenditure. Upon Notification of
such reappropriation to the Authority, the Financial Proposal shall be deemed
to be amended, and payment shall be made accordingly.

8. No escalation on any account will be payable on the above amounts.

9. All other charges not shown here and all insurance premia are considered
included in the man day rate/ overhead/ miscellaneous expenses.

10. The Authority may require the Key Personnel to visit the Project/ the
Authority’s offices for further consultations after their Report has been accepted.
The cost (remuneration including personal allowances) of 2 (two) man days of
each Key Personnel is included in the Financial Proposal. The Authority may
require upto 12 (twelve) extra days of consultation with any or all Key
Personnel on payment of additional charges. For any increase as compared to
the aforesaid 2 (two) days, payment shall be computed solely on the basis of
relevant man day rates specified in the financial proposal. In all cases, return
full fare economy class airfare shall be reimbursed in addition, as per actuals.

11. The Authority may require Professional Personnel to visit the Project/the
Authority’s offices for further consultations or undertake desk work after the
report has been accepted. The additional costs on this account shall be paid to
the Consultant as per agreed man day rates and economy return airfare as per
actuals shall also be reimbursed. However, the total number of additional
mandays requisitioned hereunder shall not exceed 120 (one hundred and
twenty).

12. All payments shall be made in Indian Rupees and shall be subject to applicable
Indian laws withholding taxes if any.

13. For the purposes hereof “Statement of Expenses” means a statement of the
expenses incurred on each of the heads indicated in the Financial Proposal;
provided that in relation to expenses on Personnel, the Statement of Expenses
shall be accompanied by the particulars of Personnel and the mandays spent on
the Consultancy.

14. Lump Sum Payment shall be made only upon execution of the Concession
Agreement with the Concessionaire selected through the Bid Process. No Lump
Sum Payment shall be due or payable if the Concession Agreement is not
executed within one year from the Effective Date; provided, however, that
personnel and travel costs already incurred or due shall be payable.

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 Appendices

APPENDIX-II

Form-3

Estimate of Personnel Costs

ID Position Name Manday Rate Total Man Days Amount

No.
(Rs.) (Rs.)
A I. Remuneration for Resident Professional Personnel (including all personal allowances)

Total
A II. Remuneration for Resident Support Personnel (including all personal allowances)

Total
B I. Remuneration for Expatriate Personnel (including all personal allowances)

Total:

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 APPENDIX- III

LIST OF BID-SPECIFIC CLAUSES

A. Clauses and appendices with non-numerical footnotes

1. Clause 2.2.3: Conditions of Eligibility of Applicants

2. Clause 2.11.3: Amendment of RFP
3. Schedule 1: Terms of Reference (TOR) for technical consultant:
(i) Clause 6.2: Time and Payment Schedule
4. Schedule 2: Form of Agreement: Clause 9.4.2: Arbitration
5. Form-5, Appendix-I: Financial Capacity of the Applicant
6. Form-8, Appendix-I: Abstract of Eligible Assignments of the Applicant
7. Form-9, Appendix-I: Abstract of Eligible Assignments of Key Personnel
8. Appendix III: List of Bid-specific clauses

B. Clauses and appendices with curly brackets

1. Schedule 2: Form of Agreement: Clause 9.4.2: Arbitration

C. Clauses and appendices with blank spaces

1. Schedule 2: Form of Agreement: Clause 1.10.3 and 6.1.2

2. Annex-7, Schedule 2: Bank Guarantee for Performance Security
3. Form-1, Appendix-I: Letter of Proposal
4. Form-2, Appendix-I: Particulars of the Applicant: Signature
5. Form-3, Appendix-I: Statement of Legal Capacity
6. Form-4, Appendix-I: Power of Attorney
7. Form-5, Appendix-I: Financial Capacity of the Applicant
8. Form-12, Appendix-I: Curriculum Vitae (CV) of Key Personnel
9. Appendix-II: Financial Proposal: Item E

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 Appendix-1

Preparation of Alignment cum Feasibility- Report of Kanpur-Lucknow

Expressway.

A) Evaluation of Eligibility of firms [as per Clause 2.2.2 of Section 2 (Instructions

to Applicants) of RFP]
Yes / No
S.No. Description
Technical Capacity – The Applicant shall have over the
past 5 years preceding the PDD, undertaken a minimum of
1
1 (one) eligible assignment / project.

Financial Capacity – Minimum income (from providing

advisory or consultancy services) for each of the 3 Financial
Years preceding the Proposal Due Date should not be less
2
than Rs. 48.00 Crs per Annum (or US $ 24 million per
annum)

Availability of Key Personnel meeting the Eligibility

Criteria as mentioned in Sub – Clause 2.2 (D) of Instructions
3
to Applicants (Section -2 of RFP).

Eligible Project / Eligible Assignment - Eligible Project / Eligible Assignment

means preparation of Feasibility Report and / or DPR including engineering
servey and social and environmental impact assessment for the following
projects.

(i) Four-laning/Six-laning of a National or State Highway/

Expressway/Motorway having an estimated capital cost
(excluding land) of at least Rs. 960 (Nine hundred Sixty) crore in
case of a project in India, and US $ 480 (Four hundred eighty)
million for projects elsewhere;

(ii) Access-controlled expressway having a minimum length of 25

km; or

(iii) any project involving construction and having an estimated

capital cost (excluding land) of at least Rs. 2,400 (two thousand four
hundred) crore in case of a project in India, and US $ 1,200 (One
thousand two hundred) million for projects elsewhere.

Provided that the Applicant firm claiming credit for an Eligible Assignment
shall have, prior to PDD, received professional fees of at least Rs. 2.4 ( two point
four) crore for such assignment, and where credit is being claimed by key
personnel, she/he should have completed relevant assignment prior to PDD.

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 Provided further that if the applicant firm is taking credit for an Eligible
Assignment which was undertaken for a private sector entity, such assignment
shall have been completed prior to PDD and the applicant shall have received
professional fees of at least Rs. 4.8 (four point eight) crore.

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B) Criteria for Evaluation of Technical Proposals [as per Section 3 (Criteria for
evaluation) of RFP]

Max. Points
S.No. Description
25
1 Relevant experience for the assignment
The quality of methodology and the work plan proposed
2 05
Relevant experience of the key personnel
3 70

Total 100

1. Relevant experience of firms for the Eligible Assignment.

Max.
S. No. Description
percentage
A) No. of eligible projects in the last 5 years 30
 One or less number of projects - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of - proportionate value
projects but more than one project

B) Cost of eligible projects – 4/6 lane NH/SH or length of access controlled 40

expressway or cost of other construction work in last 5 years
 Maximum factored score of eligible projects -40
 Less than factored score of eligible project - proportionate value

C) Average Annual Turnover (last 3 years) (In case of JV , Average Annual 30

Turnover of Lead Member shall be considered)
< Rs 48 Cr - 0.0
> Rs 48 Cr to Rs 60 Cr. - 20
>Rs 60 Cr. to Rs. 70 Cr. - 25
> Rs. 70 Cr. - 30
Total: 100

Note: Factored Score in Para B shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

For calculating Factor (A) & (C) above, Cost of eligible projects for the
assignments which are under progress but have received professional fees of at
least Rs. 2.4 Cr. Prior to PDD in case of Government sector shall be

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proportionately reduced by a factor (professional fees received prior to
PDD/Total Profession fees of assignment)

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2. The quality of methodology and the work plan proposed

Sl. No. Description Max. Points

a) Understanding of TOR 1

b) Quality of Approach and Methodology 3

(i) methodology 1

(ii) Contract management Approach 1

(iii) Quality Control and Quality Assurance 1

c) Work Programme and Manning Schedule 1

Total Points 5

Note : For Each of the above mentioned sub criteria under “quality of methodology
and the work plan proposed”, the following shall be the grading

(i) Below average/ average 50 %

(ii) Good 75 %
(iii) Very Good 90%
(iv) Excellent 100%

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3. Qualification and Competence of the Key Staff for adequacy of the
Assignment [ Minimum Eligibility as per Sub Para 2.2 (D) of Section 2
(Instruction to Applicants) of RFP]

3.1 Sr. Highway Engineer cum Team Leader

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification- Graduate in Civil Engineering

b) Essential Experience- 15yrs in planning, project preparation and
design of highway projects
c) Worked as Team Leader or in Similar capacity for 1 Eligible
Assignments
2 Relevant Experience ( As Team Leader or in Similar Capacity) Max
points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate
value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access 40

controlled expressway or cost of any other construction work or
combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project -
proportionate value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids
received -15
 Less than maximum length of eligible project -
proportionate value
d) Cost of eligible project -access controlled expressway 15
 Maximum cost of eligible projects for all eligible bids
received -15
 Less than maximum cost of eligible project - proportionate
value
Total 100
Note:
1. Similar Capacity includes the following positions

i) On behalf of Consultant : Team Leader/ Senior Highway Engineer

(Feasibility/DPR).
ii) In Government Organizations : Superintending Engineer (or equivalent)
and above (Feasibility/DPR).

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Note:
(i) Factored Score in Para 2(b) shall be calculated as under:
Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

3.2 Bridge Engineer

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification- Post Graduate in Civil Engineering

b) Essential Experience- 7 yrs in analysis and design of major highway bridges,
flyovers, road over bridges
c) Worked as Bridge Engineer or in Similar capacity for 1 Eligible Project

2 Relevant Experience ( As Bridge Engineer or in Similar Capacity) Max

points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100

Note:
1. Similar Capacity includes the following positions

i) On behalf of Consultant : Bridge Engineer/Bridge Design Engineer

(Feasibility/DPR).

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ii) In Government Organizations : Executive Engineer (or equivalent) and
above (Feasibility/DPR).

2. Factored Score in Para 2(b) shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

3.3 Traffic –cum- Safety Expert

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification-PG Degree in Traffic and /or Transportation

Engineering / Planning
b) Essential Experience- 7 yrs in traffic surveys and studies, traffic safety
facilities, etc. on highway projects.
c) Worked as Traffic cum Safety Expert or in Similar capacity for 1 Eligible
Project
2 Relevant Experience ( As Traffic cum Safety Expert or in Similar Capacity) Max
points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100
Note:
1. Similar Capacity includes the following positions

RFP for Appointment of Technical Consultant for preparation of feasibility- report of Kanpur-Lucknow Expressway
155
 i) On behalf of Consultant : Traffic Expert / Traffic Engineer/ Traffic
and Transportation Expert/Planner(Feasibility/DPR).

ii) In Government Organizations : Executive Engineer (or equivalent)

and above (Feasibility/DPR)

2. Factored Score in Para 2(b) shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

RFP for Appointment of Technical Consultant for preparation of feasibility- report of Kanpur-Lucknow Expressway
156
3.4 Surveyor

Sl. No. Description

I Eligibility Criteria Yes/No
a) Educational Qualification-Diploma in Surveying or Graduate/ Diploma in
Civil Engineering
b) Essential Experience- 7 yrs in Surveying on highway projects

c) Worked as Surveyor or in Similar capacity for 1 Eligible Project

2 Relevant Experience ( As Surveyor or in Similar Capacity) Max

points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate
value
projects but more than one project
b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40
expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project -
proportionate value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -
15
 Less than maximum length of eligible project - proportionate
value
d) Cost of eligible project -access controlled expressway 15
 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100

Note:
1. Similar Capacity includes the following positions
i) On behalf of Consultant : Surveyor/Survey Engineer (Feasibility/DPR).
ii) In Government Organizations : Surveyor/Survey Engineer (Feasibility/DPR)

2. Factored Score in Para 2(b) shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

3.5 Financial Analyst

RFP for Appointment of Technical Consultant for preparation of feasibility- report of Kanpur-Lucknow Expressway
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 Sl. No. Description
I Eligibility Criteria Yes/No

a) Educational Qualification- Post Graduate Degree in Commerce / Chartered

Accountant
b) Essential Experience- 7 yrs in financial analysis and modeling of
infrastructure projects
c) Worked as Financial Analyst or in Similar capacity in Financial Analysis and
Financial Modeling for 1 Eligible Project
2 Relevant Experience ( As Financial Analyst or in Similar Capacity in Max
Financial Analysis and Financial Modeling) points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100

Note:
1. Similar Capacity includes the following positions
i) On behalf of Consultant /Govt organisation: Financial Analyst /
Financial Expert (Feasibility/DPR).

2. Factored Score in Para 2(b) shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C

RFP for Appointment of Technical Consultant for preparation of feasibility- report of Kanpur-Lucknow Expressway
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3.6 Pavement Specialist

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification- Graduate/Post Graduate in Civil Engineering

b) Essential Experience- 7 yrs in pavement design of rigid / flexible pavements
on project highway
c) Worked as Pavement Specialist or in Similar capacity for 1 Eligible Project
assignment
2 Relevant Experience ( As Pavement Specialist or in Similar Capacity) Max
points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100

Note:
1. Similar Capacity includes the following positions
i) On behalf of Consultant : Pavement Specialist/Pavement Engineer/Pavement Expert
(Feasibility/DPR).
ii) In Government Organizations : Executive Engineer (or equivalent) and above
(Feasibility/DPR)

2. Factored Score in Para 2(b) shall be calculated as under:

Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C
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3.7 Environmental Expert

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification- Graduate in Civil Engineering/Masters Degree/

Bachelors Degree in Environmental Science / Environmental Engineering
b) Essential Experience- 7 yrs in environmental studies

c) Worked as Environmental Expert or in Similar capacity in Environment

impact Assessment for 1 Eligible Project
2 Relevant Experience ( As Environmental Expert or in Similar Capacity in Max
Environment impact Assessment) points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100
Note:
1. Similar Capacity includes the following positions
i) On behalf of Consultant : Environmental Expert/ Environmental Engineer
(Feasibility/DPR).
ii) In Government Organizations : Executive Engineer/Environmental
Engineer (or equivalent) and above
(Feasibility/DPR)
2. Factored Score in Para 2(b) shall be calculated as under:
Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C
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3.8 Senior GIS Expert

Sl. No. Description

I Eligibility Criteria Yes/No

a) Educational Qualification- Graduate in any branch of Engineering or Post

Graduate in Geography, Geology with GIS Application as one of the main
subject
b) Essential Experience- 5 yrs in relevant field

c) Worked as GIS Expert or in Similar capacity for 1 Eligible Project

2 Relevant Experience ( As GIS Expert or in Similar Capacity) Max

points
a) No. of eligible projects 30
 One or less number of projects for all eligible bids received - 0.0
 Maximum no. of projects of all bids received - 30
 Less than maximum number of – proportionate value
projects but more than one project

b) eligible projects – cost of 4/6 lane NH/SH or length of access controlled 40

expressway or cost of any other construction work or combination
 Maximum factored score of eligible projects -40
 Less than maximum factored score of eligible project - proportionate
value
c) Length of eligible project -4/6 lane NH/SH 15
 Maximum length of eligible projects for all eligible bids received -15
 Less than maximum length of eligible project - proportionate value

d) Cost of eligible project -access controlled expressway 15

 Maximum cost of eligible projects for all eligible bids received -15
 Less than maximum cost of eligible project - proportionate value

Total 100

Note:
1. Similar Capacity includes the following positions
i) On behalf of Consultant : GIS Expert
ii) In Government Organizations : Executive Engineer (or equivalent) and
above (Feasibility/DPR)
2. Factored Score in Para 2(b) shall be calculated as under:
Total cost of Eligible Projects -4/6 lane NH/SH (X)
(A)– Factor= (X/960or US$ 480 millions)
Total length of access controlled expressway(Y)
(B)- Factor= (Y/25)
Total cost of other construction work (Z)
( C)-Factor=(Z/2,400 or US$1200 millions)
Factored score=A+B+C
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